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This research is concerned with the seismic performance of steel of the current CALTRANS design. Their study showed that
pile-to-pile cap connections representative of construction practice the depth to the plastic hinge within the soil decreases with an
in the eastern U.S. Two perspectives are considered. The first is the increase in the soil density and an increase in the above-
seismic vulnerability of existing pile cap connections, where the ground height. Xiao et al.4 conducted a series of tests as a part
embedment depth of the pile inside the cap beam is small. There-
fore, an initial experimental study was conducted for testing two
of the FHWA-MCEER Highway Project to investigate seismic
specimens that represented existing exterior connections under behavior of bridge steel pile-to-pile cap connections represen-
cyclic lateral loading. The second perspective is the seismic design tative of construction in California. Five full-scale H-shaped
requirements for strong cap beam-to-pile connections. Hence, a steel pile-to-cap connection subassemblies were tested during
theory that assumes a linear distribution of stresses along the con- this experimental study. Two of the full-scale subassembly
nection embedment depth was developed, and comparisons with a specimens were subjected to vertical cyclic load that simulated
finite element model were performed. A second experimental pro- axial forces in pile due to footing overturning during a seismic
gram was conducted to evaluate the performance of specimens ret- ground motion. Two others were loaded with cyclic lateral
rofitted in accordance with the theoretical model developed in this force and constant vertical load. It was found that the pile-to-
study. The results of the second experimental study validated the
proposed retrofit strategy.
cap connection representative of west-coast construction
could sustain a significant amount of moment.
Keywords: concrete; pile; seismic. Steel H-piles are used extensively in bridge pile founda-
tion construction. A common form of practice for bridge
RESEARCH SIGNIFICANCE foundations in the eastern U.S. is to embed steel piles approx-
The behavior and capacity of cyclically loaded steel H-pile- imately 300 mm into the reinforced concrete cap beam. Other
to-concrete pile cap connections are still not well under- foundations are sometimes designed with 75 to 100 mm
stood, and the retrofit strategies for these connections have embedment, with the bottom reinforcing bar cage about the
not been assessed. The present work has two main signifi- pile. Primarily designed for vertical loading, pile-to-cap connec-
cances. It gives a better understanding of the performance of tions may be susceptible to damage during seismic events.
the pile-to-cap connection under cyclic loading, and pro- Therefore, it is imperative to appraise the performance of
vides the design engineer with theoretical principles that are these connections under cyclic lateral loading through a
sufficiently accurate, yet simple enough to be used in practice comprehensive experimental program and to develop methods
for predicting the behavior of such connection under lateral for its retrofit, assessed by experiments to maintain its ductility
loading conditions. during large cyclic drifts. The work presented herein is an
effort to contribute towards both goals.
INTRODUCTION
As a result of the disastrous consequences of earthquakes EXPERIMENTAL STUDY ON EXISITING
during the last decades, research has been focused not only PILE-TO-CAP CONNECTIONS
to enhance the seismic performance of newly designed struc- This experimental program consisted of testing two speci-
tures, but also to develop retrofit strategies for existing ones. mens consistent with present as-built practice in the eastern
Pile-to-cap connection may exhibit plastic hinging during and central U.S. An HP10X42 steel section was employed in
earthquakes if the piles are driven in different saturated soil the experiments, as it is extensively used in pile foundation
layers and the first layer is prone to liquefaction. In such a practice. Figure 1 illustrates the procedure used to determine
case, the local performance of the connection will have a major the physical modeling configuration for a prototype steel pile
effect on the overall performance of the structure. foundation. By extracting the shaded portion in Fig. 1(d) and
Limited previous work has been conducted on the seismic inverting it, a test specimen is formed when anchored to the
evaluation of pile-to-cap connections. Pam and Park 1,2 laboratory strong floor (Fig. 1(e)). The plastic mechanisms
conducted a series of cyclic tests on prestressed concrete pile- for these structures in cohesionless and cohesive soils
to-cap connections. The results showed that well-detailed suggest an average value of 3dp for their effective length L.
prestressed concrete piles and pile-to-cap connections are Consequently, the cantilever length of the pile foundation
capable of undergoing large postelastic deformations without experiments was taken as 0.785 m. The reader may wish to
significant loss in strength when subjected to severe seismic
loading. Chai and Hutchinson3 conducted an experimental
program for bridge structures supported on single extended ACI Structural Journal, V. 99, No. 1, January-February 2002.
