Dynamic experiments with small pile foundations

MILOSNOVAKA N D RONALDF. GRIGG

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Frtculty of Engineering Science, University of Western Ontario, London, Ont., Crtnndrc N6A 3K7
Received November 12, 1975
Accepted June 14, 1976

Dynamic experiments with small pile foundations were conducted in the field. Individual piles
and a group of piles were tested. The experimental data were compared with theoretical predic-
tions made on the basis of a theory described previously by Novak. It was found that the theory
predicts the general characteristics of the response very well. Resonant amplitudes and natural
frequencies can be predicted reasonably well when a shear modulus of the soil derived from a
static test of a pile is used and when a correction for the effect of pile group (interaction) is made.

Des essais dynamiques sur des fondations de pieux modeles ont CtC rCalisCs sur le terrain. Des
pieux isolCs et un groupe de pieux ont Cte soumis B essais. Les resultats experimentaux ont it15
compares aux previsions theoriques faites a partir d'une thiorie proposCe par Novak. On a
constate que la thCorie permet une trbs bonne prevision des caractkristiques gCnerales de la
rkponse. Les amplitudes de rksonnance et les frequences naturelles peuvent ktre prevues
raisonnablement bien lorsque le module de cisaillement du sol diduit de i'essai statique d'un pieu
est utilisi et lorsqu'on applique une correction pour tenir compte des effets de groupe.
[ ~ r a d u i t - p alar revue]
Can. Geotech. J., 13,372 (1976)
For personal use only.

Introduction comparison with the theory are described in

Foundations and structures supported by
piles are often exposed to dynamic loads such
as those produced by wind, earthquakes, or
machines. The response of the structures to
these loads depends, to a high degree, on the
stiffness and damping that the piles can pro-
vide. These characteristics of the pile are a
product of the interaction between the soil and
the pile. A theory was presented recently (No-
vak 1974a, 1976) that makes it possible to
evaluate the pile stiffness and damping for any
particular situation. The main assumptions of
this theory are as follows: the soil is perfectly
bonded to the pile, the soil behaves in a linear
manner, and the soil properties are invariable
with depth. Furthermore, only horizontally
propagating waves were considered; this is
equivalent to the assumption of plane strain or
to the assumption of infinitesimally thin layers.
The latter assumption was found to yield very
good results for slender piles and higher fre-
quencies (Nogami and Novak 1976). The
validity of the theory was also confirmed by a
finite element solution by Kuhlemeyer ( 1976).
Nevertheless, the assumptions made may devi-
ate from reality and so it is desirable to verify
experimentally the applicability of the theory.
A series of dynamic field experiments and their
this paper.
The experiments were conducted with pile
foundations that were small enough to be in-
expensive, but large enough to be acceptably
representative of real foundations such as, e.g.
machine foundations. The goal was to find out
if the theory could predict the behaviour of the
pile foundations used in the experiments.
Thus, there was no reason to make the test
foundations physically similar to any particular
prototype. This would be very difficult to
achieve anyway because the stiffness of soil
depends on confining pressure.
Particular attention was paid to harmonic
excitation which represents a fundamental
case. The stationary response to such a load
defines the impedancc functions as well as the
stiffness and damping constants of the soil-pile
system. These constants are useful in design of
pile-supported footings and structures.
The vibrations excited were small and this
was sufficient because the theory to be ex-
amined is linear. Nonlinearity of the response
is known to appear with large displacements.
However, the virtues of the linear theory are
that it offers an insight into the problem, it can
be quite adequate for machine foundations,
frozen soils, and other cases and finally, it may
 NOVAK AND GRIGG 373

be adjusted for large amplitudes by means of
equivalent linearization.
Experiments
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depends on the slenderness ratio l/ro, where
1 = length of the pile and yo = radius of the
pile, and the stiffness of the soil. The condi-
tions of the site suggested a maximum pile

