Cyclic Macro-Element For Soil) Structure Interaction: Material and Geometrical Non-Linearities

* Correspondence to: CeH cile Cremer, GeH odynamique et Structure, Bagneux, France
Received 9 May 2000

Copyright 2001 John Wiley & Sons, Ltd. Revised 20 March 2001
INTERNATIONAL JOURNAL FOR NUMERICAL AND ANALYTICAL METHODS IN GEOMECHANICS
Int. J. Numer. Anal. Meth. Geomech., 2001; 25:1257}1284 (DOI: 10.1002/nag.175)
Cyclic macro-element for soil}structure interaction: material and
geometrical non-linearities
CeH cile Cremer*, Alain Pecker and Luc Davenne`
GeHodynamique et Structure, Bagneux, France
`Laboratoire de MeH canique et de Technologie-ENS Cachan, Cachan, France
SUMMARY
This paper presents a non-linear soil}structure interaction (SSI) macro-element for shallow foundation on
cohesive soil. The element describes the behaviour in the near "eld of the foundation under cyclic loading,
reproducing the material non-linearities of the soil under the foundation (yielding) as well as the geometrical
non-linearities (uplift) at the soil}structure interface. The overall behaviour in the soil and at the interface is
reduced to its action on the foundation. The macro-element consists of a non-linear joint element, expressed
in generalised variables, i.e. in forces applied to the foundation and in the corresponding displacements.
Failure is described by the interaction diagram of the ultimate bearing capacity of the foundation under
combined loads. Mechanisms of yielding and uplift are modelled through a global, coupled plasticity}uplift
model.
The cyclic model is dedicated to modelling the dynamic response of structures subjected to seismic action.
Thus, it is especially suited to combined loading developed during this kind of motion. Comparisons of
cyclic results obtained from the macro-element and from a FE modelization are shown in order to
demonstrate the relevance of the proposed model and its predictive ability. Copyright 2001 John Wiley
& Sons, Ltd.
KEY WORDS: macro-element; soil}structure interaction; shallow foundation; plasticity; uplift
1. INTRODUCTION
Numerous studies have been performed on the bearing capacity of a shallow foundation under
inclined eccentric loading. Guided by experimental results, Meyerhof [1], Vesic [2], Butter"eld
and Gottardi [3] have proposed a solution for a shallow foundation lying on a sand layer. Later,
Salenion and Pecker [4,5], Paolucci and Pecker [6], Ukritchon et al. [7] and Houlsby and
Puzrin [8], have elaborated solutions for frictional and/or cohesive medium. The proposed
bounding surfaces allow the determination of the ultimate forces supported by the foundation,
but do not allow prediction of the amplitude of permanent displacements, which may in certain
cases become excessive and lead to instability of the structure.
M
H
V
B
(1- )B
e
x
e
z
x
z
Figure 1. System de"nition.
The concept of macro-element has been applied to the soil}structure interaction by di!erent
authors. They have especially studied the case of a foundation on sand. Among them, Tan [9],
Nova and Montrasio [10], Gottardi et al. [11] have performed a lot of experimental tests, for
di!erent monotonic loading paths, that guided them in the elaboration of a macro-element.
Martin [12] has applied the same concept, but for o!shore foundations on cohesive soil. These
models lead to a good prediction of plastic displacements, especially settlements, but only under
monotonic loading. Recently, Pedretti [13] has extended the Nova and Montrasio model to
cyclic loading using the hypoplasticity theory.
In this paper, we propose a new cyclic soil}structure interaction macro-element for a shallow
foundation on cohesive soil. Besides the plastic behaviour of the soil, the model takes into account
the non-linearities at the soil}foundation interface. Uplift has the e!ect of signi"cantly reducing
the forces in the structure. Di!erent studies have shown that it is a predominant factor at the base
of slender structures during seismic action [14]. This paper presents the cyclic plasticity-uplift
coupled model, and proposes a macro-element, which is rather easy to use and which represents
a very e$cient tool in designing a structure}foundation system.
2. BEHAVIOUR CHARACTERIZATION
2.1. System dexnition
Assuming that the foundation is a rigid body, its movement can be described with global
variables expressed at the foundation centre (Figure 1). The behaviour of the soil}foundation
system will thus be modelled through the forces applied at the base of the foundation (vertical
force <}horizontal force H}moment M) and through the corresponding kinematic displacements
measured at the centre (vertical displacement z}horizontal displacement x}rotation 0). The
separation ratio of the foundation of width B is noted as o; it is de"ned as the ratio of the length of
the foundation not in contact with the soil divided by the foundation width.
2.2. Numerical data base
Due to the di$culty and cost of carrying out experimental tests on a foundation lying on
a cohesive medium (mainly due to the di$culties of the model preparation due to clay consolida-
tion) for di!erent loading paths, the elaboration of a numerical data base allowed us to
1258 CED CILE CREMER, ALAIN PECKER AND LUC DAVENNE
Copyright 2001 John Wiley & Sons, Ltd. Int. J. Numer. Anal. Meth. Geomech., 2001; 25:1257}1284
Figure 2. 2D "nite element mesh (parameters of the clay constitutive law: c"c
"
#Vg Z with c
"
"30 kPa
and Vg"3 kN/m`; G/c"1300 (G
"
"39 MPa); v"0.45; j"1.9 t/m`;
`
"0.016).
characterize the foundation behaviour and to identify the model parameters. These simulations
have been performed with the "nite element code Dyna-ow (PreH vost, version 1998), which
provides adequate constitutive laws for the description of the soil behaviour under cyclic loading.
The 2D numerical model (Figure 2) consists of a foundation lying on a largely discretized soil
medium, presenting a constant rate of increase of cohesion with depth. The contact elements at
the soil}foundation interface are governed by a no-tension criterion that allows separation
between the soil and the foundation.
For the soil modelling, the PreH vost [15] multi-yield constitutive law for cohesive soil is used.
This is an analytical model which describes the anisotropic, elastoplastic, path-dependent
stress}strain}strength properties of saturated clays under undrained loading conditions. The
failure is de"ned by the Von Mises criterion. The hardening is purely kinematic and is described
by successive yield surfaces translating inside the failure criterion. A plastic modulus is associated
with each of the yield surfaces, and an associative #ow rule is used to compute the plastic strains.
The cyclic behaviour is presented in Figure 3 for a triaxial compression and extension simulation.
The constitutive parameters have been identi"ed from experimental tests on undrained normally
consolidated saturated clay (plasticity index PI"20 per cent).
On the basis of these numerical simulations, carried out for a large number of di!erent loading
paths, the foundation behaviour has been interpreted.
2.3. Description of behaviour
Di!erent response diagrams M}0 (moment}rotation), H}x (horizontal force}horizontal displace-
ment), M}z (moment}vertical displacement) and M}o (moment}uplift ratio) are presented in
Figures 4}7 for a foundation with an ultimate vertical force equal to <
`
"2.4 MN. It is
subjected to a constant vertical force < (<"0.6 MN; </<
`
"0.25) and a cyclic radial loading
path in the M}H plane (M/H"10 m). The behaviour is strongly non-linear and highly
CYCLIC MACRO-ELEMENT FOR SOIL}STRUCTURE INTERACTION 1259
Figure 3. PreH vost's multi-yield model for anisotropic undrained clays (1978): Triaxial compres-
sion and extension stress}strain curves.
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-0.002 -0.0015 -0.001 -0.0005 0 0.0005 0.001 0.0015 0.002
(rad)
M