MS No. 00-321 received December 20, 2000, and reviewed under Institute publica-
reinforced concrete pile shafts, considering the pile-soil tion policies. Copyright © 2002, American Concrete Institute. All rights reserved,
including the making of copies unless permission is obtained from the copyright pro-
interaction in their experiments. They tested four full-scale prietors. Pertinent discussion will be published in the November-December 2002 ACI
400 mm diameter concrete piles with details representative Structural Journal if received by July 1, 2002.
Fig. 2—Bridge foundation prototype and rationale used for devising model.
Pva = λ Pv ′ (4)
Fig. 6—Photograph of test rig. Fig. 7—Performance of Specimen PS under cyclic loading.
M
ρ = ------j- (5)
Mp
THEORETICAL MODEL
The theoretical model was developed for the strong axis
bending direction, and the same approach can be used for the
weak axis direction. The following assumptions are made in
the analysis:
1. The lateral applied load is relatively high when com-
pared with the axial gravity load. Hence, axial load effect
is ignored;
2. Both concrete bending and compressive stresses along
the embedment depth of the steel section will counteract the
lateral applied load;
3. The stresses and strains, at any load stage, continue to
be closely proportional, that is, the stress distribution along
the embedment depth is linear;
4. The stresses developed at the back face of the con-
nection are small enough to be considered negligible dur-
ing the analysis; and
5. The overall behavior of the connection is governed by
the concrete compressive stress at the extreme fiber in the
front face of the connection.
The mechanism based on these assumptions is shown in
Fig. 9. According to the last assumption, an expression for
the compressive stress of the concrete can be written at the (b) Damage occurred to the pile cap after test
extreme fiber in the front face of the connection in terms of
the stress blocks as follows Fig. 8—Performance of Specimen PW under cyclic loading.
where L* = the distance from the point of application of the fc d p l emb 2
lateral load to the neutral axis of the joint. Substituting Eq. (8) --- ----- ---------
fy t f d p
in (7) gives ρ = -------------------------------------- (13)
6 + --------
l emb
-
*
f c ≥ M j -------------------- + ----------------
1 6 L
(9)
* 2
L b f l emb b f l emb
Based on the study by Shama5 on the locations of plastic
Solving for the joint moment gives hinges within the pile, an average value of 0.3 can be taken
for lemb/L*. Substitute in Eq. (13) an expression for the
2
elastic (precrushing) efficiency is obtained
f c b f l emb
M j ≤ -----------------------
- (10)
6 + --------
l emb
-
f d l emb 2
ρ = 0.16 ---c ----p- --------
- (14)
* fy t f d p
L
Introducing the connection efficiency ρ as defined in By inverting Eq. (14), one can obtain a design expression
Eq. (5), therefore for determining the required normalized embedment length
2
f c bf l emb l emb ρ fy t f
---------
ρ = ---------------------------------- (11) --------- = - --- -----
0.16 fc d p
(15)
l emb dp
f y Z p 6 + -------- -
*
L
FINITE ELEMENT MODELING OF
PILE-TO-CAP CONNECTION
The plastic modulus Zp of the steel pile section can be ap- The three-dimensional finite element model described
proximately expressed as herein represents a short exterior pile with a 300 mm embed-
ment depth in a concrete pile cap. The portion of Specimen
Zp ≈ tf b f dp (12) PS up to the location where it was anchored to the laboratory
strong floor was represented in this model. Therefore the
length, width, and height of the pile cap were taken as 1450,
1000, and 900 mm, respectively. Fixed boundary conditions
were assigned to all the nodes at the interior edge surface to
be consistent with the experimental setup. The lever arm for
the pile was taken as 785 mm from the concrete surface to
conform to the experiment. The direction of the lateral load
was set so that the bending was along the pile’s strong axis.
