1

SEISMIC DESIGN OF FOUNDATIONS AND

SOILSTRUCTURE INTERACTION


George GAZETAS
1


SUMMARY

Two topics of practical significance are discussed : (a) The widely-held perception, reflected in
most seismic codes, that soil-structure interaction (SSI) plays invariably a beneficial role ( and thus
can be ignored in design to be on the safe side) is shown to be the result of a misconception
stemming from the shape of current design response acceleration spectra for soft/deep soil
conditions. Properly normalising the structural period by a dominant period of motion before
statistically processing recorded response spectral values, produces completely different shape and
size of spectral ordinates ; thus an increased period due to SSI may lead to higher response.
(b) Analytical, experimental and field evidence in recent years has started revealing that seismic
design of shallow foundations could overcome the strict limitations of the so-called capacity
design, by allowing significant sliding, uplifting, and even mobilisation of bearingcapacity
failure mechanisms to occur. It is shown that under seismic conditions such dynamic inelastic
nonlinear response may merely lead to acceptable permanent horizontal and rotational
deformations.


1. SSI AND SEISMIC CODE SPECTRA

Seismic codes have an inherent unique peculiarity among civil engineering codes : the actual loading on
structures (arising from earthquake shaking) can not be known in detail even when the intensity of motion is
specified. In fact, the induced seismic loading of a structure depends on the response of the structure itself ---
the consequence of an interplay that is part of soil-structure interaction. The phenomenon increases in
significance as the supporting soil becomes softer. Smooth design acceleration spectra, resulting from statistical
processing of a large number of elastic response spectra of actual recordings, has been universally accepted as
the way to specify earthquake loading in codes. Design acceleration spectra have an essentially constant
acceleration branch and a declining acceleration branch (with the exception of a rather insignificant ascending-
acceleration region of very small periods). The period range of constant-acceleration plateau is larger (up to 1
sec) for softer soils.
The increase in natural period (and damping) due to soil deformability, along with the aforementioned
conventional description of acceleration spectra, leads almost invariably to smaller accelerations and stresses in
the structure and its foundation. Thus, the importance of accounting for SSI effects has been often dismissed, to
be on the safe side.
Furthermore, this beneficial role of SSI has been turned into a dogma. For instance, according to EC85:
For the majority of usual building structures, the effects of SSI tend to be beneficial, since they reduce the
bending moments and shear forces acting in the various members of the superstructure
This statement may indeed hold for a large class of structures and seismic environments. But not always.
There is evidence documented in numerous case histories that the perceived beneficial role of SSI is an unjust
over-simplification that may lead to unsafe design of both the superstructure and the foundation.


1
Professor, National Technical University, Athens, Greece. Email : gazetas@ath.forthnet.gr
First European Conference on Earthquake Engineering and Seismology
(a joint event of the 13th ECEE & 30th General Assembly of the ESC)
Geneva, Switzerland, 3-8 September 2006
Paper Number: Keynote Address K7