(
M
N
m
)
cyclic
monotonic
V=0.62MN
M/H=10m
Figure 4. Overturning moment}rotation.
dissipative. Non-linearities come from soil yielding but also from uplift at the interface. The non-
linearities due to uplift are partially recoverable (Figure 7), and thus clearly noticed in the
unloading part of the M}0 and M}z curves. Indeed, we observe in the unloading M}0 curve
(Figure 4), the increase in sti!ness due to restored contact of the foundation with the soil. In the
M}z diagram (Figure 6), which is dominated by the foundation settlement (increasing with
cycles), we note the e!ect of the lift-up of the centre of gravity during uplift and its lowering during
unloading.
2.4. Model design
From the observation of this kind of behaviour, it has been chosen to build the macro-element
around two di!erent models, one in plasticity and one in uplift, separated but coupled. Coupling
-0.2
-0.15
-0.1
-0.05
0
0.05
0.1
0.15
0.2
-0.01 -0.005 0 0.005 0.01
x (m)
H

(
M
N
)
cyclic
monotonic
V=0.62MN
M/H=10m
Figure 5. Horizontal Force}horizontal displacement.
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
0 0.002 0.004 0.006 0.008 0.01 0.012
z (m)
M

(
M
N
m
)
cyclic
monotonic
V=0.62MN
M/H=10m
Figure 6. Overturning moment}vertical displacement.
between both submodels accounts for the in#uence of plastic yielding on uplift and vice versa, of
uplift on plastic yielding. Indeed, the reduction of the foundation width in contact during uplift
induces an increase of the stresses under the foundation. This leads to a larger soil yielding, which
itself modi"es the uplift behaviour of the foundation. Following this philosophy, the (z, x, 0)
displacements calculated for a given (<, H, M) forces vector are obtained by summing the
di!erent components, i.e. the elastic and plastic displacements issued from the plasticity model,
and the uplift displacement issued from the uplift model:
u
tot
"u
el
#u
pl
#u
up
The assumption that the global behaviour of the foundation behaves purely elastically during
unloading, allows one to assign all the non-linear e!ects visible on the unloading part of the
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-60 -40 -20 0 20 40 60
Uplift (%)
M

(
M
N
m
)
cyclic
monotonic
Uplift
left side
Uplift
right side
virgin loading
unloading-reloading
V=0.62MN
M/H=10m
Figure 7. Overturning moment}uplift.
curves to geometrical non-linearities. They are all gathered into the uplift model. These are
associated with the rotation and the vertical displacement (lift-up and lowering of the gravity
centre) induced exclusively by uplift. These expressions are "rst deduced from an uplift model for
an elastic soil. They are further modi"ed to take into account the coupling with plasticity. One
consequence of that coupling is that uplift becomes partially irreversible and that the moment
M for which it is initiated becomes a function of the foundation bearing capacity.
The plasticity model includes all the other non-linearities. These come from soil yielding under
the dead weight, under the increase in loads and also under the increase in stresses in the soil
during uplift. The e!ect of uplift is introduced by a failure criterion which corresponds to
a soil-failure mechanism for a foundation with uplift. The hardening law is also deduced from the
observation of the uplift behaviour. Finally, all the plastic parameters are identi"ed from
the plastic displacements from which the non-linear uplift components have been previously
subtracted.
This substructure approach decomposes a highly non-linear, coupled problem in order to
study each nonlinear e!ect separately, but without dismissing any coupling.
3. MODELLING
3.1. Plasticity model
3.1.1. Constitutive laws. The constitutive law is written as
F "K: (u !u
pl
) (1)
where u "u
el
#u
pl
with u
el
being the increment of elastic reversible displacement, u
pl
the
increment of plastic permanent displacement.
Figure 8. Failure overturning mechanism with uplift.
The global variables (forces and displacements) have been rendered dimensionless to work with
a systemindependent of the foundation width B and of the plastic properties of the soil (cohesion):
F,
<'
H'
M'
"
1
<
`

