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Dokumen - Tips Lpile-Tutorial PDF
Dokumen - Tips Lpile-Tutorial PDF
LPile, Version 6
by
November 2011
Copyright © 2012 by Ensoft, Inc.
This book or any part thereof may not be reproduced in any form without the written permission
of Ensoft, Inc.
iii
2-1-4-7 Other Uses of Laterally Loaded Piles .................................................................. 28
2-2 Derivation of Differential Equation for the Beam-Column and Methods of Solution....... 29
2-2-1 Derivation of the Differential Equation ...................................................................... 29
2-2-2 Solution of Reduced Form of Differential Equation................................................... 33
2-2-3 Solution by Finite Difference Equations..................................................................... 40
Chapter 3 Lateral Load-Transfer Curves for Soil and Rock......................................................... 47
3-1 Introduction ........................................................................................................................ 47
3-2 Experimental Measurements of p-y Curves........................................................................ 49
3-2-1 Direct Measurement of Soil Response ........................................................................ 49
3-2-2 Derivation of Soil Response from Moment Curves Obtained by Experiment............ 49
3-2-3 Nondimensional Methods for Obtaining Soil Response ............................................. 50
3-3 p-y Curves for Cohesive Soils ............................................................................................ 51
3-3-1 Initial Portion of Curves.............................................................................................. 51
3-3-2 Analytical Solutions for Ultimate Lateral Resistance ................................................. 55
3-3-3 Influence of Diameter on p-y Curves .......................................................................... 61
3-3-4 Influence of Cyclic Loading........................................................................................ 62
3-3-5 Introduction to Procedures for p-y Curves in Clays.................................................... 63
3-3-5-1 Early Recommendations for p-y Curves in Clay ................................................. 63
3-3-5-2 Skempton (1951).................................................................................................. 64
3-3-5-3 Terzaghi (1955).................................................................................................... 66
3-3-5-4 McClelland and Focht (1958) .............................................................................. 66
3-3-6 Step-by-Step Procedures for p-y Curves in Clay ........................................................ 67
3-3-7 Response of Soft Clay in the Presence of Free Water................................................. 67
3-3-7-1 Detailed Procedure for Computing p-y Curves in Soft Clay for Static Loading . 68
3-3-7-2 Detailed Procedure for Computing p-y Curves in Soft Clay for Cyclic Loading 70
3-3-7-3 Recommended Soil Tests for Soft Clays ............................................................. 71
3-3-7-4 Examples.............................................................................................................. 71
3-3-8 Response of Stiff Clay in the Presence of Free Water ................................................ 73
3-3-8-1 Detailed Procedure for Computing p-y Curves for Static Loading...................... 73
3-3-8-2 Detailed Procedure for Computing p-y Curves for Cyclic Loading .................... 76
3-3-8-3 Recommended Soil Tests..................................................................................... 78
3-3-8-4 Examples.............................................................................................................. 79
3-3-9 Response of Stiff Clay with No Free Water................................................................ 80
3-3-9-1 Procedure for Computing p-y Curves for Stiff Clay without Free Water for Static
Loading ............................................................................................................................. 81
3-3-9-2 Detailed Procedure for Computing p-y Curves for Stiff Clay without Free Water
for Cyclic Loading ............................................................................................................ 82
3-3-9-3 Recommended Soil Tests for Stiff Clays............................................................. 83
3-3-9-4 Examples.............................................................................................................. 83
3-3-10 Modified p-y Criteria for Stiff Clay with No Free Water ......................................... 83
3-3-11 Other Recommendations for p-y Curves in Clays..................................................... 84
3-4 p-y Curves for Sands........................................................................................................... 85
3-4-1 Description of p-y Curves in Sands............................................................................. 85
3-4-1-1 Initial Portion of Curves....................................................................................... 85
3-4-1-2 Analytical Solutions for Ultimate Resistance ...................................................... 86
3-4-1-3 Influence of Diameter on p-y Curves................................................................... 89
iv
3-4-1-4 Influence of Cyclic Loading ................................................................................ 90
3-4-1-5 Early Recommendations ...................................................................................... 90
3-4-1-6 Field Experiments ................................................................................................ 90
3-4-1-7 Response of Sand Above and Below the Water Table ........................................ 90
3-4-2 Response of Sand ........................................................................................................ 91
3-4-2-1 Detailed Procedure for Computing p-y Curves in Sand....................................... 91
3-4-2-2 Recommended Soil Tests..................................................................................... 95
3-4-2-3 Example Curves ................................................................................................... 95
3-4-3 API RP 2A Recommendation for Response of Sand Above and Below the Water
Table ..................................................................................................................................... 96
3-4-3-1 Background of API Method for Sand .................................................................. 96
3-4-3-2 Procedure for Computing p-y Curves Using the API Sand Method.................... 96
3-4-3-3 Example Curves ................................................................................................... 98
3-4-4 Other Recommendations for p-y Curves in Sand...................................................... 100
3-5 p-y Curves in Liquefied Sands.......................................................................................... 101
3-5-1 Response of Piles in Liquefied Sand......................................................................... 101
3-5-2 Procedure for p-y Curves in Liquefied Sand............................................................. 103
3-5-3 Modeling of Lateral Spreading ................................................................................. 104
3-6 p-y Curves in Loess .......................................................................................................... 105
3-6-1 Background ............................................................................................................... 105
3-6-1-1 Description of Load Test Program..................................................................... 105
3-6-1-2 Soil Profile from Cone Penetration Testing....................................................... 105
3-6-2 Detailed Procedure for p-y Curves in Loess.............................................................. 107
3-6-2-1 General Description of p-y Curves in Loess ...................................................... 107
3-6-2-2 Equations of p-y Model for Loess...................................................................... 108
3-6-2-3 Step-by-Step Procedure for Generating p-y Curves........................................... 114
3-6-2-4 Limitations on Conditions for Validity of Model .............................................. 114
3-7 p-y Curves in Soils with Both Cohesion and Internal Friction......................................... 114
3-7-1 Background ............................................................................................................... 114
3-7-2 Recommendations for Computing p-y Curves .......................................................... 115
3-7-3 Detailed Procedure for Computing p-y Curves in Soils with Both Cohesion and
Internal Friction .................................................................................................................. 117
3-7-4 Discussion ................................................................................................................. 120
3-8 Response of Vuggy Limestone Rock ............................................................................... 122
3-8-1 Introduction ............................................................................................................... 122
3-8-2 Descriptions of Two Field Experiments.................................................................... 123
3-8-2-1 Islamorada, Florida ............................................................................................ 123
3-8-2-2 San Francisco, California................................................................................... 124
3-8-3 Recommendations for Computing p-y Curves for Strong Rock (Vuggy Limestone)127
3-8-4 Recommendations for Computing p-y Curves for Weak Rock................................. 128
3-8-5 Case Histories for Drilled Shafts in Weak Rock....................................................... 131
3-8-5-1 Islamorada.......................................................................................................... 131
3-8-5-2 San Francisco ..................................................................................................... 133
3-9 p-y Curves in Massive Rock............................................................................................. 136
3-9-1 Determination of pu Near Ground Surface ............................................................... 136
3-9-2 Rock Mass Failure at Great Depth ............................................................................ 138
v
3-9-3 Initial Tangent to p-y Curve Ki .................................................................................. 139