The Site and Soil Properties
A suitable site was found on the campus of
the University of Western Ontario, close to
the Thames River. It is a layer of fine silty
sand approximately 6 to 7 ft (1.8 to 2.1 m)
thick underlain by gravel and till.
The soil properties were determined by in
situ and laboratory tests. The in sifir density
was determined by means of the Rubber Bal-
loon Method in an excavation. Verifications
of the soil profile and soil samples were ob-
tained through the use of a hand augered test
hole.
The shear wave velocity of the soil was
established by means of the steady state vibra-
tion technique. The ground motion was excited
by the piles and the results were clearer and
more consistent than is usual with soil alone.
For personal use only.
diameter of about 4.5 in. (1 1.5 cm). With
respect to the ease of installation standard
black steel pipes were chosen with diameters
of 3.5 and 2.4 in. (9 and 6 cm). The following
test situations were examined: ( a ) a single
3.5 in. (9 cm) diameter pile, ( b ) a single 2.4
in. ( 6 cm) diameter pile, (c) a group of four
2.4 in. (6 cm) diameter piles, and ( d ) a group
of four 2.4 in. (6 cm) diameter piles with soil
packed beneath the pile cap. The properties of
the piles used are given in Table 2.
The piles were hydraulically driven into the
soil until they reached the solid layer and by
dropping a 140 Ib (62 kg) hammer 30 in. (76
cm). The piles used in the group were cut
short and did not reach the solid layer.
T o examine the effect of the pile length,
several stiffness and damping parameters were

The depth of the hard layer was evident from calculated from formulas given in Novak
the variation of the shear wave velocity with (1974a) as a function of slenderness. These
frequency and was also verified by a seismic parameters are shown in Fig. 1. It can be seen
test. The soil properties useful in dynamic that for the slenderness used, the stiffness and
analysis are givcn in Table 1. More details on
the shear wave velocities measured are given in
the Appendix.
Test Piles
The size of the piles used was limited,
among other considerations, by the force and
frequency range of the oscillator (exciter)
available and by the requirement that thc mo-
tion of the pile tips be kept as small as pos-
sible. The satisfaction of the latter condition is
facilitated by the theoretical finding that it is
only the upper part of the pile that actively
participates in the motion and determines the
pile stiffness and damping. This active length

,I 1, 1 ,
TABLE
1. Properties of soil (fine silty sand)

Mean bulk density

Mean dry bulk density
Mean moisture content
= 111.91b/ft3
= 101.7 1b/ft3
= 10.0%
1,L' , , ,
Coefficient of energy absorption = 0.14 OO 20 40
I/r,
60 80
PILE S L E N D E R N E S S
Shear wave velocity from steady
state vibration technique V, = 573 ft/s
Shear wave velocity from static FIG.1. Stiffness and damping parameters of hollow
steel test piles as functions of slenderness ratio.
test of pile, 2.4 in. diameter V,, = 147 ft/s
Shear wave velocity from static (f7.1-2 = rotational stiffness and damping, fo,i-s= cross
test of pile, 3.5 in. diameter V,, = 108 ft/s
stiffness and damping, fir,,-:, = vertical stiffness and
damping; no = 0.3).
 CAN. GEOTECH. J. VOL. 13, 1976

TABLE
2. Properties of piles

Diameter Area I Length l

Test (in.) (ft2) (ft4) (in.) [/yo
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Single pile 3.5 0.0155 0.000147 88.5 50.6

Single pile 2.4 0.0074 0.000032 92.5 77.9
Group of four
(each pile) 2.4 0.0074 0.000032 82.0 69.1

damping parameters are largely independent of

the pile length with the exception of the verti-
cal direction.
In order to connect the pile head to the
steel test body, heavy steel flanges were welded
to the piles about 2-3 in. (5-7.6 cm) above
ground level. The group of piles was provided
with a rigid reinforced concrete cap to achieve
full group action.
Test Body
In order to get well pronounced resonant
peaks in the frequency range of the exciting
For personal use only.