<
H
M/B
, u,
z'
x'
0'
,
1
B
z
x
B0
(2)
where K is the dimensionless elastic sti!ness matrix (see Section 3.1.2), <
`
"q
`
B, with
q
`
being the foundation ultimate pressure under vertical centred load [16] or [17].
The plastic displacement increment is de"ned by the tensor
u
pl
"zQ ,P (3)
where P de"nes the #ow direction of plastic displacements in the forces' space, zQ is the plastic
multiplier; zQ ,"zQ if zQ *0, else zQ ,"0.
3.1.2. Elastic stiwness matrix. The dimensionless elastic sti!ness matrix is written as
K,
K'
XX
0 0
0 K'
VV
0
0 0 K'
FF
with K'
XX
"
K
XX
q
`
, K'
VV
"
K
VV
q
`
, K'
FF
"
K
FF
B`q
`
(4)
This is a diagonal matrix where the diagonal terms K
XX
, K
VV
, K
FF
correspond to the real part of the
static impedances of a shallow strip foundation, de"ned for instance by Gazetas [18]. They are
functions of the geometrical properties of the foundation (width B) and of the elastic properties of
the soil (shear modulus G, Poisson's ratio v).
Following the common practice for surface foundations, the o!-diagonal terms have been
neglected because they are very low with respect to the diagonal terms and do not signi"cantly
in#uence the foundation response.
3.1.3. Failure criterion. Bearing-capacity solutions, under any loading (combination of <, H, M),
for a strip foundation lying on a homogeneous cohesive half-space, have been proposed by
Salenion and Pecker [4,5] and Pecker [19] for a soil obeying the Tresca criterion with and
without tensile strength. These solutions have been obtained within the framework of the yield
design theory with static and kinematic approaches (Figure 8).
Figure 9. Bounding surface for cohesive soil.
For a homogeneous cohesive soil without tensile strength, the equation of the bounding surface
is (Figure 9)
f"
H'
a<'A(1!<')B
`
#
M'
b<'C(1!<')D
`
!1"0 (5)
with the coe$cients (values given in Table I):
E
a and b that de"ne the size of the bounding surface of elliptic shape in a (H', M') plane;
E
c, d and e, f that de"ne the parabolic shape of the bounding surface in the (<', H') and (<', M')
planes, respectively.
These coe$cients have been determined from the curves proposed by Ukritchon et al. [7] who
have derived solutions for a heterogeneous cohesive soil pro"le, exhibiting a constant gradient of
cohesion with depth [20]. The coe$cients are thus functions of q
`
/q
"`
, where:
E
q
`
is the foundation ultimate bearing capacity for a soil pro"le with cohesion c
"
at the surface,
exhibiting a gradient of cohesion, constant with depth;
E
q
"`
is the ultimate bearing capacity of the same foundation for a homogenous soil pro"le with
cohesion c
"
.
3.1.4. Loading surfaces. Knowing the failure criterion, one has now to determine the evolution of
the loading surface, dragged by the forces point, towards the failure surface when the forces
increase. The choice has been guided by the need for reproducing the behaviour of the soil and
foundation, initially submitted to the weight of the structure, and then solicited along any loading
path. Since the macro-element is built with the ultimate aim of modelling soil}structure interac-
tion under seismic action, loading paths followed by the structure under seismic conditions have
been favoured. If it is assumed that the dynamic gravity centre of the structure varies only slightly
(one predominant mode in the response), the paths are mainly radial in the (H, M) plane, with
a vertical force being almost constant (Figure 10). The model will be particularly well adapted for
these paths (parameters identi"cation).
Table I. Proposed relationships for the parameters determination without any test.
Parameter Relationship
Elastic
Static sti+ness for a shallowstrip foundation on a heterogeneous soil medium with a gradient
of shear modulus constant with depth [18]:
K
XX
, K
VV
, K
VV
K
XX
"
0.73
1!v
G
"
(1#2:); K
VV
"
2
2!v
G
"
1#
2
3
:
; K
FF
"

2(1!v)
G
"
B
2
`
1#
1
3
:
where : de"nes the G shear modulus gradient following:

G"G
"
(1#:) and "
2z
B
with z, the depth, G
"
, the shear modulus at depth z"0, G, the shear modulus at depth z,
v, the Poisson ratio, B, the foundation width
Plastic
;ltimate bearing capacity of a shallow strip foundation for a vertical centred loading on
a cohesive soil [17]):
q
"`
Homogeneous soil with constant cohesion c
"
:
q
"`
"5.14c
"
Heterogeneous soil with a gradient of cohesion constant with depth:
q
`
q
`
"j
c
"
5.14#
VgB
4c
"
where Vg de"nes the c cohesion gradient following c"c

"
#Vgz
with z, the depth, c
"
, the cohesion at depth z"0, c, the cohesion at depth z, B, the width
of the foundation, j
, coe$cient depending on VgB/c

"
and on B/h, with h, the height of
the soil layer. Diagrams of j
are given in Matar and Salenion [17]

a, b, c, d, e, f Coe.cients of the failure criterion [20];
a"0.32/c; b"0.37/c"`; c"0.25; d"0.55; e"0.8; f"0.8;
where c"q
`
/q
"`
, Parameters of the plastic potential:
+0.23; +0.18
;plift
Moment for which the uplift is initiated, as a function of <':
M'
"
M'
"
"0.25<' exp``4
Magnifying unloading factor to apply to the loading slope of the (M'/<', o) relationship:
p p"4!3 exp(!4<' )
During the initialization phase of the gravity loads (Figure 11), the loading surface is reduced to
a straight line segment along the <'-axis (M'"H'"0):
f"<' with <'3[0, ,] and ,3[0, 1]. (6)
At the end of the initialization, <'","N/<
`
, where N is the weight of the structure.
CG
h
m
B
M
H
h
1
h
2
h
3
h
4
for a constant V
Figure 10. Type of loading paths preferentially developed during seismic action for a structure
with one predominant mode.
0 1
V
Figure 11. Initialization under vertical load.
Figure 12. Hardening rule: evolution of the loading surface.
For any loading, the surface, initially reduced to a straight line segment, is dragged along by the
forces point F. It simultaneously undergoes an isotropic growth and a kinematic translation of
the ellipse centres in the (H', M') plane, with a movement of the extreme point P along the <'-axis
(Figure 12). This point moves in such a way that, when point F reaches the failure surface, point
P simultaneously reaches the extreme failure point <'"1.
To describe this evolution, the loading surfaces are written as
f"
H'!:I
A
&
jIA
&