The geometrical properties of the steel section was taken as
HP10X42, which was the same as the experiment.
Finite element mesh for the model was generated using a
finite element (FE) analysis package, and the finite element
analysis was performed using the ABAQUS Code Version
5.7. An eight-node linear brick element of the type C3D8
was used to limit the computational time to a reasonable
extent. 82.5 x 82.5 x 80 mm brick elements were used for the
concrete cap beam. The same dimensions, except for the
thickness, were assigned to the steel section. 18,270 nodes
and 13,260 elements were used. Contact gap elements of the
type GAPUNI were used to model the steel-concrete interac-
tion during loading. These elements were necessary to
transfer the lateral forces properly from the steel pile to the
concrete beam during lateral loading, hence leading to the
appropriate distribution of stresses along the embedment
depth. Each gap element allows for contact between two
nodes. One node is located on the steel section, and the other
one is located in the same location on the concrete beam. Each
gap element was defined by specifying the two nodes forming
the gap and providing geometric data defining the initial
state of the gap. In the present study, the initial state of the gap
was set to zero; that is, the surfaces are initially bonded. A
Fig. 9—Assumed theoretical linear stress distribution. friction property is associated with each gap element.
Fig. 12—Theoretical efficiency of pile-to-cap connections. Fig. 13—Steel required for edge piles.
l emb fsu tf
--------- = 3.4 ----- 475 × 10.7 = 2.9
----- = 3.4 -------------------------
dp fc′ dp 28 × 246.4
One should keep in mind that pile cap foundations are usu-
ally constructed below the ground level and that during the
retrofit of these foundations, soil will be excavated to the level
of the overlay depth. Under these circumstances, and to
facilitate the concrete placing, 300 mm was added to the pile
cap width at the edges. Figure 14 illustrates the geometry and
reinforcement of the retrofit. The construction of the retrofit
in the lab was carried out in three steps: 1) the main longitu-
dinal L-shaped 25-mm reinforcement was set in place and
fastened together; 2) additional longitudinal reinforcement
consisting of 13-mm reinforcing bars at 150 mm was added
to complete the reinforcing cage; and 3) the construction of
the retrofit was concluded by setting the formwork in place
and placing the concrete. A photograph of the retrofit con-
struction is shown in Fig. 15.
Since the retrofit process will be carried out in the field in
an inverted position, soil excavation must be wide enough to
allow for the retrofit construction. Also, good compaction of
(a) Lateral-load displacement relationship
the new concrete is necessary during placing to ensure
bonding and avoid any potential gaps between the new
and existing concrete.
CONCLUSIONS
Based on the results presented herein, the following con-
(a) Lateral-load displacement relationship clusions are drawn:
1. Steel pile-to-concrete cap connections representative of
construction in the eastern U.S. may be vulnerable to damage
during future earthquakes, if the soil is liquefiable. Hence,
subsequent damage of the superstructure may also be expected;
2. A simplified linear elastic theory developed in the
present study was effective in predicting the performance of
such connections under lateral load;
3. Experimental results from the limited number of full-
scale test specimens presented in this paper indicated that
the retrofitted specimens possessed a superior perfor-
mance in terms of ductility with respect to the as-built
specimens. Therefore, the conceptual elastic cap/elasto-
plastic steel pile retrofit strategy proposed in this study is
considered to be validated;
4. It should be emphasized that the retrofitted pile-to-cap
connections investigated in the present study were tested to
high drift amplitudes of ± 6%. In an actual earthquake, the
structure may not exhibit such drifts. Local buckling failure
(b) Local buckling occurred to steel pile in the hinge zone was attained in the experimental study as a result of low
cycle fatigue under lateral loading, which may not occur
during an actual seismic event; and
Fig. 17—Performance of Specimen RePW under cyclic 5. Further research is necessary for other kinds of piles
loading. such as steel pipe piles and timber piles.