3-9-4 Rock Mass Properties................................................................................................ 139
3-9-5 Step-by-Step Procedure for Computing p-y Curves in Massive Rock...................... 141
3-10 p-y Curves in Piedmont Residual Soils .......................................................................... 142
3-11 Response of Layered Soils ............................................................................................. 144
3-11-1 Layering Correction Method of Georgiadis ............................................................ 144
3-11-2 Example p-y Curves in Layered Soils ..................................................................... 145
3-12 Modifications to p-y Curves for Pile Batter and Ground Slope ..................................... 149
3-12-1 Piles in Sloping Ground .......................................................................................... 149
3-12-1-1 Equations for Ultimate Resistance in Clay in Sloping Ground ....................... 150
3-12-1-2 Equations for Ultimate Resistance in Sand...................................................... 151
3-12-1-3 Effect of Direction of Loading on Output p-y Curves ..................................... 152
3-12-2 Effect of Batter on p-y Curves in Clay and Sand .................................................... 153
3-12-3 Modeling of Piles in Short Slopes........................................................................... 154
3-13 Shearing Force Acting at Pile Tip .................................................................................. 154
Chapter 4 Special Analyses ........................................................................................................ 155
4-1 Introduction ...................................................................................................................... 155
4-2 Computation of Top Deflection versus Pile Length......................................................... 155
4-3 Analysis of Piles Loaded by Soil Movements.................................................................. 158
4-4 Analysis of Pile Buckling ................................................................................................. 159
Chapter 5 Computation of Nonlinear Bending Stiffness and Moment Capacity....................... 164
5-1 Introduction ...................................................................................................................... 164
5-1-1 Application ................................................................................................................ 164
5-1-2 Assumptions .............................................................................................................. 164
5-1-3 Stress-Strain Curves for Concrete and Steel ............................................................. 165
5-1-4 Cross Sectional Shapes That Can Be Analyzed ........................................................ 167
5-2 Beam Theory .................................................................................................................... 168
5-2-1 Flexural Behavior...................................................................................................... 168
5-2-2 Axial Structural Capacity .......................................................................................... 171
5-3 Validation of Method........................................................................................................ 172
5-3-1 Analysis of Concrete Sections................................................................................... 172
5-3-1-1 Computations Using Equations of Section 5-2.................................................. 173
5-3-1-2 Check of Position of the Neutral Axis ............................................................... 173
5-3-1-3 Forces in Reinforcing Steel................................................................................ 175
5-3-1-4 Forces in Concrete ............................................................................................. 176
5-3-1-5 Computation of Balance of Axial Thrust Forces ............................................... 179
5-3-1-6 Computation of Bending Moment and EI.......................................................... 180
5-3-1-7 Computation of Bending Stiffness Using Approximate Method....................... 181
5-3-2 Analysis of Steel Pipes.............................................................................................. 184
5-3-3 Analysis of Prestressed-Concrete Piles ..................................................................... 187
5-4 Discussion......................................................................................................................... 190
5-5 Reference Information...................................................................................................... 191
5-5-1 Concrete Reinforcing Steel Sizes.............................................................................. 191
5-5-2 Prestressing Strand Types and Sizes ......................................................................... 192
5-5-3 Steel H-Piles.............................................................................................................. 193
vi
Chapter 6 Use of Vertical Piles in Stabilizing a Slope ............................................................... 195
6-1 Introduction ...................................................................................................................... 195
6-2 Applications of the Method .............................................................................................. 195
6-3 Review of Some Previous Applications ........................................................................... 196
6-4 Analytical Procedure ........................................................................................................ 197
6-5 Alternative Method of Analysis ....................................................................................... 200
6-6 Case Studies and Example Computation.......................................................................... 200
6-6-1 Case Studies .............................................................................................................. 200
6-6-2 Example Computation............................................................................................... 201
6-6-3 Conclusions ............................................................................................................... 203
References ...................................................................................................................................205
vii
List of Figures
viii
Figure 3-2 p-y Curves Developed from Static Load Test on 24-inch Diameter Pile
(Reese, et al. 1975)................................................................................................... 51
Figure 3-3 p-y Curves developed from Cyclic Load Tests on 24-inch Diameter Pile
(Reese, et al. 1975)................................................................................................... 52
Figure 3-4 Plot of Ratio of Initial Modulus to Undrained Shear Strength for Unconfined-
compression Tests on Clay ...................................................................................... 53
Figure 3-5 Variation of Initial Modulus with Depth.................................................................... 54
Figure 3-6 Assumed Passive Wedge Failure in Clay Soils, (a) Shape of Wedge, (b)
Forces Acting on Wedge.......................................................................................... 55
Figure 3-7 Measured Profiles of Ground Heave Near Piles Due to Static Loading, (a)
Heave at Maximum Load, (b) Residual Heave........................................................ 56
Figure 3-8 Ultimate Lateral Resistance for Clay Soils ................................................................ 58
Figure 3-9 Assumed Mode of Soil Failure Around Pile in Clay, (a) Section Through
Pile, (b) Mohr-Coulomb Diagram, (c) Forces Acting on Section of Pile ............... 59
Figure 3-10 Values of Ac and As................................................................................................... 61
Figure 3-11 Scour Around Pile in Clay During Cyclic Loading ................................................. 63
Figure 3-12 p-y Curves in Soft Clay,(a) Static Loading, (b) Cyclic Loading.............................. 69
Figure 3-13 Shear Strength Profile Used for Example p-y Curves for Soft Clay........................ 72
Figure 3-14 Example p-y Curves for Soft Clay with the Presence of Free Water....................... 72
Figure 3-15 Characteristic Shape of p-y Curves for Static Loading in Stiff Clay with Free
Water........................................................................................................................ 74
Figure 3-16 Characteristic Shape of Cyclic p-y Curves for Loading of Stiff Clay with
Free Water................................................................................................................ 77
Figure 3-17 Example Shear Strength Profile for p-y Curves for Stiff Clay with No Free
Water........................................................................................................................ 79
Figure 3-18 Example p-y Curves for Stiff Clay in Presence of Free Water for Cyclic
Loading .................................................................................................................... 80
Figure 3-19 Characteristic Shape of p-y Curve for Static Loading in Stiff Clay with No
Free Water................................................................................................................ 81
Figure 3-20 Characteristic Shape of p-y Curves for Cyclic Loading in Stiff Clay with No
Free Water................................................................................................................ 82
Figure 3-21 Example p-y Curves for Stiff Clay with No Free Water, Cyclic Loading .............. 84
Figure 3-22 Geometry Assumed for Passive Wedge Failure for Pile in Sand............................. 87
Figure 3-23 Assumed Mode of Soil Failure by Lateral Flow Around Pile in Sand, (a)
Section Though Pile, (b) Mohr-Coulomb Diagram ................................................. 89
Figure 3-24 Characteristic Shape of a Set of p-y Curves for Static and Cyclic Loading in
Sand.......................................................................................................................... 91
ix
Figure 3-25 Values of Coefficients Ac and As ........................................................................... 93
Figure 3-26 Values of Coefficients Bc and Bs .............................................................................. 93
Figure 3-27 Example p-y Curves for Sand Below the Water Table, Static Loading................... 96
Figure 3-28 Coefficients C1, C2, and C3 versus Angle of Internal Friction ................................. 98
Figure 3-29 Initial Modulus of Subgrade Reaction, k, Used for API Sand Criteria .................... 99