`
#
M'![IA
+
jIA
+

`
!1"0 with A,
0
I
A
&
I
A
+
0
a<'A(!<')B
a<'C(!<' )D
(7)
and
",#(1!,) ( j#t)
Figure 13. Relationship between isotropic and kinematic parameters.
E
,
0
:
[
is the kinematic hardening vector, with t"( : )`"(:`#[`;
E
j is the isotropic hardening parameter.
The condition ",#(1!,)( j#t) ensures that point P moves from<'", to 1 as a function of
the j and t hardening parameters. Under the assumption of a radial loading path in the (H', M')
plane, it may be veri"ed that point F reaches the failure surface for j#t"1. At that moment, the
extreme point P of the loading surface reaches point <'"1.
3.1.5. Hardening laws. The hardening laws describe the evolution of the j and t parameters, so
that the model correctly reproduces the foundation behaviour under cyclic loading as well as
under monotonic loading. These laws are deduced from three relationships: (a) the relationship
that will link the isotropic parameter to the kinematic which is determined from the observation
of the foundation behaviour during uplift; (b) the criterion of non-interpenetration of the failure
surface by the loading surface which will allow us to de"ne the direction of the kinematic
hardening vector, a criterion that is commonly used in multi-surface plasticity models (see for
instance Prevost, Mroz); (c) the consistency rule which will determine the amplitude of the
kinematic hardening vector.
For that, it will be posed that
"tR

(8)
where tR that de"nes the amplitude of the kinematic increment and / its direction.
(a) Relationship between jR }tR: It is observed for the M'}0' relationship that loading of the
foundation on one side almost does not in#uence its behaviour on the other side. This is easily
explained by considering the role of uplift. The soil area located under the edge of the foundation,
which has been strongly solicited and has yielded during loading in one direction, does not
contribute, if uplift occurs, to the foundation response during loading in the opposite direction.
The behaviour for the evolution of the loading surfaces (Figure 13) is expressed by imposing the
condition that point F, representative of the forces state reached during loading in one direction,
becomes a "xed point of the loading surface during loading in the opposite direction.
Figure 14. Non-interpenetration criterion.
This condition is written as (for a radial path)
jR "tR (9)
(b) Criterion of non-interpenetration of the failure surface by the loading surface: Following the
philosophy of Prevost's tangent rule [15], this criterion ensures an evolution of the loading
surface such that, at failure, the representative point of the forces state coincides with the meeting
point of the loading surface with the failure surface.
The vector direction representing the increment of the kinematic hardening vector / is
calculated by imposing the condition that the next forces point F
G>
(Figure 14) lies along the
segment de"ned by F
G
F
D
, with F
D
belonging to the failure surface, such that O
G
F
G
//OF
f
.
The following equations are obtained:
,
0
I
&
cos !H'
I
A
&
I
+
sin !M'
I
A
+
, "a tan
&
I
+
M'![I
+
H'!:I
&
(10)
where I
&
, I
+
are equivalent to I
A
&
, I
A
+
but de"ned for the failure surface, i.e. for "1
,
0
I
&
I
0
a<'A(1!<' )B
a<'C(1!<' )D
(c) Consistency rule: The consistency rule
fQ"0 (11)
determines the amplitude tR of the kinematic hardening incremental vector. By introducing
Equations (8) and (9) into the consistency rule, and noting that
zQ "
1
h'
Q: dF (12)
tR"!zQ ,
h'
cf/c : / #cf/cj
(13)
Determination of the plastic modulus h' from the M'}0' relationship: The plastic modulus h'
describes the evolution of the force}plastic displacement relationship for monotonic loading. As
we are mainly interested in the rotational foundation behaviour, h' is identi"ed with the M'}0'
relationship.
By introducing relationships (12) and (18) into (3) and then (3) into (1), and by isolating the h'
parameter in the rotational component, it is given by
h'"
K'
FF
(dM'/d0')
K'
FF
!(dM'/d0')
2M'
`
cf
c<'
d<'
dM'
#
cf
c<'
d<'
dM'
#
cf
cM'
(14)
By identifying the M'}0' relationship, it is proposed for dM'/d0' that
dM'
d0'
"K'
FF
exp(!K'
FF
0'/M'
`
) with M'
`
: moment corresponding to failure. (15)
Determination of the initial settlement of the foundation under the weight of the structure
(initialization phase under gravity): For the calculation of the foundation settlement under
a vertical centred load, the relationship proposed by Nova and Montrasio [10] has been chosen:
<'"1!exp) XXX (16)
3.1.6. Flow rule. The choice of a plastic potential g di!erent from the loading surface f (non-
associated model) is, in this particular case, required to correctly model the evolution of the
plastic displacements.
The plastic potential g has been chosen as
g"
H'

`
#
M'