mechanism a steel test body was bolted to the

pile flanges or the pile cap (Fig. 2 ) . The test
body was comprised of steel plates each weigh-
ing 125 Ib (57 kg). The number of the plates
was varied from 6 to 20. The steel plates had
machined contact surfaces to prevent slippage
between the plates. (The test body was origin-
ally designed by the first author and W. Lane
for dynamic tests of soils.)
As can be seen from Fig. 2, the body is
provided with oscillator mounts and pickup
mounts. The properties of the complete test
bodies actually representing rigid footings, are FIG.2(a) Test body bolted to single pile (vertical
given in Table 3. excitation). ( b ) Steel and concrete test body bolted
to group of piles (horizontal excitation).
Driving Mechanism
A vertical or horizontal excitation force was
IRD Model 544 electrodynamic pickups, a
produced by means of a Lazan mechanical
vibration meter Model 306 IRD, a dual beam
oscillator. Its excitation force is proportional
storage oscilloscope, a two channel Brush re-
to the square of the frequency and the maxi-
corder, and a stroboscope for accurate mea-
mum eccentric moment is 18 Ib-in. (0.21 kg-m).
surement of speed. The measured amplitudes
The oscillator was driven by a 220 V three
were corrected according to the frequency
phase motor equipped with a Kopp variator.
characteristics of the pickups and the calibra-
The variator yields stable operating speeds of
tion factors for the vibration meter.
380 to 3750 rev/min (6.3 to 62.5 Hz). The
For vertical excitation, displacements were
variator is connected to the oscillator via a
measured using two pickups mounted sym-
flexible shaft.
metrically. Horizontal displacements were mea-
Measuring Apparatus sured using two pickups, one on each side of
The measuring apparatus consisted of three the test body, at the height of its center of
 NOVAK AND GRIGG 375

TABLE
3. Properties of test footings

Height of Height of
Mass moment
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Mass moment centroid excitation

of inertia of inertia above base above C.G.
Mass I*., =c
Footing (slugs) (slug-ft2) (ft)
6 plates 0.610
10 plates 0.742
20 plates 1.O25
20 plates
and concrete
pile cap 1.168

gravity. The rocking component of the motion

was established from vertical displacements
measured on the axis of the test body.
Test Procedures
Steady-state response to harmonic excita-
tion was measured after a suitable size of the
test body was found. The amplitudes were
For personal use only.

measured at different frequencies, always after

the motion became stationary, and with a few
excitation intensities. In addition, free vibration
tests were conducted.
Also, static load tests were conducted on
each of the two single piles after the dynamic
tests had been completed. A static horizontal
load was applied to the pile head and the
corresponding displacement measured.
Test Results
Static Tests
Curves of the horizontal load vs. deflection ( J
for both piles tested are shown in Fig. 3. The 0 400 800 1200

two different curves measured for the 2.4 in. FORCE ( I b )