Figure 7-30 Example p-y Curves for API Sand Criteria............................................................ 101
Figure 3-31 Example p-y Curve in Liquefied Sand ................................................................... 102
Figure 3-32 Characteristic Shape of p-y Curves for c-φ Soil..................................................... 116
Figure 3-33 Representative Values of k for c-φ Soil.................................................................. 119
Figure 3-34 p-y Curves for c-φ Soils.......................................................................................... 121
Figure 3-35 Initial Moduli of Rock Measured by Pressuremeter for San Francisco Load
Test......................................................................................................................... 125
Figure 3-36 Modulus Reduction Ratio (Bienawski, 1984) ........................................................ 125
Figure 3-37 Engineering Properties for Intact Rocks (after Deere, 1968; Peck, 1976; and
Horvath and Kenney, 1979)................................................................................... 126
Figure 3-38 Characteristic Shape of p-y Curve in Strong Rock ................................................ 128
Figure 3-39 Sketch of p-y Curve for Weak Rock (after Reese, 1997)....................................... 128
Figure 3-40 Comparison of Experimental and Computed Values of Pile-Head Deflection,
Islamorada Test (after Reese, 1997) ...................................................................... 132
Figure 3-41 Computed Curves of Lateral Deflection and Bending Moment versus Depth,
Islamorada Test, Lateral Load of 334 kN (after Reese, 1997)............................... 132
Figure 3-42 Comparison of Experimental and Computed Values of Pile-Head Deflection
for Different Values of EI, San Francisco Test...................................................... 134
Figure 3-43 Values of EI for three methods, San Francisco test ............................................... 135
Figure 3-44 Comparison of Experimental and Computed Values of Maximum Bending
Moments for Different Values of EI, San Francisco Test ..................................... 135
Figure 3-45 Illustration of Equivalent Depths in a Multi-layer Soil Profile.............................. 145
Figure 3-46 Soil Profile for Example of Layered Soils ............................................................. 146
Figure 3-47 Example p-y Curves for Layered Soil .................................................................... 147
Figure 3-48 Equivalent Depths of Soil Layers Used for Computing p-y Curves ...................... 147
Figure 3-49 Pile in Sloping Ground and Battered Pile .............................................................. 150
Figure 3-51 p-y Curve Displaced by Soil Movement ................................................................ 159
Figure 3-52 Examples of Pile Buckling Curves for Different Shear Force Values ................... 161
Figure 3-53 Examples of Correct and Incorrect Pile Buckling Analyses .................................. 162
x
Figure 4-1 Stress-Strain Relationship for Concrete Used by LPile ........................................... 165
Figure 4-2 Stress-Strain Relationship for Reinforcing Steel Used by LPile.............................. 167
Figure 4-3 Element of Beam Subjected to Pure Bending .......................................................... 169
Figure 4-4 Validation Problem for Mechanistic Analysis of Rectangular Section.................... 173
Figure 4-6 Moment vs. Curvature.............................................................................................. 182
Figure 4-7 Bending Moment vs. Bending Stiffness................................................................... 183
Figure 4-8 Interaction Diagram for Nominal Moment Capacity ............................................... 183
Figure 4-9 Example Pipe Section for Computation of Plastic Moment Capacity ..................... 184
Figure 4-10 Moment vs. Curvature of Example Pipe Section ................................................... 185
Figure 4-11 Elasto-plastic Stress Distribution Computed by LPile........................................... 187
Figure 4-12 Stress-Strain Curves of Prestressing Strands Recommended by PCI Design
Handbook, 5th Edition. ........................................................................................... 188
Figure 4-13 Sections for Prestressed Concrete Piles Modeled in LPile .................................... 190
Figure 5-1 Scheme for Installing Pile in a Slope Subject to Sliding.......................................... 196
Figure 5-2 Forces from Soil Against Pile in a Sliding Slope..................................................... 197
Figure 5-3 Influence of Stabilizing Pile on Factor of Safety Against Sliding ........................... 198
Figure 5-4 Matching of Computed and Assumed Values of hp ................................................. 200
Figure 5-5 Soil Conditions for Analysis of Slope for Low Water ............................................. 201
Figure 5-6 Preliminary Design................................................................................................... 202
Figure 5-7 Load Distribution on Stabilizing Piles ..................................................................... 203
xi
List of Tables
Table 3-1. Terzaghi’s Recommendations for Soil Modulus for Laterally Loaded Piles in
Stiff Clay..................................................................................................................... 66
Table 3-2. Representative Values of ε50 ....................................................................................... 68
Table 3-3. Representative Values of k for Stiff Clays .................................................................. 75
Table 3-4. Representative Values of ε50 for Stiff Clays................................................................ 75
Table 3-5 Terzaghi’s Recommendations for Values of k for Laterally Loaded Piles in
Sand............................................................................................................................. 86
Table 3-6 Representative Values of k for Submerged Sand ......................................................... 94
Table 3-7 Representative Values of k for Sand Above Water Table for Static and Cyclic
Loading ....................................................................................................................... 94
Table 3-8 Results of Grout Plug Tests by Schmertmann............................................................ 124
Table 3-9 Values of Compressive Strength at San Francisco..................................................... 127
Table 4-1 LPile Output for Rectangular Concrete Section......................................................... 174
Table 4-2 Comparison of Results from Hand Computation vs. Computer Solution .................. 182
xii
Chapter 1
Introduction
1
Chapter 1 – Introduction
2
Chapter 1 – Introduction
5. Make a series of solutions, starting with a small load and increasing the load in increments,
with consideration of the manner the pile is fastened to the superstructure.
6. Obtain curves showing maximum moment in the pile and lateral pile-head deflection versus
lateral shear loading and curves of lateral deflection, bending moment and shear force versus
depth along the pile.
7. Change the pile dimensions or pile type, if necessary and repeat the analyses until a range of
suitable pile types and sizes have been identified.
8. Identify the pile type and size for which the global factor of safety is adequate and the most
efficient cost of the pile and construction is estimate.
9. Compute behavior of pile under working loads.
Virtually none of the examples in this manual follow all steps indicated above. However,
in most cases, the examples do show the curves that are indicated in Step 6.
3
Chapter 1 – Introduction
tests; pile geometry and bending stiffness, stratigraphy and soil properties, magnitude and point
of application of loading, and the type of loading (either static or cyclic). Many such experiments
have been run in the past. Comparison of the results from analysis and from experiment can yield
valuable information and insight to the designer. Some comparisons are provided in this
document, but those made by the user could be more site-specific and more valuable.
In some instances, the parametric studies may reveal that a field test is indicated. Such a
case occurs when a large project is planned and when the expected savings from an improved
design exceeds the cost of the testing. Savings in construction costs may be derived either by
proving a more economical foundation design is feasible, by permitting use of a lower factor of
safety or, in the case of a load and resistance factor design, use of an increased strength reduction
factor for the soil resistance.
There are two types of field tests. In one instance, the pile may be fully instrumented so
that experimental p-y curves are obtained. The second type of test requires no internal instru-
mentation in the pile but only the pile-head settlement, deflection, and rotation will be found as a
function of applied load. LPile can be used to analyze the experiment and the soil properties can
be adjusted until agreement is reached between the results from the computer and those from the
experiment. The adjusted soil properties can be used in the design of the production piles.
In performing the experiment, no attempt should be made to maintain the conditions at
the pile head identical to those in the design. Such a procedure could be virtually impossible.
Rather, the pile and the experiment should be designed so that the maximum amount of
deflection is achieved. Thus, the greatest amount of information can be obtained on soil
response.
The nature of the loading during testing; whether static, cyclic, or otherwise; should be
consistent for both the experimental pile and the production piles.
The two types of problems concerning the performance of pile groups of piles are
computation of the distribution of loading from the pile cap to a widely spaced group of piles and
the computation of the behavior of spaced-closely piles.
The first of these problems involves the solutions of the equations of structural mechanics
that govern the distribution of moments and forces to the piles in the pile group (Hrennikoff,
1950; Awoshika and Reese, 1971; Akinmusuru, 1980). For all but the most simple group
geometries, solution of this problem requires the use of a computer program developed for its
solution.
The second of the two problems is more difficult because less data from full-scale
experiments is available (and is often difficult to obtain). Some full-scale experiments have been
performed in recent years and have been reported (Brown, et al., 1987; Brown et al., 1988).
These and additional references are of assistance to the designer (Bogard and Matlock, 1983;
Focht and Koch, 1973; O’Neill, et al., 1977).