`
#<'`!1"0 and P"
cg
cF
(17)
with
cg
c<'
"2<',
cg
cH'
"
2H'
`
,
cg
cM'
"
2M'
`
(18)
It describes an ellipsoid centred at the axes origin (<', H', M').
The choice of a non-associated model is justi"ed because the outer normal to the yield surface
is not convenient for de"ning the direction of the plastic displacements u
pl
. This is particularly
Figure 15. Non-associated model. External normals of the loading surface and of the plastic potential.
-0.0045
-0.004
-0.0035
-0.003
-0.0025
-0.002
-0.0015
-0.001
-0.0005
0
0 0.0005 0.001 0.0015 0.002 0.0025
p
l
FE results
model
M/H=2
M/H=20
M/H=5
M/H=10
x
pl
Figure 16. Plastic #ow: plastic rotation}horizontal displacement.
obvious for loading with a small <' (Figure 15). In that zone (i.e. for <' smaller than the value
corresponding to the summit of the parabola in the (H', <') or (M', <') plane), the component
along <' of the outer normal to the yield surface n
D
is always negative whatever the loading is (and
particularly even if <' increases). The choice of an ellipsoid centred at the axes origin as plastic
potential allows for increasing plastic vertical displacements, even in this zone.
This potential linearizes the relationship between the plastic displacements for a radial loading
path of the corresponding forces. Figure 16 shows that this choice, when compared to FE
simulations, is acceptable.
For this example (radial loading path in the (H', M') plane for a constant <' ), we have (from
Equations (3) and (18))
0Q ''
xR ''
"
`
`
M'
H'
(19)
M
M
0
=VB/4
0
M
C
=VB/2
Figure 17. Moment}rotation (elastic soil).

3.1.7. Elasto-plastic tangent stiwness matrix. In the previous chapters, all the components re-
quired to de"ne a plasticity model have been set. The terms of the elastic sti!ness matrix
correspond to the static sti!nesses of a shallow strip foundation. The interaction diagram of the
foundation bearing capacity (limit analysis for an overturning failure mechanism with uplift) has
been chosen for the failure criterion. The evolution of the loading surface and the hardening rule
has been expressed to describe the cyclic behaviour of the foundation specially under seismic
loading. Finally, the choice of the plastic potential leads to a linearization of the relationships
between plastic displacements for a radial path of the corresponding forces.
Knowing all that, the expression of the elasto-plastic tangent sti!ness matrix K
elpl
can now be
derived:
F "
K!
1
h'#h
"
(K: P)(Q: K)
: u with h
"
"Q: K: P (20)
3.2. Uplift model
The uplift model for a foundation lying on an elastic soil is "rst presented. The expression of the
separation ratio o, as a function of the M/< ratio, is given, as well as the evolution of the
rotational and vertical components of displacement due to uplift. Then the in#uence of soil
yielding on the uplift behaviour is studied. Indeed, yielding modi"es the stress distribution under
the foundation and a!ects the value of the soil resisting forces for a given uplift. An uplift surface,
moving in the forces space with the loading history, is proposed. The expressions of the rotation
and vertical displacement of the elastic model are adapted to take into account the coupling with
plasticity.
3.2.1. Uplift model for an elastic soil [21]
Determination of the percentage of uplift width o for a (M, <) forces couple: For a shallow (perfectly
rigid) foundation lying on an elastic, homogeneous soil medium, under the assumption of an
actual, vertical stress distribution under the foundation (vertical stresses tending towards in"nity
at the edges of the foundation), CreH mer [21] proposed the following relationships (Figure 17):
Before uplift M(M
"
, M"K
FF
0
Uplift onset M"M
"
, M
"
"K
FF
0
"
M
C
=VB/2
M
0
=VB/4
M
0
1
0.5
M
0
1
Figure 18. Moment}uplift (elastic soil).
During uplift M'M
"
,
M
M
"
"2!
0
"
0
(21)
0"
0
"
1!o
(22)
with M
"
"<B/4, where M
"
is the moment for which uplift is initiated, 0
"
is the rotation
corresponding to M
"
.
M
"<B/2, where M
is the critical moment for which the structure overturns (o! centre vertical
force of a half foundation width).
From these relationships (Equations (21) and (22)), it results that the length Bo along which
separation occurs is a linear function of the ratio M/< (Figure 18) and is written as
o"
M
M
"
!1 with M
"
"<B/4 (23)
Note: It should be noticed that the vertical stress distribution at the soil}foundation interface is
very slightly in#uenced by the soil pro"le (layer of limited depth, constant gradient of the elastic
properties with depth). Figure 19 compares the vertical stress distribution under vertical loading
for an homogeneous soil pro"le (Poulos and Davis [22] analytical solution) and for a pro"le with
a linearly increasing elastic sti!ness, corresponding to the reference case of Figure 2 (Dyna#ow
FE simulations). However, for a layer of very limited depth or for strong gradient, the in#uence of
uplift on the horizontal degree of freedom may no longer be neglected.
Calculation of the components in rotation 0" and vertical displacement z" induced by uplift: Setting
0"0'#0" and M"K
FF
0' during uplift, the expression of 0", the rotational component
coming exclusively from uplift, is computed as
0""0
"
o`
1!o
(24)
By writing the purely kinematic relationship existing between rotation and vertical displacement
of the foundation centre, the expression of the vertical displacement due to uplift can also be
0
0.5
1
1.5
2
2.5
3
3.5
4
z
z
/
z
z
m
e
a
n
linearly increasing stiffness (numerical
solution)
homogenous soil (analytical solution)
-B/2 0 B/2
Figure 19. Vertical stress distribution at the soil}foundation interface for a vertical loading.
computed. This is found by calculating "rst the in"nitesimal increment dz at the foundation
centre produced by an increment d0, under the assumption of a vertically "xed point located at
the centre of the foundation of reduced width (1!o)B. By integrating dz from 0
"
to 0, and by
replacing 0 by its o expression (Equation (22)), it "nally gives
z""
B0
"
2
o
1!o
#ln (1!o)
with o'0 (25)