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To elucidate this, we first recall that the flat design spectrum of seismic codes does not resemble the spectra
recorded on soft deep soil. For instance, the reader can revisit the spectra of the following records: Brancea
(Bucharest) 1977, Michoacan [Mexico City (SCT)] 1985, Kobe (Fukiai, Takatori) 1995. All of the recorded
spectra of these records attain well defined peaks at periods exceeding 1 second. The large spectral values of
some of these records are undoubtedly the result of the soil deposit resonance with the incoming seismic waves
(most spectacular being in the Mexico City SCT record).
Another phenomenon, however, of seismological rather than geotechnical nature, the forward fault-rupture
directivity (Somerville 1998), may be an important contributing factor in the large spectral values at T > 0.50 s
in near-fault seismic motions (e.g. in Takatori and Fukiai). An earthquake is a shear dislocation initiating at a
point on a fault and spreading outward along the fault approximately at the prevailing shear wave velocity. The
high velocity of fault rupture propagation toward a site causes most of the seismic rupture energy to arrive in the
form of long-periods pulse of motion, at the beginning of the record (Somerville et al., 1997). The radiation
pattern of the shear dislocation causes such large pulses to be oriented in the direction perpendicular to the fault,
causing the strike-normal peak velocity to be larger than the strike-parallel velocity. The forward rupture
directivity effect appears to increase the spectral values of the horizontal component normal to the fault strike at
periods longer than about 0.5 seconds. Examples of this effect are the Kobe (1995) JMA, Fukiai, Takatori, and
Kobe-University records; the Northridge (1994) Rinaldi, Newhall, Sylmar-Converter, and Sylmar-Olive-View
records; the Aegion (1995) and Lefkada (2003) records ; and many others.
Therefore, it is apparent that as a result of soil or seismological factors, an increase in the fundamental
period due to SSI may lead to increased response (despite a possible increase in damping), which contradicts the
expectation incited by the conventional design spectrum. For instance, Mexico earthquake was particularly
destructive to 10- to 12-story buildings founded on soft clay ; their period apparently increased from about 1 sec
(under the fictitious assumption of a fixed base) to nearly 2 seconds in reality, due to SSI. The role of SSI on the
failure of the 630 m long elevated highway section of Hanshin Expressways Route 3 in Kobe (Fukae section)
has also been detrimental (see Gazetas et al 2005, Mylonakis et al 2005). Evidence of a potentially detrimental
role of SSI on the collapse of buildings in the recent Adana-Ceyhan earthquake was presented by Celebi (1998).
It should be noted that large SSI increases in the natural period of structures ( T
~
/ T > 1.3) are not uncommon
in relatively tall yet rigid structures founded on soft soil (Tazoh et al 1988; Mylonakis et al 1997; Stewart et al
1999). Therefore, evaluating the consequences of SSI on the seismic behaviour of such structures may require
careful assessment of both seismic input and soil conditions ; use of conventional design spectra and
generalized/simplified soil profiles in these cases may not reveal the danger of increased seismic demand on the
structure.
To further illustrate the above, results from a statistical study performed by the authors using a large set of
motions recorded on soft soil are presented. The set of motions consists of 24 actual records. The average
acceleration spectrum obtained from these motions is presented in Fig 1, in terms of spectral amplification. In the
horizontal axis, the structural period is presented in three different ways: (i) the actual period T as has been



















Figure 1: Average acceleration spectra based on 24 actual motions recorded on soft soil. The periods are
normalized before averaging with: (a) period of peak spectral acceleration (T
a
) ; (b) period of peak
spectral velocity (T
g
) ; = 5% (After Mylonakis & Gazetas 2000).

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done to derive design response spectra (in the last 30 years) ; (ii) the normalized period T/T
g
[where
T
g
= effective ground period, defined as the period where 5%-damped velocity response spectrum attains its
maximum (Miranda & Bertero 1994)]; and (iii) the normalized period T/T
a
[T
a
= period where acceleration
spectrum attains its maximum.]
It is seen that when plotted against the actual period, the resulting average spectrum has a flat shape
(analogous to that used in current seismic codes). This shape has no resemblance to an actual spectrum ! This
unrealistic shape is because the spectra of motions recorded on soft soil attain their maxima at different, well
separated periods and, thereby, averaging them eliminates their peaks causing this effect. In contrast, when
plotted against the normalized periods, T/T
g
or T/T
a
, the average spectrum exhibits a characteristic peak at
values of T/T
g
not far from 1, which reproduces the trends observed in actual spectra ! Not withstanding the fact
that determining the characteristic dominant period (i.e., T
g
or T
a
) for a given site and seismic event is not always
easy, it is clear that current provisions treat seismic demand in soft soils in a non-rational way, and may mislead
the designers with misleading on the significance of SSI. A similar conclusion was reached by Longjun & Lili
(2004), with recorded motions of the Chi-Chi 1999 Earthquake.

It is therefore proposed that in future revisions of seismic codes design spectra for evaluating SSI effects be of
the form plotted in Fig.1 , i.e
S
a
= S
a
(T/T
g
)
Such spectra will have to be developed using techniques similar to those used for the development of current
design spectra. There is nothing strange with having different design spectra for assessing SSI --- this type of
spectra will be the critical loading for this mode of response.