The technical literature includes significant findings from time to time on piles under
lateral loading. Ensoft will take advantage of the new information as it becomes available and
verified by loading testing and will issue new versions of LPile when appropriate. However, the
material that follows in the remaining sections of this document shows that there is an
opportunity for rewarding research on the topic of this document, and the user is urged to stay
current with the literature as much as possible.
4
Chapter 1 – Introduction
5
Chapter 1 – Introduction
a. Elevation View
Lumped masses
Foundation springs
b. Analytical Model
K33
K22 M
Moment
K33
K11
Rotation θ
⎡ K11 0 0 ⎤ ⎧δ x ⎫ ⎧ P ⎫
⎢ 0 ⎪ ⎪ ⎪ ⎪
⎢ K 22 K 23 ⎥⎥ ⎨δ y ⎬ = ⎨ V ⎬
⎢⎣ 0 K 32 K 33 ⎥⎦ ⎪⎩ θ ⎪⎭ ⎪⎩M ⎪⎭
c. Stiffness Matrix
Figure 1-1 Example of Modeling a Bridge
The stiffness K11 is the stiffness of the axial load-settlement curve for the axial load P.
This stiffness is obtained either from load test results or from a numerical analysis using an axial
capacity analysis program like Shaft or APile from Ensoft, Inc.
6
Chapter 1 – Introduction
7
Chapter 1 – Introduction
y Py Axial
x u
My Px
Mx
Axial Pile
z Displacement, u Mz P
z
p
Axial Soil
Reaction, q Lateral
y
Torsional Pile
Displacement, θ
Lateral Soil
Reaction, p
Lateral Pile
t
Displacement, y
8
Chapter 1 – Introduction
P P
−M M
V −V
δ≠0 δ=0
θ=0 θ≠0
Stiffnesses K22 and K23 are computed using the Stiffnesses K32 and K33 are computed using the
shear-rotation pile-head condition, for which the displacement-moment pile-head condition, for
user enters the lateral load V at the pile head. which the user enters the moment M at the pile
LPile computes pile-head deflection δ and head. LPile computes the lateral reaction force,
reaction moment −M at the pile head using zero −H, and pile-head rotation θ using zero
slope at the pile head (pile head rotation θ = 0). deflection at the pile head (δ = 0).
Then K22 = | V/δ | and K32 = |–M/δ |. Then K23 = |–V/θ | and K33 = | M/θ |.
| LPile computes K22, K23, K32, and K33 given the lateral load, H, and the bending moment, M, at the pile head.
9
Chapter 1 – Introduction
10
Chapter 2
Solution for Pile Response to Lateral Loading
2-1 Introduction
Many pile-supported structures will be subjected to horizontal loads during their
functional lifetime. If the loads are relatively small, a design can be made by building code
provisions that list allowable loads for vertical piles as a function of pile diameter and properties
of the soil. However, if the load per pile is large, the piles are frequently installed at a batter. The
analyst may assume that the horizontal load on the structure is resisted by components of the
axial loads on the battered piles. The implicit assumption in the procedure is that the piles do not
deflect laterally which, of course, is not true. Rational methods for the analysis of single piles
under lateral load, where the piles are vertical or battered, will be discussed herein, and methods
are given for investigating a wide variety of parameters. The problem of the analysis of a group
of piles is discussed in another publication.
As a foundation problem, the analysis of a pile under lateral loading is complicated
because the soil reaction (resistance) at any point along a pile is a function of pile deflection. The
pile deflection, on the other hand, is dependent on the soil resistance; therefore, solving for the
response of a pile under lateral loading is one of a class of soil-structure-interaction problems.
The conditions of compatibility and equilibrium must be satisfied between the pile and soil and
between the pile and the superstructure. Thus, the deformation and movement of the
superstructure, ranging from a concrete mat to an offshore platform, and the manner in which the
pile is attached to the superstructure, must be known or computed in order to obtain a correct
solution to most problems.
11
Chapter 2 – Solution for Pile Response to Lateral Loading
wall to several diameters away. Therefore, the changes in soil characteristics due to pile
installation are less important for laterally loaded piles than for axially loaded piles.
The influence of the loading of the pile on soil response is another matter. Four classes of
lateral loading can be identified: short-term, repeated, sustained, and dynamic. The first three
classes are discussed herein, but the response of piles to dynamic loading is beyond the scope of
this document. The use of a pseudo-horizontal load as an approximation in making earthquake-
resistant designs should be noted, however.
The influence of sustained or cyclic loading on the response of the soil will be discussed
in some detail in Chapter 3; however, some discussion is appropriate here to provide a basis for
evaluating the models that are presented in this chapter. If a pile is in granular soil or
overconsolidated clay, sustained loading, as from earth pressure, will likely cause only a
negligible amount of long-term lateral deflection. A pile in normally consolidated clay, on the
other hand, will experience long-term deflection, but, at present, the magnitude of such
deflection can only be approximated. A rigorous solution requires solution of the three-
dimensional consolidation equation stepwise with time. At some time, the pile-head will
experience an additional deflection that will cause a change in the horizontal stresses in the
continuum.
Methods have been developed, as reviewed later, for getting answers to the problem of
short-term loading by use of correlations between soil response and the in situ undrained strength
of clay and the in-situ angle of internal friction for granular soil. Such “backbone” solutions are
important because they can be used for sustained loading in some cases and because an initial
condition is provided for taking the influence of repeated loading into account. Experience has
shown that the loss of lateral resistance due to repeated loading is significant, especially if the
piles are installed in clay below free water. The clay can be pushed away from the pile wall and
the soil response can be significantly decreased. Predictions for the effect of cyclic loading are
given in Chapter 3.
Four general types of loading are recognized above and each of these types is further
discussed in the following sections. The importance of consideration and evaluation of loading
when analyzing a pile subjected to lateral loading cannot be overemphasized.
Many of the load tests described later in this chapter were performed by applying a lateral
load in increments, holding that load for a few minutes, and reading all the instruments that gave
the response of the pile. The data that were taken allowed p-y curves to be computed; analytical
expressions are developed from the experimental results and these expressions yield p-y curves
that are termed “static” curves. Repeated loadings were applied as well, as will be discussed in a
following section.
2-1-1-2 Static Loading
The static p-y curves can be thought of as backbone curves that can be correlated to some
extent with soil properties. Thus, the curves are useful for providing some theoretical basis to the
p-y method.
From the standpoint of design, the static p-y curves have application in the following
cases: where loadings are short-term and not repeated (probably not encountered); and for
sustained loadings, as in earth-pressure loadings, where the soil around the pile is not susceptible
to consolidation and creep (overconsolidated clays, clean sands, and rock).
12
Chapter 2 - Solution for Pile Response to Lateral Loading
As will be noted later in this chapter, the use of the p-y curves for repeated loading, a type
of loading that is frequently encountered in practice, will often yield significant increases in pile
deflection and bending moment. The engineer may wish to make computations with both the
static curves and with the repeated (cyclic) curves so that the influence of the loading on pile
response can be seen clearly.
2-1-1-3 Repeated Cyclic Loading
The full-scale field tests that were performed included repeated or cyclic loading as well as the
static loading described above. An increment of load was applied, the instruments were read, and
the load was repeated a number of times. In some instances, the load was forward and backward,
and in other cases only forward. The instruments were read after a given number of cycles and
the cycling was continued until there was no obvious increase in ground line deflection or in
bending moments. Another increment was applied and the procedure was repeated. The final
load that was applied brought the maximum bending moment close to the moment that would
cause the steel to yield plastically.
Four specific sets of recommendations for p-y curves for cyclic loading are described in
Chapter 3. For three of the sets, the recommendations that are given are for the “lower-bound”
case. That is, the data that were used to develop the p-y curves were from cases where the
ground-line deflection had substantially ceased with repetitions in loading. In the other case, for
stiff clay where there was no free water at the ground surface, the recommendations for p-y
curves are based on the number of cycles of load application, as well as other factors.