Note: All the equations discussed above will be, for the elasto-plastic model, expressed in
the dimensionless variables ( ' ) of our system in order to include the e!ect of the bearing
capacity <
`
.
3.2.2. Uplift surface for an elasto-plastic soil. In the plasticity model, a loading surface growing
inside the failure criterion and referring to a certain yielding level has been proposed. Following
the same idea, an uplift surface moving inside an uplift domain de"ning the magnitude of
soil}foundation separation is built. This uplift surface is expressed in the forces space.
As for an elastic soil, it is observed that o is only a function of the M' and <' variables, and it
may be assumed that it is independent of the H' force. For this reason, the following developments
will be made in the (<', M') plane, for a given H'. The surfaces of &iso'-separation (same separation
ratio) are presented in Figure 20, superimposed with the failure criterion. Their shapes have been
deduced from Dyna-ow numerical simulations. Those surfaces de"ne, in the forces plane, an uplift
domain limited between the 0 and the 100 per cent separation surfaces.
The slopes at the origin of the surface corresponding to the onset of uplift (o"0 per cent) and
that corresponding to maximum separation (o"100 per cent) are
dM'
d<'
4"
B" ' "'

"
"
and
dM'
d<'
4"
B"" ' "'

"
`
(26)
which is consistent with the uplift behaviour of the foundation on elastic soil.
Figure 20. &Iso'-uplift surfaces and failure criterion in the (M', <') plane.
M/V
M
0
/V
1/4
V <
V >
elastic
1
Figure 21. Evolution of the uplift for di!erent values of <'.
The only values of separation, which may be reached during loading, are de"ned by the area of
the uplift domain located inside the failure criterion. Thus it is obvious that, with plasticity, soil
failure occurs before uplift has led to 100 per cent separation between the soil and the foundation.
The greater the <' force, the smaller the maximum separation reached at failure.
3.2.3. Evolution of the uplift surface
Monotonic loading: The moment M'
"
for which uplift is initiated is not (contrary to the elastic case)
a linear function of <' (see M'
"
curve in Figure 20). Its variation may be approximated by
a function of form
M'
"
"
<'
4
exp4 where A is a parameter to identify (27)
Moreover, it is observed that separation is still a linear function of the M'/<' ratio (Figure 21)
with the same coe$cient, whatever the yielding level. By applying the uplift results in elasticity
(Equation (23)), a coe$cient of
"
is found for the slope.
The separation evolution is then de"ned by
o"
4
<'
(M'!M'
"
) (28)
M /V
M
0
(0)
p
(1)
/4
1
1
1/4
M
0
(1)
M
0
(2)
/ V
M
p
(1)
M
p
(2)
p
(2)
/ V
/ V
/ V
/ V
Figure 22. Uplift irreversibility (cyclic loading).
Knowing the expression of the surface at the onset of uplift and knowing also that separation is
a linear function of the M'/<' ratio, the evolution of the uplift surface is, in the (M', <') plane,
entirely de"ned for a monotonic loading.
Cyclic loading: For an elasto-plastic soil, uplift is no longer totally reversible (Figure 7). During
cyclic tests, it is observed that, after some cycles, soil yielding, located around the edges of the
foundation, leads to a bumping of the interface, and then to the appearance of holes at each edge.
This additional permanent non-linearity is visible on the (M'/<'!o) curve where the slope
during unloading and reloading (till the previously applied loading has been reached) is signi"-
cantly increased with respect to the original loading one (Figure 22).
This behaviour leads to a division of the uplift domain into an elastic}uplift and a plastic}uplift
domain. The elastic domain de"nes the set of forces that have already been applied to the
foundation. The plastic domain covers the set of forces that have not yet been reached during the
loading history. The surface, which separates the two domains, is nothing but the loading
surface of the plasticity model. Each domain is characterized by a di!erent slope in the
(M'/<'}o) diagram. The plastic domain has a slope of
"
. The elastic domain has a larger slope
p/4, where p is a magnifying factor (ranging from 1 for an elastic soil to about 4 for a highly
plastic soil) depending on the yielding and thus on the <' force. The p parameter needs to be
identi"ed.
To summarize (Figure 23), for a given H' and <', uplift occurs if M''M''''
"
and:
E
if M''M''''
: o"
4
<'
(M'!M''"'
"
) with M''"'
"
"
<'
4
exp4 ,
E
if M')M''''
: o"
4
p<'
(M'!M''''
"
) M''''
"
"M''''
N
!
p<'
4
o'''
N
,
where M''''
is the moment belonging to the loading surface. It is calculated from Equation (10) for
the given H' and <', o'''
is the separation corresponding to M''''
through the equation

o'''
"(4/<') (M''''
!M''"'
"
).

surface
M M
=100%
V
1 0
Failure
p
(i)

max
M
c
M
max
M
0
(i)
M
0
(0)
M
p
(i)
Plastic
Elastic
Elastic Plastic
=0%
(0)
=0%
(i)