(6 cm) diameter pile were established in two
directions differing by 90".
From these static tests an apparent shear
modulus of the soil can be established by com-
paring the measured displacements with those
predicted theoretically. Such a comparison is
facilitated by fair linearity of the relationships
shown in Fig. 3 for displacements smaller than
about 0.1 in. (2.5 mm).
Using Fig. 3 of the theoretical static solution
in Poulos (1972) and assuming Poisson's ratio
v = 0.25, an iterative procedure yields the
apparent shear modulus and wave velocity
given in Table 1 and denoted Vst.
The shear wave velocity obtained from the
FIG.3. Static displacement of pile head vs. horizon-
tal load.
static test is significantly lower than that estab-
lished from the wave propagation test. In other
words, the theory significantly under-estimates
the static response if the shear modulus estab-
lished from wave propagation is used. This
difference seems to be due to two main factors
which are the separation of the pile from the
soil in the region of tension and the diminishing
of the shear modulus with decreasing depth.
Both of these factors, indicated in Fig. 4,
depend on confining pressure which is very
small in the upper region of the soil layer. It
 CAN. GEOTECH J. VOL. 13, 1976
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FIG. 4. Separation of pile and variation of shear
nlodulus with depth.
is the top layer, which is only a few pile
diameters thick, that contributes most to the
horizontal stiffness of the pile. It is not sur-
prising therefore that the apparent static stiff-
ness of the soil, which actually reflects the
stiffness of the uppermost layer, is much
For personal use only.
smaller than that obtained from wave propaga-
tion which reaches the deeper regions of soil.
The difference between V , and V,, would
probably be much smaller if V,,. were deter-
mined for the surface layer of the soil or if the
confining pressure were greater as it is in a real
pile foundation.
The effect of pile separation indicated in
Fig. 4a, depends on the magnitude of the
applied load and manifests itself by the non-
linearity of the response. However, no strong
nonlinearity was observed in the experiments
and this seems to indicate that the reduction
of the shear modulus towards the surface was
a more important factor than the separation of
the pile. In any case, it may be assumed that
the shear modulus obtained from the static test
incorporates in an approximate way the re-
duced stiffness of the surface layer of the soil
and the lack of bond between the soil and the
pile.
Dynamic Tests
A few typical sets of response curves mea-
sured with vertical or horizontal excitation are
plotted in Figs. 5 to 8. Each figure shows a
set of response curves obtained with different
intensity of excitation (excitation moment
m,e)l under otherwise unchanged conditions.
'The excitation moment is given in the figures as
m,ge, lb-in.
The response curves are shown either in dimen-
sional or dimensionless form. The dimension-
less amplitudes for vertical and horizontal
vibrations are
respectively, and for rotation (rocking) around
the centre of gravity (CG)
in which w o = vertical amplitude due to verti-
cal excitation, uo, I),) = horizontal and rotation
components of the coupled motion due to
horizontal excitation, m, I$ = mass and mo-
ment of inertia of the footing about CG, m,,
e = unbalanced mass and its eccentricity re-
spectively. The true amplitudes did not exceed
0.025 in. (0.5 mm) and thus were of the order
common in machine foundations. (All ampli-
tudes given in this paper are single amplitudes.)
If the vibrating system were perfectly linear
all the dimensionless curves shown in each
figure should be identical. The amount by
which they differ, indicates the degree of non-
linearity. The nonlinearity is demonstrated by
shifting of the resonant frequency and variation
in the resonant amplitudes. The nonlinearity,
though distinct, is not very strong. It could be
analyzed using a technique described by Novak
(1971 ). However, for the purpose of this
study it is sufficient to use average natural
frequencies and resonant amplitudes. These
are listed in Table 4.
In this table, subscript 0 refers to the natural
frequency for vertical vibration, subscripts 1
and 2 refer to the first or second resonance
with horizontal excitation. The magnitudes not
given either lay beyond the frequency range
of the equipment or were not obtained reliably
because of malfunctioning of the oscillator.
The group of four piles was tested for the
horizontal excitation in two directions. The
force acted in the direction of either the shorter
or the larger distance x , between the piles. An
example of the horizontal response of the pile
group is shown in Fig. 7. As expected, mar-
kedly different response was observed for the
two horizontal directions tested. The difference
in resonant frequencies f l and f 2 can be seen
from comparison of the cases 3 and 4 in Table
4. The vertical amplitude is not shown because
 NOVAK AND GRIGG
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FREQUENCY (CPS)

A
SYMBOL LB-IN.
For personal use only.

FREQUENCY (CPS)
FIG.5. Experimental vertical response of vertically loaded pile ( 1 pile 3.5 in. diameter, mass
of footing = 86.41 slugs). ( a ) dimensional, ( b ) dimensionless.

the resonant peak lay above the frequency
range of the oscillator and could not be
reached.
Finally, the group of four piles was tested
with cohesive soil compacted into the space
beneath the pile cap so that full contact was
secured between the test footing and the soil.
The response curves measured under these
otherwise identical conditions are shown in
Fig. 8. The resonant frequencies measured are
given in Table 4. (The excitation load is not
given in Fig. 8 because it consisted of both
forces and moments in this case).
Comparison of Theory With Experiments
Theoretical Response
Theoretical response curves were computed
by means of the general expressions derived
in Novak (1974a, 1976) with footing, pile and
soil data corresponding to the experiments and
given above. For horizontal excitation two
shear wave velocities were used: VTV,derived
from wave propagation, and Vst, obtained from
the static tests of the pile.
For vertical excitation two tip conditions
were assumed: A fixed tip and a relaxed tip.
The degree of the relaxation of the tip can be
described by the shear wave velocity of the
soil layer lying below the tip, V,. In addition
to the relaxation of the tip a reduction of the
shear wave velocity appeared desirable but this
reduction was much smaller than that needed
for the horizontal excitation. Good results were
obtained with V, = 2 to 3 V , and V, = 1 to
2 v,.
An example of the theoretical response to
 CAN. GEOTECH. J. VOL. 13, 1976