The presence of free water at the ground surface for clay soils can be significant in regard
to the loss of soil resistance due to cyclic loading (Long, 1984). After a deflection is exceeded
that is based on the “elastic” response of the soil, a space develops between the pile and the soil
when the load is released. Free water moves into this space and on the next load application the
water is ejected bringing soil particles with it. This erosion causes a loss of soil resistance in
addition to the losses due to remolding of the soil as a result of the cyclic strains. At this point
the use of judgment in the design of the piles under lateral load should be emphasized. For
example, if the clay is below a layer of sand, or if provision could be made to supply sand around
the pile, the sand will settle around the pile, and probably restore the soil resistance that was lost
due to the cyclic loading.
Pile-supported structures are subjected to cyclic loading in many instances. Some
common cases are wind load against overhead signs and high-rise buildings, traffic loads on
bridge structures, wave loads against offshore structures, impact loads against docks and dolphin
structures, and ice loads against locks and dams. The nature of the loading must be considered
carefully. Factors to be considered are frequency, magnitude, duration, and direction. The
engineer will be required to use a considerable amount of judgment in the selection of the soil
parameters and response curves.
2-1-1-4 Sustained Loading
If the soil resisting the lateral deflection of a pile is overconsolidated clay, the influence
of sustained loading would probably be small. The maximum lateral stress from the pile against
the clay would probably be less than the previous lateral stress; thus, the additional deflection
due to consolidation and creep in the clay should be small or negligible.
13
Chapter 2 – Solution for Pile Response to Lateral Loading
If the soil that is effective in resisting lateral deflection of a pile is a granular material that
is freely-draining, the creep would be expected to be small in most cases. However, if the pile is
subjected to vibrations, there could be densification of the sand and a considerable amount of
additional deflection. Thus, the judgment of the engineer in making the design should be brought
into play.
If the soil resisting lateral deflection of a pile is soft, saturated clay, the stress applied by
the pile to the soil could cause a considerable amount of additional deflection due to
consolidation (if positive pore water pressures were generated) and creep. An initial solution
could be made, the properties of the clay could be employed, and an estimate could be made of
the additional deflection. The p-y curves could be modified to reflect the additional deflection
and a second solution obtained with the computer. In this manner, convergence could be
achieved. The writers know of no rational way to solve the three-dimensional, time-dependent
problem of the additional deflection that would occur so, again, the judgment and integrity of the
engineer will play an important role in obtaining an acceptable solution.
2-1-1-5 Dynamic Loading
Two types of problems involving dynamic loading are frequently encountered in design:
machine foundations and earthquakes. The deflection from the vibratory loading from machine
foundations is usually quite small and the problem would be solved using the dynamic properties
of the soil. Equations yielding the response of the structure under dynamic loading would be
employed and the p-y method described herein would not be employed.
With regard to earthquakes, a rational solution should proceed from the definition of the
free-field motion of the near-surface soil due to the earthquake. Thus, the p-y method described
herein could not be used directly. In some cases, an approximate solution to the earthquake
problem has been made by applying a horizontal load to the superstructure that is assumed to
reflect the effect of the earthquake. In such a case, the p-y method can be used but such solutions
would plainly be quite approximate.
14
Chapter 2 - Solution for Pile Response to Lateral Loading
the paper and only did so in response to numerous requests. The method illustrated by Figure 2-
1(a) serves well in obtaining the response of a pile under small loads, in illustrating the various
interrelationships in the response, and in giving an overall insight into the nature of the problem.
The method cannot be employed without modification in solving for the loading at which a
plastic hinge will develop in the pile.
(a) (b)
Mt Mt
Pt Pt
(c) (d)
Figure 2-1 Finite Element Model of Pile Under Lateral Loading,
(a) 3-Dimensional Mesh, and (b) Mesh Cross-section of 3-D Mesh,
(c) Brom’s Model, (d) MFAD Model
15
Chapter 2 – Solution for Pile Response to Lateral Loading
16
Chapter 2 - Solution for Pile Response to Lateral Loading
M y
P p
y
p
y
p
y
p
y
p
x
Figure 2-2 Model for Pile Under Lateral Loading with p-y Curves
17
Chapter 2 – Solution for Pile Response to Lateral Loading
As will be shown later, the p-y method is versatile and provides a practical means for
design. The method was first suggested by McClelland and Focht (1958), B. “. Two
developments during the 1950’s made the method possible: the digital computer for solving a
nonlinear, fourth-order differential equation; and the remote-reading strain gauge for use in
obtaining soil-response (p-y) curves from full-scale lateral load tests of piles.
The p-y method evolved first from research sponsored by the petroleum industry in the
1950’s and 1960’s. Piles were designed for the support of platforms that were to be subjected to
exceptionally large horizontal forces from waves and wind. Rules and recommendations for the
use of the p-y method for design of such piles are presented by the American Petroleum Institute
(1987) and Det Norske Veritas (1977).
The use of the method has been extended to the design of onshore foundations. For
example, the Federal Highway Administration (USA) has sponsored a publication dealing with
the design of piles for transportation facilities (Reese, 1984). The method is being cited broadly
by Jamiolkowski (1977), Baguelin, et al. (1978), George and Wood (1976), and Poulos and
Davis (1980). The method has been used with apparent success for the design of piles; however,
research is continuing. At the Foundation Engineering Congress, ASCE, Evanston, Illinois,
1989, one of the keynote papers and 14 percent of the 125 papers dealt with some aspect of piles
subjected to lateral loading.
2-1-2-6 Definition of p and y
The definition of the quantities p and y as used in this document is necessary because
other definitions have been used. The sketch in Figure 2-3(a) shows a uniform distribution of
radial stresses, normal to the wall of a cylindrical pile. This distribution of stresses is correct for
a pile that has been installed without bending. If the pile is deflected a distance y (exaggerated in
the sketch for clarity), the distribution of unit stresses becomes non-uniform and will be similar
to that shown in Figure 2-3 (b). The stresses will have decreased on the backside of the pile and
increased on the front side. Some of the unit stresses have both a normal and a shearing
component.
y
(a) (b)
18
Chapter 2 - Solution for Pile Response to Lateral Loading
Integration of the unit stresses results in the quantity p which acts opposite in direction to
y. The dimensions of p are load per unit length of the pile. These definitions of p and y are
convenient in the solution of the differential equation and are consistent with those used in the
solution of the ordinary beam equation.
2-1-2-7 Comments on the p-y method
The most common criticism of the p-y method is that the soil is not treated as a
continuum, but as a series of discrete springs (the Winkler model). Several comments can be
given in response to this valid criticism.
The recommendations for the prediction of p-y curves for use in the analysis of piles,
given in a subsequent chapter, are based for the most part on the results of full-scale experiments,
where the “continuum effect” was explicitly satisfied. Further, Matlock (1970) performed some
tests of a pile in soft clay where the pattern of pile deflection was varied along its length. The p-y
curves that were derived from each of the loading conditions were essentially the same. Thus,
Matlock found that experimental p-y curves from fully instrumented piles will predict within
reasonable limits the response of a pile whose head is free to rotate or is fixed against rotation.
The methods of predicting p-y curves that were derived from correlations with results of
full-scale experiments have been used to make computations for the response of piles where only
the pile-head movements were recorded. These comparisons, some of which are shown later in
this document, show reasonable to excellent agreement between computed and experimental
results.
Finally, technology may advance so that the soil resistance for a given deflection at a
particular point along a pile can be modified quantitatively to reflect the influence of the
deflection of the pile above and below the point in question. In such a case, multi-valued p-y
curves can be developed at every point along the pile. The analytical solution that is presented
herein could be readily modified to deal with the multi-valued p-y curves.