Figure 23. Coupling between plasticity and uplift.
3.2.4. Rotation 0'" and vertical displacement z'" induced by uplift. As noted just above, the
percentage of separation reached at failure is smaller than 100 per cent, depending on the applied
<'. Thus in order to ensure that 0'" tends towards in"nity when the soil fails under a purely
overturning mechanism (i.e. for H'P0), o is replaced, in Equations (24) and (25), by the ratio
o/o
`
. o
`
is the maximum percentage of separation width reached at failure for a given <' and
for H'"0 (Figure 20). Following Equation (28), we write
o
`
"
4
<'
(M'
`
!M'
"
) (29)
where M'
`
is the maximum moment reached at failure for a given <' and H'"0, i.e. (from
Equation (5))
M'
`
"b<'(1!<')' (30)
The expressions of 0'" and z'" are now written as
0'""(1!<' ) 0
"
(o/o
`
)`
1!o/o
`
(31)
z'SN"(1!<' )
0
"
2
o/o
`
1!o/o
`
#ln(1!o/o
`
)
(32)
In both of them, the (1!<' ) coupling coe$cient has been introduced because it is noted that, for
a given value of o/o
`
, the greater <' (the larger yielding), the smaller the 0'" and z'" uplift
components. This expression is consistent because for <'P0 (elastic soil), the coe$cient is equal
to 1 (no yielding) and for <'P1 (vertical force tending towards the ultimate bearing capacity of
the foundationPmaximum yielding and failure), the coe$cient is equal to 0 (no uplift).
3.2.5. Uplift tangent stiwness matrix. To summarize, knowing the current state of yielding (loca-
tion of the loading surface), the percentage of separation corresponding to the forces <', H', M'
can be calculated. Then, fromthe o value, the 0'" and z'" displacement components are obtained.
dF, du
el
dF
du
tot
= du
el
+ du
pl
+

du
up
Elasticity
Plasticity
Uplift
dF, du
pl
dF, du
up
Modle de plasticit
dF=K
elpl
(du
el
+ du
pl
)
Plasticity model
dF=K
elpl
(du
el
+ du
pl
)
Uplift model
dF=K
up
du
up
dF=K
elplup
du
tot
Figure 24. Structure of the global model.
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-0.0008 -0.0006 -0.0004 -0.0002 0 0.0002 0.0004 0.0006 0.0008
(rad)
M

(
M
N
m
)
Figure 25. Plastic model (el. #pl. comp.).
By writing the "rst order Taylor development of 0'" and z'",
d0'""
c0'"
c<'
d<'#
c0'"
cM'
dM' and dz'""
cz'"
c<'
d<'#
cz'"
cM'
dM' (33)
the linearized terms of the compliance matrix can be computed. After inversion, the uplift tangent
sti!ness matrix K
up
is calculated.
3.3. Global model (plasticity#uplift)
The total displacement increment u '' experienced by a foundation submitted to a F forces vector
increment is simply obtained by summing the elastic, plastic and uplift components (Figure 24).
u
tot
"u
el
#u
pl
#u
up
(34)
Figures 25}27 show an example for the rotational component.
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-0.0003 -0.0002 -0.0001 0 0.0001 0.0002 0.0003
(rad)
M

(
M
N
m
)
Figure 26. Uplift model (up. comp.).
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-0.001 -0.0005 0 0.0005 0.001
(rad)
M

(
M
N
m
)
Figure 27. Global model (el. #pl. #up. comp.).
4. PARAMETER IDENTIFICATION
4.1. Tests required for the identixcation
Contrary to the parameter identi"cation of a material constitutive model, the identi"cation of
a macro-element may not be completed with one or two classical tests. The di$culty comes here
from the concept of the macro-element itself. As it describes the behaviour of a global system (and
not of a material), the identi"cation has to be carried out on the entire system (foundation#soil).
The complete identi"cation of all model parameters requires one con"guration of foundation
and soil (one material setting-up for experimental test or one mesh discretization for numerical
simulation) for which it is necessary to carry out only one test consisting of two di!erent loading
phases.
E
First phase: Monotonic increase of the vertical centred force until the force reaches the weight of
the studied structure (P<}z).
E
Second phase: For the constant vertical force applied at phase 1, increase followed by decrease
of the moment and horizontal force in a constant ratio equal to the height of the gravity centre
of the studied structure (PH}x, M}0, M}z, M}o).
4.2. Identixcation procedure
Besides the parameters that de"ne the studied system, and which are considered to be known as
geometrical parameters of the foundation (width B) and material properties of the soil (shear
modulus G, the Poisson ratio v, cohesion c and their gradient with depth), the parameters to
identify are as follows
E
elastic parameters: elastic sti!nesses, K
XX
, K
VV
, K
FF
(Equation (4));
E
plastic parameters: parameters de"ning the plastic potential, and (Equation (17));
E
uplift parameters: plastic moment for which the uplift is initiated, M'
"
; magnifying factor p, to
apply to the loading slope of the relationship (M'/<', o).
Note: The parameters de"ning the shape of the failure criterion are considered to be constant
(c, d, e, f ) or a function of the q
`
/q
"`
ratio (a, b). They are given in Table I.
In agreement with the model development (Chapter 2.4), the identi"cation has to follow this
particular procedure. First the elastic parameters, then the uplift ones and "nally the plastic ones
should be identi"ed. Identi"cation of the uplift parameters has to precede that of the plastic
parameters and the latter ones have to be identi"ed on the plastic displacements from which the
uplift components are subtracted.
The K
XX
elastic sti!ness is "tted to the initial sti!ness of the curve (<, z) issued from the "rst test
phase. The K
VV
and K
FF
ones are similarly identi"ed on the H}x and M}0 curves of the second
phase. These sti!nesses are not purely elastic as the soil has already (depending on the applied
weight) yielded during the "rst phase. The purely elastic ones may be captured on the unloading
part when the uplift is zero.
The uplift M'
"
and p parameters are identi"ed from the (M}o) curve, which has been trans-
formed into the dimensionless variables (M'/<', o). For p, it is "rst veri"ed that the slope of the
loading part is in agreement with the elastic case (slope of about
"
) and the p magnifying factor,
which should be applied to the loading slope, is derived on the unloading part.
The and plastic parameters are derived from the relationships existing between the plastic
displacements (as shown in Chapter 3.1.6 for the (0'', z'') relationship). These are obtained from
the total displacements u'' from which the elastic u' and the uplift u" components are
subtracted. The elastic displacements are calculated with the elastic sti!nesses and the uplift ones
are computed following Equations (31) and (32) with o issued from the uplift identi"cation.
4.3. Proposed relationships for the parameters determination without test
As is known, carrying out experimental tests on a foundation lying on a cohesive soil is a tricky,
di$cult and costly task. Also, running numerical analyses on a largely discretized soil medium
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-0.0015 -0.001 -0.0005 0 0.0005 0.001 0.0015
(rad)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.6MN
M/H=10m
Figure 28. Overturning moment}rotation (<"0.6 MN).
-0.2
-0.15
-0.1
-0.05
0
0.05
0.1
0.15
0.2
-0.005 -0.004 -0.003 -0.002 -0.001 0 0.001 0.002 0.003 0.004
x (m)
H