2. DESIGN OF SHALLOW FOUNDATIONS WITH UPLIFTING AND SOIL YIELDING

2.1 Introduction

The conventional approach to foundation design introduces factors of safety against sliding and exceedance of
ultimate capacity, in a way similar to the traditional static design. This approach involves two consecutive steps
of structural and foundation analysis :
(a) Dynamic analysis of the structure is performed in which the soil is modeled as an elastic medium,
represented by suitable translational and rotational springs (and, sometimes, with the associated dashpots).
The dynamic forces and moments transmitted onto the foundation are derived from the results of such
analyses along with considerations for inelastic structural response (e.g. by reducing the moments in
columns through the behaviour [ductility] factor q ).
(b) The foundations are then designed in such a way that these transmitted horizontal forces and overturning
moments, increased by overstrength factors, would not induce sliding or bearing capacity failure.
The use of overstrength factors is necessitated by the so-called capacity design principle, under which
plastic hinging is allowed only in the super-structural elements not in the belowground (and thus un-
inspectable) foundation and soil. Therefore, structural yielding of the footing and mobilization of bearing
capacity mechanisms is not allowed. Only a limited amount of sliding deformation and uplifting at the
foundationsoil interface is allowed. However, there is a growing awareness in the profession of the need to
consider soil-foundation inelasticity, in analysis and perhaps even in design [see: Pecker (1998), Paolucci (1997),
Martin & Lam (2000), Allotey & Naggar (2003)]. This need has emerged from :
The large (often huge) acceleration (and velocity) levels recorded in several earthquakes:
- 1994 Northridge (M 6.8) : 0.98 g, 1.40 m/s
- 1995 Kobe (M 7.2) : 0.85g, 1.50 m/s
- 1986 San Salvador (M 5.5) : 0.75 g, 0.84 m/s
which are associated with even larger elastic spectral accelerations (of the order of 2g). Enormous ductility
demands would be imposed to structures by such accelerations if soil and foundation yielding do not
effectively take place to limit the transmitted accelerations.
In seismically retrofitting a building or a bridge, allowing for soil and foundation yielding is the only
rational alternative. Because increasing the structural capacity of some elements would imply that the
forces transmitted onto the foundation be increased, to the point that it would not be technically or
economically feasible to undertake them elastically. Thus, new retrofit design quidelines (FEMA 356)
explicitly permit inelastic deformations in the foundation.

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Even with new structures, it has been recognized that with improved analysis methods we need to better
evaluate performance in terms of levels of damage. For the superstructure, performancebased design
or equivalently displacementbased design have been used for a number of years, with inelastic push-
over analyses becoming almost routine in seismic design practice. It is logical to extend the inelastic
analysis to the supporting foundation and soil.


2.2. Plastic Hinging in Shallow Foundations

Excluding structural yielding in the isolated footing or the foundation beam, three types of nonlinearity can take
place and modify the overall structurefoundation response :
(a) Sliding at the soilfoundation interface. This would happen whenever the transmitted horizontal force
exceeds the frictional resistance. As pointed out by Newmark (1965) , thanks to the oscillatory nature of
earthquake shaking, only short periods of exceedance usually exist in each one direction ; hence, sliding is not
associated with failure, but with permanent irreversible deformations. The designer must only ensure that the
magnitude of such deformations would not be structurally or operationally detrimental. Although this
philosophy has been applied to the design of earth dams and gravity retaining walls, its practical significance for
foundations might be somewhat limited in view of the large values of the coefficient of friction at soilfooting
interface and the passivetype resistance often enjoyed by embedded foundations.
(b) Separation and uplifting of the foundation from the soil. This would happen when the seismic
overturning moment tends to produce net tensile stresses at the edges of the foundation. The ensuing rocking
oscillations in which uplifting takes place involve primarily geometric nonlinearities, if the soil is competent
enough. There is no detriment to the vertical load carrying capacity and the consequences in terms of induced
vertical settlements may be minor. Moreover, in many cases, footing uplifting is beneficial for the response of
the superstructure, as it helps reduce the ductility demands on columns. Housner (1963), Pauley & Priestley
(1992), and many others have reported that the satisfactory response of some slender structures in strong shaking
can only be attributed to foundation rocking. Deliberately designing a bridge foundation to uplift in rocking has
been proposed as an effective seismic isolation method by Kawashima & coworkers (2005). Moreover, even
with very slender and relatively rigid structures, uplifting would not lead to overturning except in rather extreme
cases of little concern to the engineer (Makris & Rousos 2000, Gerolymos et al 2005).
In soft and moderately-soft soils much of what was said above is still valid, but inelastic action in the soil is
now unavoidable under the supporting edge of the uplifting footing in rocking. At the extreme, inelastic
deformations in the soil take the form of mobilization of failure mechanisms, as discussed below.
(c) Mobilisation of bearing capacity failure mechanisms in the supporting soil. Such inelastic action under
seismic loading would always be accompanied with uplifting of the foundation. In static geotechnical analysis
large factors of safety are introduced to ensure that bearing capacity modes of failure are not even approached.
In conventional seismic analysis, such as in the EC8 Part 5 bearing capacity is avoided thanks to an
overstrength factor of about 1.40. The oscillatory nature of seismic shaking, however, allows the mobilisation
(for a short period of time!) of the maximum soil resistance along a continuous (failure) surface. No collapse
or overturning failure occurs, as the applied (causative) moment quickly reverses, and a similar bearing-
capacity failure mechanism may develop under the other edge of the foundation. The problem again reduces
to computing the inelastic deformations, which in this case means permanent rotation. The designer must ensure
that its consequences are not detrimental.
The concept of allowing mobilization of bearing capacity mechanisms in foundation design may represent a
major change in foundation design philosophy (Pecker 1998). However, for analysis of the ultimate response of
a structurefoundation system to extreme earthquake shaking, accounting for such a possibility is necessary.
Martin & Lam (2000) illustrate with an example of a hypothetical structure containing a shear wall connected
with a frame how dramatically different are the results of analyses in which inelastic action in the soil is
considered or is ignored. With inelastic action (including uplifting) the shear wall sheds some of its load onto
the columns of the frame, which must then be properly reinforced ; the opposite is true when linear
soilfoundation behaviour is assumed. Thus, computing the consequences of plastic hinging in shallow
foundation analysis may be a necessity.
The interplay between uplifting and mobilization of bearing capacity mechanisms is governed primarily by
the following factors :
the vertical foundation load N in comparison with the ultimate vertical capacity N
ult