In short, the p-y method has some limitations; however, there is much evidence to show
that the method yields information of considerable value to an analyst and designer.
19
Chapter 2 – Solution for Pile Response to Lateral Loading
An alternate approach makes use of the concept of partial safety factors. The parameters
that influence the resistance of the pile to lateral loading are factored and the curve shown by the
dashed line is computed. As shown in Figure 2-4, smaller values of the failure loading would be
found. The values of allowable loading would probably be about the same as before with the
loading being reduced by a smaller value of partial safety factor.
Q
M Loading
Pt
Loading at Failure
Mult
Allowable
Loading
(a) (b)
Figure 2-4 Illustration of General Procedure for Selecting a Pile to Sustain a Given Set of Loads
In the case of a very short pile, the performance failure might be due to excessive
deflection as the pile “plows” through the soil. The design engineer can then employ a global
factor of safety or partial factors of safety to set the allowable load capacity.
As shown in Figure 2-4(b), the bending moment is a nonlinear function of load; therefore,
the use of allowable bending stresses, for example, is inappropriate and perhaps unsafe. A series
of solutions is necessary in order to obtain the allowable loading on a pile; therefore, the use of a
computer is required.
The next step in the computational process is to solve for the deflection of the pile under
the allowable loading. The tolerable deflection is frequently limited by special project
requirements and probably should not be dictated by building codes or standards. Among factors
to be considered are machinery that is sensitive to differential deflection and the comfort of
humans on structures that move a sensible amount under loading.
The computation of the load at failure requires values of the nominal bending moment
capacity and flexural rigidity of the section. Because the analyses require the structural section to
be stressed beyond the linear-elastic range, a computer program is required to compute the
nonlinear properties of the section. These capabilities are included in the LPile program.
General guidelines about making computations for the behavior of a pile under lateral
loading are presented in this manual. In addition, several examples are presented in detail.
20
Chapter 2 - Solution for Pile Response to Lateral Loading
However, it should be emphasized that the material presented herein is only a valuable tool for
the designer and that a complete design involves many other factors that are not addressed here.
2-1-3-1 Study of Pile Buckling
A second computational problem is shown in Figure 2-5. A pile that extends above the
ground line is subjected to a lateral load Pt and an axial load Q, as shown in Figure 2-5(a). The
engineer desires to solve for the axial load that will cause the pile to buckle. The lateral load is
held constant and the axial load is increased in increments. The deflection yt at the top of the pile
is plotted as a function of axial load, as shown in Figure 2-5(b). A value of axial load will be
approached at which the pile-head deflection will increase without limit. This load is selected for
the buckling load. It is important that the buckling load be found by starting the computer runs
with smaller values of axial load because the computer program fails to obtain a solution at axial
loads above the buckling load. An example analysis of pile buckling is presented in Section 3-14.
Q
yt Q
Pt Buckling Load
yt
(a) (b)
Figure 2-5 Solution for the Axial Buckling Load
21
Chapter 2 – Solution for Pile Response to Lateral Loading
designer will normally select a pile for a particular application whose length is somewhat greater
than Lcrit.
Q
M yt
Pt
Lcrit
L Lcrit
Pile Length
22
Chapter 2 - Solution for Pile Response to Lateral Loading
lateral load versus lateral deflection, and moment versus lateral deflection. A simplified method
of analyzing a single pile is illustrated in the sketches.
θt
Mt
Pt
The second pile is shown in Figure 2-7(b). The assumption is made that the annular void
between the jacket leg and the head of the pile was sealed with a flexible gasket, and that the
annular space was filled with grout. Thus, in bending the pile and jacket leg will be continuous
and have the same curvature.
The sketch in Figure 2-7(c) shows that the stiffness of the braces was neglected and that
the rotational restraint at the upper panel point was intermediate between being fully fixed and
fully free. The assumption is then made that the resultant force on the bent can be equally
divided among the four piles, giving a known value of Pt. The second boundary condition at the
top of the pile is the value of the rotational restraint, Mt/St, which is taken as 3.5 EI/h, where EIc
is the combined bending stiffness of the pile and the jacket leg. The p-y curves for the supporting
soil can be generated, and the deflection and bending moment along the length of the pile can be
computed.
The method is approximate; however, a pile with the approximate geometry can be
rapidly modeled by the p-y method. Also, there may be other structures where the pile head is
neither completely fixed nor completely free, and the use of rotational restraint as one of the
boundary conditions is convenient.
The implementation of the method outlined above is shown by Example 3 provided with
LPile and explained in the User’s Manual. In addition to investigating the exact value of Mt/ St,
the designer should consider the rotation of the superstructure due principally to the movement
23
Chapter 2 – Solution for Pile Response to Lateral Loading
of the piles in the axial direction. This rotation will, of course, affect the boundary conditions at
the top of the piles.
2-1-4-2 Breasting Dolphin
An interesting use of a pile under lateral load is as a breasting dolphin. Figure 2-8(a)
depicts a vessel with mass m approaching a freestanding pile. The velocity of the vessel is v and
its energy on contact would be ½mv2. The deflection of the pile could be computed by finding
the area under the load-deflection curve that would equate to the energy of the vessel.
The analyst would be concerned with a number of parameters in the problem. The level
of water could vary, requiring a number of solutions. The pile could be tapered to give it the
proper strength to sustain the computed bending moment while at the same time making it as
flexible as possible.
With the first impact of a vessel, the soil will behave as if it were under static loading
(assuming no inertia effects in the soil) and would be relatively stiff. With repeated loading on
the pile from berthings, the soil will behave as if under cyclic loading. The appropriate p-y
curves would need to be used, depending on the number of applications of load.
A single pile, or a group of piles, could support the primary fendering but the exact types
of cushions or fenders to be used between the vessel and the pile need to be selected on the basis
of the vessel size and berthing velocity. It should be noted that fenders must be mounted properly
above the waterline to prevent damage to the berthing vessels.
m, v
Load
Breasting
Dolphin
Deflection
24
Chapter 2 - Solution for Pile Response to Lateral Loading
25
Chapter 2 – Solution for Pile Response to Lateral Loading
The loadings on the foundation from the wind will be a lateral load and a relatively large
moment; a small axial load will result from the dead weight of the superstructure. The lateral
load and moment will be variable because the wind will blow intermittently and will gust during
a storm. The predominant direction of the wind will vary; these factors should be taken into
account in the analysis.
The sketch in Figure 2-10(a) shows a two-pile foundation. The lateral load and axial load
will be divided between the two piles, and the moment will be carried principally by tension in
one pile and compression in the other. The lateral load will cause each of the piles to deflect, and
there will be a bending moment along each pile. In performing the analysis for lateral loading, p-
y curves must be derived for the supporting soil with repeated loading being assumed. A factored
load must be used, and the degree of fixity of the pile heads must be assessed. The connection
between the piles and the cap may be such that the pile heads are essentially free to rotate.
Alternatively, the design may be made so that the pile heads may be assumed to be completely
fixed against rotation.
Wind Wind
Load Load
Column Column
Pile Dead Load Dead Load
Cap
Two-Shaft Single-Shaft
Foundation Foundation
(a) (b)
The pile heads, under almost any designs, will likely be partially restrained, or at some
point between fixed and free. An interesting exercise is to take a free body of the pile from the
bottom of the cap and to analyze its behavior when a shear and a moment are applied at the end
of this “stub pile. “ The concrete in this instance will serve a similar function as the soil along the
lower portion of the pile. The rotational restraint provided by the concrete can be computed by
use of an appropriate model, perhaps by using finite elements. At present, an appropriate
analytical technique, when a pile head extends into a concrete cap or mat, is to assume various
degrees of pile-head fixity, ranging from completely fixed to completely free, and to design for
the worst conditions that results from the computer runs.