(
M
N
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.6MN
M/H=10m
Figure 29. Horizontal force}horizontal displacement (<"0.6 MN).
with a suitable soil constitutive law and contact elements requires special capabilities and is time
consuming.
For these reasons, a set of relationships is proposed for the determination of the model
parameters allowing one to dismiss, if necessary, any identi"cation test. The relationships, for
some of them, are known expressions, coming from literature, and are regularly used in practical
applications. For the others, they have been "tted here from numerous FE simulations. For
a preliminary study, the use of these relationships (without any identi"cation test) may be
su$cient, depending on the required accuracy.
These relationships are given in Table I.
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
-60 -40 -20 0 20 40 60
(%)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.6MN
M/H=10m
Figure 31. Overturning moment}uplift (<"0.6 MN).
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
0 0.002 0.004 0.006 0.008 0.01
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.6MN
M/H=10m
z (m)
Figure 30. Overturning moment}vertical displacement (<"0.6 MN).
5. COMPARISON MACRO-ELEMENT/FE MODEL
The comparison between the results obtained from the FE modelization (Dyna-ow) and from the
macro-element is presented in Figures 28}35. The same geometry and the same characteristics for
the soil as those presented in Figure 2 have been used, as well as the same loading path. The
parameters identi"cation has been carried out as described in Chapter 4.1.2. Results are presented
for three di!erent vertical loads (<"0.3, 0.6, 0.9 MN). From Figures 28}31 (<"0.6 MN), it may
be concluded that the cyclic behaviour of the foundation obtained from the macro-element
reproduces very well all the trends observed with the FE model. From Figures 32}35 (<"0.3
-1.5
-1
-0.5
0
0.5
1
1.5
-0.0015 -0.001 -0.0005 0 0.0005 0.001 0.0015
(rad)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.3MN
M/H=10m
Figure 32. Overturning moment}rotation (<"0.3 MN).
-1.5
-1
-0.5
0
0.5
1
1.5
0 0.0005 0.001 0.0015 0.002 0.0025 0.003 0.0035 0.004
z (m)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.3MN
M/H=10m
and 0.9 MN), it is noticed that the model is better suited for describing moderate plasticity
behaviour, but with strong uplift.
6. CONCLUSION
A non-linear soil}structure interaction macro-element for a shallow strip foundation lying on
a cohesive medium has been proposed. Expressed in global variables, the macro-element
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
2.5
-0.0015 -0.001 -0.0005 0 0.0005 0.001 0.0015
(rad)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.9MN
M/H=10m
Figure 34. Overturning moment}rotation (<"0.9MN).
-2
-1.5
-1
-0.5
0
0.5
1
1.5
2
2.5
0 0.005 0.01 0.015 0.02
z (m)
M

(
M
N
m
)
FE model
macro-element
B=10m
Vmax=2.4MN
V=0.9MN
M/H=10m
reproduces the cyclic behaviour of the foundation, including the e!ects of non-linearities occur-
ring in the near "eld. Yielding of the soil under the foundation is modelled through a global
plasticity model. The contact non-linearities induced by the uplift of the foundation are integrated
in an uplift model. Although developed separately, these two models remain strongly dependent
in order to take into account the coupling e!ect. This substructure approach allows the
decomposition of a highly non-linear, coupled problem, but without dismissing any couplings.
The comparison of the results obtained from the macro-element with those from an FE modelling
has enhanced the relevance of the proposed model.
It is well known that an alternative model of the foundation behaviour obtained by the "nite
element method with suitable non-linear soil constitutive laws and special contact elements,
requires a high degree of modelling competence and is time consuming. The macro-element
provides a practical and e$cient tool, which may replace e$ciently, in a "rst approach, a
costly FE soil model, and which ensures the accurate integration of the e!ect of soil}structure
interaction.
Specially developed for seismic loading, the macro-element will be adapted to a dynamic
behaviour. The radiation of waves in an in"nite half-space, as well as energy dissipation, will be
introduced by the concept of dynamic impedances.
REFERENCES
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H-Y (eds). van Nostrand Reinhold: New York, 1975; 121}147.
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4. Salenion J, Pecker A. Ultimate bearing capacity of shallow foundations under inclined and eccentric loads. Part I:
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Cyclic Macro-Element For Soil) Structure Interaction: Material and Geometrical Non-Linearities

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Cyclic Macro-Element For Soil) Structure Interaction: Material and Geometrical Non-Linearities

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* Correspondence to: CeH cile Cremer, GeH odynamique et Structure, Bagneux, France

Received 9 May 2000

where : de"nes the G shear modulus gradient following:

where Vg de"nes the c cohesion gradient following c"c

, coe$cient depending on VgB/c

are given in Matar and Salenion [17]

Figure 17. Moment}rotation (elastic soil).

with o'0 (25)

B" ' "'

B"" ' "'

is the separation corresponding to M''''

through the equation

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