0 40 SYMBOL LB-IN.

fl>
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3
a
30
W
0
3
k
_I
n
2 20
(0
ln
W
_I
Z
0
y lo
W
E
0

0
0 10 20 30 40 50 60
FREOUENCY (CPS)

SYMBOL LB-IN
For personal use only.

o 0.855
A 0.598
0 0.427
o 0.171

FREQUENCY (CPS)

FIG.6. Experimental response of horizontaIIy loaded pile (1 pile 2.4 in. diameter, mass of
footing = 3 1.06 slugs). ( a ) horizontal component (sliding), ( b ) rocking component.

vertical as well as horizontal loads is plotted
in Fig. 9. Comparison of the individual the-
oretical and experimental response curves is
shown in Figs. 10 to 12. The theoretical nat-
ural frequencies and resonant amplitudes are
compared with the experimenta1 values in
Table 4.
Eflect of Pile Group
The total stiffness and damping constants
of the pile group used in the analysis were
established as a sum of the stiffness and damp-
ing constants of individual piles assumed to
act in isolation. However, if the distance be-
tween the piles is small, the stiffness and damp-
ing of each pile in a group are reduced because
the displacement of one pile contributes also
to the displacements of the other piles. No
dynamic solution to this interaction of piles is
available at present but some insight can be
obtained from the approximate static solution
of Poulos (1971). The static solution may
be used for guidance because the behaviour of
a pile group should be similar in both static
 NOVAK AND GRIGG

fl SYMBOL L8-IN
2.558
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0 10 20 30 40 50 60
FREQUENCY (CPS)
For personal use only.

FREQUENCY (CPS )

FIG.7. Experimental response of pile group to horizontal load (4 piles 2.4 in. diameter, mass
of footing = 103.3 slugs). ( a ) horizontal component (sliding), (b) rocking component.

and dynamic cases. The reason for this sim-
ilarity is that damping is the imaginary part of
the complex dynamic stiffness and the dimen-
sionless frequency a, = r, w / V , , controlling the
dynamic response, is very low.
The relationship between the displacement
u~ of a group of n piles and the displacement
ul of a single pile carrying the same load as a
pile in the group, can be written as
where a , = the interaction factor describing the
contribution of the rth pile to the displacement
of the reference pile; al = 1 and other factors
are smaller than unity and decrease with the
distance between the piles.
Using [3] the effect of pile interaction upon
the response of the pile group as shown in
Fig. 11 can be examined. The first resonance
peak, which is of primary importance, is dom-
inated by the first vibration mode and consists
mainly of horizontal translation as can be seen
from Figs. 7a and 7b. Interaction factors CY, for
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TABLE
4. Natural frequencies and resonant amplitudes

Dimensionless amplitude
Natural frequency
Piles Footing C P (Hz)
~ Vert Horizontal Rocking
diameter m
Case (in) 4 Values fo fi fi Aw A, 1 Auz A* I Aw
For personal use only.