26
Chapter 2 - Solution for Pile Response to Lateral Loading
The sketch in Figure 2-10(b) shows a structure supported by a single pile. Shown in the
figure is a pattern of soil resistance that must result to put the pile into equilibrium. In performing
the analyses, the p-y curves must be derived as before but, in this instance, the conditions at the
pile head are fully known. The loading will consist of a shear and a relatively large moment, and
the pile head will be free to rotate. Because the axial load will be relatively small, studies will
probably be necessary to determine the required penetration of the pile so that the tip deflection
will be small and the pile will not behave as a “fence post. “
Of the two schemes, selection of the most efficient scheme will depend on a number of
conditions. Two considerations are the deflection under the maximum load at the top of the
structure and the availability of equipment that can construct the large pile.
2-1-4-5 Use of Piles to Stabilize Slopes
An application for piles that is continuing interest is the stabilizing of slopes that have
moved or are judged to be near failure. The sketch in Figure 2-11 illustrates the application. A
bored pile is often employed because it can be installed with a minimum of disturbance of the
soil near the actual or potential sliding surface.
The procedures for the design of such a pile are described in some more detail later in
this manual. The special treatment accorded to this particular problem is due to its importance
and because the technical literature fails to provide much guidance to the designer.
2-1-4-6 Anchor Pile in a Mooring System
The use of a pile as the anchor for a tieback anchor is illustrated in Figure 2-12. A
vertical pile is shown in the sketch with the tie rod attached below the top of the pile. The force
in the rod can be separated into components; one component indicates the lateral load on the pile
and the other the axial load.
27
Chapter 2 – Solution for Pile Response to Lateral Loading
The p-y curves are derived with proper attention to soil characteristics with respect to
depth below the ground surface. The loading will be sustained and a proper adjustment must be
made, if time-related deflection is expected.
The analysis will proceed by considering the loading to be applied at the top of the pile
or, preferably, as a distributed load along the upper portion of the pile. In the case of the anchor
that is shown, the load is applied at some distance from the top of the pile. The analytical method
can deal with the anchor pile by appropriate innovation.
2-1-4-7 Other Uses of Laterally Loaded Piles
Piles under lateral loading occur in many structures or applications other than the ones
that were earlier mentioned. Some of these are high-rise buildings that are subjected to forces
from wind or from unbalanced earth pressures; pile-supported retaining walls; locks and dams;
waterfront structures such as piers and quay walls; support for overhead pipes and for other
facilities found in industrial plants; and bridge abutments.
The method has the potential of analyzing the flexible bulkhead that is shown in Figure
2-12. The sheet piles (or tangent piles if bored piles are used) can be analyzed as a pile, if the p-y
curves are modified to reflect the soil resistance versus deflection for a wall, rather than for a
pile. Research on the topic has been undertaken (Wang, 1986) and has already been implemented
in computer program PYWall from Ensoft, Inc.
Anchor Pile
Tie-back (Dead Man)
28
Chapter 2 - Solution for Pile Response to Lateral Loading
y
y Px S
x
M
Vv Vn
Vv
dx
Vv+dVv
M+dM
y+dy
Px
x
Figure 2-13 Element of Beam-Column (after Hetenyi, 1946)
29
Chapter 2 – Solution for Pile Response to Lateral Loading
dM dy
+ Q − Vv = 0 ......................................................(2-2)
dx dx
d 2M d 2 y dVv
+ Q − = 0 .................................................(2-3)
dx 2 dx 2 dx
d 2M d4y
= EI 4
dx 2 dx
dVv
= p
dx
p = –Esy
d4y d2y
EI + Q + E s y = 0 ...............................................(2-4)
dx 4 dx 2
The direction of the shearing force Vv is shown in Figure 2-13. The shearing force in the
plane normal to the deflection line can be obtained as
Because S is usually small, we may assume the small angle relationships: cos S = 1 and sin S =
tan S = dy/dx. Thus, Equation 2-6 is obtained.
dy
Vn = Vv − Q ..........................................................(2-6)
dx
30
Chapter 2 - Solution for Pile Response to Lateral Loading
Vn will mostly be used in computations, but Vv can be computed from Equation 2-6 where
dy/dx is equal to the rotation S.
The ability to allow a distributed force W per unit of length along the upper portion of a
pile is convenient in the solution of a number of practical problems. The differential equation
then becomes as shown below.
d4y d2y
EI + Q − p + W = 0 ..............................................(2-7)
dx 4 dx 2
where:
Q = axial thrust load in the pile,
y = lateral deflection of the pile at a point x along the length of the pile,
p = soil reaction per unit length,
EI = flexural rigidity, and
W = distributed load along the length of the pile.
Other beam formulas that are needed in analyzing piles under lateral loads are:
d3y dy
Vv = EI 3 + Q .....................................................(2-8)
dx dx
d2y
M = EI ...........................................................(2-9)
dx 2
and,
dy
S= .............................................................(2-10)
dx
where
V = shear in the pile,
M = bending moment in the pile, and
S = slope of the elastic curve defined by the axis of the pile.
Except for the axial load Q, the sign conventions that are used in the differential equation
and in subsequent development are the same as those usually employed in the mechanics for
31
Chapter 2 – Solution for Pile Response to Lateral Loading
beams, with the axes for the pile rotated 90 degrees clockwise from the axes for the beam. The
axial load Q does not normally appear in the equations for beams. The sign conventions are
presented graphically in Figure 2-14. A solution of the differential equation yields a set of curves
such as shown in Figure 2-15. The mathematical relationships for the various curves that give the
response of the pile are shown in the figure for the case where no axial load is applied.
The assumptions that are made in deriving the differential equation are:
1. The pile is straight and has a uniform cross section,
2. The pile has a longitudinal plane of symmetry; loads and reactions lie in that plane,
3. The pile material is homogeneous,
4. The proportional limit of the pile material is not exceeded,
5. The modulus of elasticity of the pile material is the same in tension and compression,
6. Transverse deflections of the pile are small,
7. The pile is not subjected to dynamic loading, and
8. Deflections due to shearing stresses are small.
Assumption 8 can be addressed by including more terms in the differential equation, but
errors associated with omission of these terms are usually small. The numerical method
presented later can deal with the behavior of a pile made of materials with nonlinear stress-strain
properties.
x x x
Q (+)
p (+)
x x x
32
Chapter 2 - Solution for Pile Response to Lateral Loading
y S M V p
α Es
β4 = = .....................................................(2-11)
4 EI 4 EI
d4y
+ 4β 4 y = 0 ......................................................(2-12)
dx 4
33
Chapter 2 – Solution for Pile Response to Lateral Loading
The coefficients C1, C2, C3, and C4 must be evaluated for the various boundary conditions that are
desired. A pile of any length is considered later but, if one considers a long pile, a simple set of
equations can be derived. An examination of Equation 2-13 shows that C1 and C2 must approach
zero because the term eβx will increase without limit.
The boundary conditions for the top of the pile that are employed for the solution of the
reduced form of the differential equation are shown by the simple sketches in Figure 2-16. A
more complete discussion of boundary conditions for a pile is presented in the next section. The
boundary conditions at the top of the pile selected for the first case are illustrated in Figure 2-
16(a) and in equation form are:
d 2 y Mt
at x = 0, = ...........................................................(2-14)
dx 2 EI
d 3 y Pt
= ...........................................................(2-15)
dx 3 EI
The differentiations of Equation 2-13 are made and the substitutions indicated by Equation 2-14
yield the following.
− Mt
C4 = .........................................................(2-16)
2 EIβ 2
34
Chapter 2 - Solution for Pile Response to Lateral Loading
Pt y Pt y Pt y
Equations 2-16 and 2-17 are used and expressions for deflection y, slope S, bending moment M,
shear V, and soil resistance p can be written as shown in Equations 2-18 through 2-22.