the height, h, of the mass center of gravity from the base compared with the foundation dimensions (width
B, length L)

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the intensity, frequency content and sequence of pulses of the seismic excitation.
Under seismic excitation the soilfoundationstructure system can sustain acceleration amplitudes (A) much
higher that the critical acceleration (A
c
) required for pseudo-static failure. Even a small dynamic (transient)
factor of safety, i.e. A
c
/ A << 1, may not lead to failure of the structure by overturning and simultaneous
bearing-capacity failure. The permanent rotation of the system depends not only on the value of A
c
/ A, but also
on the ratio of N
ult
/ N (the static factor of safety against bearing capacity failure), and very profoundly on the
frequency content of the excitation. High-frequency accelerograms (with dominant period T
p
of the order of
0.20 to 0.30 seconds) may only produce very limited permanent rotations even with dynamic safety factors of the
order of 1/5. Excitation rich in very-low-frequency components (T
p
> 1 sec) and containing longduration
acceleration pulse(s), is far more destructive ; unacceptable deformations start occuring if A
c
/A . (Apostolou
& Gazetas 2005, Gerolymos et al 2005).
Moreover, the initiation of uplifting and the mobilization of bearing capacity failure can be quite
beneficial for the superstructure (under certain conditions related with the fundamental period of the structure
and characteristics of ground shaking) (see Gazetas & Coworkers 2003, 2005).


3. REFERENCES AND BIBLIOGRAPHY

Allotey, N., Naggar, M., (2003), Analytical moment-rotation curves for rigid foundations based on a Winkler
model, Soil Dynamics and Earthquake Engineering ,23, 367-381.
Anastasopoulos, I. (1999). Analysis of the failure of two bridges in the 1995 Kobe earthquake, and the role of
soil, Diploma Thesis, National Technical University, Athens, Greece
Apostolou, M, Gazetas, G., (2005), Rocking of Foundations under Strong Shaking : Mobilisation of Bearing
Capacity and Displacement Demands. Proceedings of 1
st
Greece-Japan Workshop : Seismic Design,
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Calvi, G.M. and Kingsley G.R. [1995], Displacement-Based Seismic Design of Multi-Degree-of Freedom
Bridge Structures, Earthquake Engineering & Structural Dynamics, Vol 24, pp. 1247-1266
Celebi, M. [1998]. Turkish Earthquakes: Two Reports. Lessons from the Adana-Ceyhan Quake and the Dinar
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Geotechnique, 50(3), 243-262.

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