Experimental
Theoretical V,
1 1 pile Theoretical V,,
2.4 Experimental
Theoretical V,
Theoretical V,,
Experimental 4.36
Theoretical V, 8.17
1 pile Theoretical V,, 4 . OO*
2 3.5 Experimental -
Theoretical V , 4.92
Theoretical V,, 9.20
4 piles Experimental
3 2.4 Theoretical V .
x, = 9 Theoretical V,,
4 piles Experimental
4 2.4 Theoretical V,"
x, = 13.5 Theoretical V,,
4 piles
2.4 Experimental
5 x, = 13.5 Theoretical V,"
+ soil Theoretical V,,
*Calculated with relaxed tip and V,, < V, < V,.
 NOVAK A N D GRIGG 38 1
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where k, f l = the stiffness and the first natural

frequency respectively, calculated without the
pile interaction effect, i.e. with C a,. = 1. Equa-
tion 4 gives the adjusted frequency

f" =m=
14'7 12.3 cps

Similarly, the adjusted damping ratio in the

first mode is

in which CG, c = adjusted and unadjusted

damping coefficients respectively and D = the
400 600 800 1000 1200 1400 1600
unadjusted damping ratio.
FREQUENCY ( R P M I Then, the adjusted dimensionless resonant
For personal use only.

FIG. 8. Influence of soil beneath pile cap upon amplitude of sliding is approximately
experimental response of pile group ( 4 piles 2.4 in.
diameter, mass of footing = 103.3 slugs).

3
0
'Z
26
I O ~

SLIDING
1 \,VERTICAL
where A = the first resonant amplitude ob-
tained without the interaction effect. Equation
6 yields
AG = 9.13 J145= 11.0
2 The first resonant peak approximately adjusted
for the effect of the pile interaction is shown
in dotted lines in Fig. 1 1.
In other vibration modes or with free-head
piles the interaction effect can be expected to
be less pronounced.
The above approach based on summation of
FREQUENCY (CPS) a,. is approximate because it implies that all

FIG.9. Theoretical response of pile group to verti-
cal load and horizontal load ( 4 piles 2.4 in. diameter,
mass of footing = 103.3 slugs, V , = V , , = 147 ft/s,
fixed tip).
sliding fixed-head piles can be obtained from
Fig. 3 in Poulos (1971). For the conditions of
the experiment a value of a,. = 1.45 was
found using shear wave velocity V,,.
Stiffness of the pile group kG is inversely
proportional to displacement (flexibility) and
hence k , = k/C a,.. Therefore, the adjusted
natural frequency of the group is approx-
imately
piles carry the same load.
Discussion
A number of observations can be made on
the basis of the comparison of the theoretical
with the experimental results.
It can be seen that the theory predicts the
general character of the response very well.
The piled foundations respond to changes in
stiffness, number, and distance between piles
and in the footing mass in the manner that the
theory predicts. In particular, the following
trends predicted theoretically agree with the
experiments:
 CAN. GEOTECH. J. VOL. 13, 1976
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For personal use only.

FIG.10. Comparison of theoretical and experimental response ( 1 pile 2.4 in. diameter, mass
of footing = 31.06 slugs; horizontal excitation). (a) sliding component, ( b ) rocking component.

For the single piles subjected to coupled
motion, the first resonant peak is larger than
the second for both sliding and rocking com-
ponents.
For the pile group subjected to coupled
motion, the first resonant peak is dominated by
sliding and the second peak by rocking. The
larger the distance from the center line of the
footing to the pile, the greater are the natural
frequencies and the smaller the amplitudes.
This implies that the vertical stiffness should
not be neglected when considering horizontal
loads as is often done.
The effect of soil beneath the pile cap is to
increase both the stiffness and the damping
and this in turn increases the natural frequen-
cies and reduces the resonant amplitudes.
The quantitative comparison of the theoret-
ical predictions with experimental data can be
summarized as follows.
The theory significantly over-estimates the
natural frequencies and, in some cases, also the
resonant amplitudes if the shear wave velocity
derived from wave propagation in deeper
layers of soil is used. This over-estimation is
primarily due to the reduction of the shear
modulus with decreasing depth. This reduction
of the shear modulus can be accounted for,
approximately, by using the apparent shear
modulus derived from the static test in the
 NOVAK AND GRIGG
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0 j
0 1",?.3 20 30
FREOUENCY
FIG.11. Comparison of theoretical and experimental response (group of 4 piles 2.4 in. diam-
eter, mass of footing = 103.3 slugs, horizontal excitation). Sliding component.
For personal use only.
FIG.12. Comparison of theoretical and experimen-
tal vertical response (One pile 3.5 in. diameter, mass
of footing 86.41 slugs, relaxed tip).
dynamic analysis. With the shear modulus
from a static test, the natural frequencies are
predicted remarkably well as can be seen from
Table 4. For a pile group, this agreement is
further improved by an approximate correction
for the pile interaction (Fig. 1 1 ).
The vertical resonant frequencies and ampli-
tudes are significantly over-estimated as long
as the pile tips are assumed to be fixed. This
difficulty cannot be circumvented by consider-
ing a reduced shear modulus of soil because
such a reduction lowers both stiffness and
damping. The relaxation of the pile tips re-
duces the stiffness and increases the damping
I
40 50 60
ICPSI
bringing the theoretical resonant frequencies
and amplitudes much closer to the experi-
mental values. This can be seen from Table 4
where the results obtained with the relaxed
tips are denoted by an asterisk (see also Fig.
1 2 ) . A reduction of shear modulus appears
desirable even for the vertical case, but the
correction required is much smaller than that
needed in the horizontal case. This seems log-
ical as the relaxed tip transfers the motion into
the deeper layers of soil where the confining
pressure and hence also the stiffness of the soil
is higher.
With the soil acting beneath the footing base
(case 5 in Table 4, Fig. 8 ) , it is probably
desirable to reduce the soil reactions calculated
for the base because there must be an inter-
action between the base and the piles similar
to the interaction between a group of piles.
(The theoretical soil reaction acting on the
base and used in the analysis was calculated
from formulas given in Novak 1974b).
A good part of the difficulty met when com-
paring the theory with the experiments stems
from the very large difference between the
shear velocities V,, and V,,. It may be that for
full scale conditions this difference will be
smaller and the theory may work generally
better. In the model experiments there is no
overburden and the confining pressure is ex-
tremely small because only a very shallow layer
 384 CAN. GEOTECH. J. VOL. 13, 1976

of soil a few pile diameters deep effectively Canada. The assistance of John Howell and
participates in the motion. In the full scale, Gary Lusk is gratefully acknowledged.
this effective layer is deeper because the pile
diameter is greater and the confining pressure KUHLEMEYER, R. L. 1976. Static and dynamic laterally
Can. Geotech. J. Downloaded from www.nrcresearchpress.com by UNIVERSITY OF ARIZONA LIBRARY on 09/06/13

loaded piles. Res. Rep. No. CE76-9, Dep. Civ. Eng.,

is larger; also, there may be some pressure Univ. Calgary, Calgary, Alta., 48 p.
transmitted by the cap. The reduction of V,v NOVAK,M., 1971. Data reduction from nonlinear response
required may be smaller if the soil is cohesive. curves. ASCE, J. Eng. Mech. Div. 97, pp. 1187-1204.
1 9 7 4 ~ Dynamic
. stiffness and damping of piles.
Conclusions Can. Geotech. J . 11(4), pp. 574598.
19740. Effect of soil on structural response to wind
Model experiments conducted in the field and earthquake. Int. J. Earthquake Eng. Stlx~ct.Dyn.
with single piles and a pile group suggest the 3(1), pp. 79-96.
following conclusions concerning the potential 1976. Vertical vibration of floating piles. Res. Rep.
BLWT-SSI-76, Fac. Eng. Sci., Univ. Western Ontario,
of the theory presented by Novak (1974~1, London, Ont., 23 p.
1976). NOGAMI, T. and NOVAK, M. 1976. Soil-pile interaction in
The theory is able to predict all the qualita- vertical vibration. Int. J . Earthquake Eng. Struct. Dyn.
tive features of response of piled footings to 4, pp. 277-293.
dynamic loads. The relative magnitudes of the P o u ~ o s ,H. G. 1968. Analysis of the settlement of pile
groups. Geotechnique, 18, pp. 449-471.
first and second peaks of the coupled response 1971. Behavior of laterally loaded piles: 11-pile
to horizontal load and the effect of vertical groups. ASCE, J. Soil Mech. Found. Div. 97(SM5),
stiffness and damping of the piles on this re- pp. 733-75 1.
sponse were particularly well predicted. 1972. Behavior of laterally loaded piles 111. Sock-
eted piles. ASCE, J. Soil Mech. Found. Div. 98(SM4),
The quantitative prediction of the response
For personal use only.

depends very much on the shear modulus of
soil used in the analysis. With a shear modulus
characteristic of the deeper layers of soil res-
onant frequencies and amplitudes can be sig-
nificantly over-estimated.
Better results can be obtained with lower
values of the shear modulus characteristic of
the uppermost layer of soil. For small displace-
ments and horizontal excitation, a suitable
value of this shear modulus can be derived
from a static test of the pile. This approach
also approximately accounts for the separation
of the pile from the soil.
With the shear modulus from the static test,
natural frequencies are predicted very well and
the prediction of resonant amplitudes is in
most cases also improved for horizontal ex-
citation. For pile groups, a further improve-
ment can be achieved by the correction for the
effect of pile interaction. This correction can
be based on the static analysis by Poulos
(1968, 1971).
For vertical excitation, the pile tip should
be considered as relaxed unless it rests on bed-
rock or the pile is extremely long. Also, a
smaller reduction of the shear modulus appears
sufficient for the vertical response.
Acknowledgements
This study was supported by a research
grant from the National Research Council of
pp. 341-360.
RICHART, F. E., HALL,J. R., and WOODS,R. D. 1970.
Vibrations of soils and foundations. Prentice-Hall, Inc.,
New York, N.Y.
Notations
A = area of pile cross section
= din~ensionlessamplitude of foot-
Ai,j
ing in direction i and mode j
AG = dimensionless amplitude adjusted
for the effect of pile interaction
a, = r,w/V, = dimensionless frequency
c = coefficient of damping
CG = coefficient of damping adjusted
for the effect of pile interaction
D = damping ratio of footing
DG = damping ratio of footing adjusted
for the effect of pile interaction
e = eccentricity of rotating mass
f~ = natural frequency adjusted for the
effect of pile interaction
f = natural frequency
G = shear modulus of soil
I = moment of inertia of pile cross
section
= mass moment of inertia of footing
k = stiffness constant
k~ = stiffness constant adjusted for the
effect of pile interaction
I = length of pile
m = mass of footing
me = unbalanced rotating mass
 NOVAK AND GRIGG 385

ro = radius of pile TABLE5. Measured shear wave velocity

uo = amplitude of horizontal transla-
tion Frequency Wavelength Shear wave velocity
vti = shear wave velocity of soil below f (Hz) L(ft) v," = L x f(ft/s)
Can. Geotech. J. Downloaded from www.nrcresearchpress.com by UNIVERSITY OF ARIZONA LIBRARY on 09/06/13

pile tip 47 12.0 564

V, = ,h.%. . = shear wave velocity of soil 40.0 14.4 576
< t = apparent shear wave velocity de-
rived from static test of pile
33.3
27.7
17.9
20.9
596
558
20.0 35.5 710
vw = shear wave velocity of soil derived
from wave propagation
Wo = amplitude of vertical translation Richart et al. 1970). The wave lengths mea-
Xr = horizontal distance of pile from sured at different frequencies and the shear
center of gravity wave velocities calculated are given in Table 5.
2, = height of excitation above cen- The average velocity calculated from the
troid first four values is 573 ft/s (175 m/s). This
"r = interaction factor of pile in group value was used as V,,. in the paper. The last
P = mass density of soil value of 710 corresponds to the deeper layer.
40 = amplitude of rocking The wave velocities established for different
w = circular frequency of excitation frequencies are related to surface waves that
propagate to the depth proportional to the
Appendix. Experimental Values of Shear wave length. The exciter available could not
Wave Velocity reach the high frequencies needed to sample
For personal use only.

The velocity of shear waves in the soil was the upper foot or two of the soil. The introduc-
established by means of the steady state vibra- tion of values V,, attempts to describe the soil
tion technique. (The method is described in stiffness in the uppermost layer.