2b 2e-bx ⎡ Pt ⎤
y= ⎢ cos βx + M t (cos β x − sin β x)⎥ ................................(2-18)
α ⎣b ⎦
⎡ 2P β 2 M ⎤
S = −e − βx ⎢ t (sin β x + cos β x) + t cos β x ⎥ ............................(2-19)
⎣ α EIβ ⎦
⎡P ⎤
M = e − βx ⎢ t sin β x + M t (sin β x + cos β x)⎥ ..................................(2-20)
⎣β ⎦
⎡ Pt ⎤
p = −2β 2e − βx ⎢ cos β x + M t (cos β x − sin β x)⎥ .............................(2-22)
⎣β ⎦
35
Chapter 2 – Solution for Pile Response to Lateral Loading
It is convenient to define some functions that make it easier to write the above equations.
These are:
2 Pt β Mt
y= C1 + B1 ................................................(2-27)
α 2 EI β 2
− 2 Pt β 2 Mt
S= A1 − C1 ...............................................(2-28)
α EI β
Pt
M = D1 + M t A1 .....................................................(2-29)
β
V = PtB1 – 2MtβD1 ..................................................(2-30)
p = –2PtβC1 – 2Mtβ2B1 ...............................................(2-31)
Values for A1, B1, C1, and D1, are shown in Figure 2-17 as a function of the nondimensional
distance βx along the pile.
36
Chapter 2 - Solution for Pile Response to Lateral Loading
βx
-0.4 -0.2 0 0.2 0.4 0.6 0.8 1
0.0
0.5
1.0
1.5
2.0
2.5
A1, B1, C1, D1
A1
3.0 B1
C1
3.5 D1
4.0
4.5
5.0
5.5
6.0
For a pile whose head is fixed against rotation, as shown in Figure 2-16(b), the solution
may be obtained by employing the boundary conditions as given in Equations 2-32 and 2-33.
dy
At x = 0, = 0 .............................................................(2-32)
dx
37
Chapter 2 – Solution for Pile Response to Lateral Loading
d3y
EI = Pt ..........................................................(2-33)
dx3
Using the procedures as for the case where the boundary conditions were as shown in
Figure 2-4(a), the results are as follows.
Pt
C3 = C4 = .....................................................(2-34)
4 EI β 3
The solution for long piles is given in Equations 2-35 through 2-39.
Pt β
y= A1 ..........................................................(2-35)
α
Pt
S=− D1 ......................................................(2-36)
2 EI β 2
Pt
M =− B1 .........................................................(2-37)
2β
V = Pt C1 ...........................................................(2-38)
p = –PtβA1 ..........................................................(2-39)
d2y
EI
dx 2 = M t ........................................................(2-40)
dy St
dx
38
Chapter 2 - Solution for Pile Response to Lateral Loading
d 3 y Pt
= ...........................................................(2-41)
dx3 EI
Employing these boundary conditions, the coefficients C3 and C4 can be evaluated, and the
results are shown in Equations 2-42 and 2-43. For convenience in writing, the rotational restraint
Mt /St is given the symbol kθ.
Pt (2 EI β + kθ )
C3 = ...................................................(2-42)
EI (α + 4 β 3kθ )
kθ Pt
C4 = ...................................................(2-43)
EI (α + 4 β 3kθ )
d2y
= 0 (M is zero at pile tip)...........................................(2-44)
dx 2
and
d3y
= 0 (shear force, V, is zero at pile tip).................................(2-45)
dx 3
When the above boundary conditions are used, along with a set for the top of the pile, the
four coefficients C1, C2, C3, and C4 can be evaluated. The solutions are not shown here, but new
values of the parameters A1, B1 ,C1, and D1 can be computed as a function of βL. Such
computations, if carried out, will show readily the influence of the length of the pile.
39
Chapter 2 – Solution for Pile Response to Lateral Loading
The reduced form of the differential equation will not normally be used for the solution
of problems encountered in design; however, the influence of pile length and other parameters
can be illustrated with clarity. Furthermore, the closed-form solution can be used to check the
accuracy of the numerical solution shown in the next section.
dy ym −1 + ym +1
=
dx 2h
d 2 y ym −1 − 2 ym + ym +1
=
dx 2 h2
d 3 y − ym − 2 + 2 ym −1 − 2 ym +1 + ym + 2
=
dx3 2h3
d 4 y ym − 2 − 4 ym −1 + 6 ym − 4 ym +1 + ym + 2
=
dx 4 h4
If the pile is subdivided in increments of length h, as shown in Figure 2-18, the governing
differential equation, Equation 2-7, in difference form with collected terms for y is as follows:
40
Chapter 2 - Solution for Pile Response to Lateral Loading
ym+2
h ym+1
h ym
h ym-1
h ym-2
ym − 2 Rm −1 +
ym −1 (−2 Rm −1 − 2 Rm + Qh 2 ) +
ym ( Rm −1 + 4 Rm + Rm +1 − 2Qh 2 + km hH 4 ) + ..................................(2-46)
ym +1 (−2 Rm − 2 Rm +1 + Qh 2 ) +
ym + 2 Rm +1Wh 4 = 0
where
Rm = EmIm (flexural rigidity of pile at point m) and
km = Esm.
The assumption is implicit in Equation 2-46 that the magnitude of Q is constant with
depth. Of course, that assumption is not strictly true. However, experience has shown that the
maximum bending moment usually occurs a relatively short distance below the ground line at a
point where the value of Q is undiminished. This fact plus the fact that Q, except in cases of
buckling, has little influence on the magnitudes of deflection and bending moment, leads to the
conclusion that the assumption of a constant Q is generally valid. For the reasons given, it is
thought to be unnecessary to vary Q in Equation 2-46; thus, a table of values of Q as a function
of x is not required.
If the pile is divided into n increments, n+1 equations of the sort as Equation 2-46 can be
written. There will be n+5 unknowns because two imaginary points will be introduced above the
top of the pile and two will be introduced below the bottom of the pile. If two equations giving
boundary conditions are written at the bottom and two at the top, there will be n+5 equations to
solve simultaneously for the n+5 unknowns. The set of algebraic equations can be solved by
matrix methods in any convenient way.
41
Chapter 2 – Solution for Pile Response to Lateral Loading
The two boundary conditions that are employed at the bottom of the pile involve the
moment and the shear. If the possible existence of an eccentric axial load that could produce a
moment at the bottom of the pile is discounted, the moment at the bottom of the pile is zero. The
assumption of a zero moment is believed to produce no error in all cases except for short rigid
piles that carry their loads in end bearing, and when the end bearing is applied eccentrically. (The
case where the moment at the bottom of a pile is not equal to zero is unusual and is not treated by
the procedure presented herein.) Thus, the boundary equation for zero moment at the bottom of
the pile requires
y−1 − 2 y0 + y1 = 0 .....................................................(2-47)
where y0 denotes the lateral deflection at the bottom of the pile. Equation 2-47 is expressing the
condition that EI(d2y/dx2) = 0 at x = L (The numbering of the increments along the pile starts
with zero at the bottom for convenience).
The second boundary condition involves the shear force at the bottom of the pile. The
assumption is made that soil resistance due to shearing stress can develop at the bottom of a short
pile as deflection occurs. It is further assumed that information can be developed that will allow
V0, the shear at the bottom of the pile, to be known as a function of y0 Thus, the second equation
for the zero-shear boundary condition at the bottom of the pile is
R0
3
( y− 2 − 2 y−1 + 2 y1 − y2 ) + Q ( y−1 − y1 ) = V0 ...............................(2-48)
2h 2h
Equation 2-48 is expressing the condition that there is some shear at the bottom of the pile or that
EI(d3y/dx3) + Q(dy/dx) = V0 at x = L. The assumption is made in these equations that the pile
carries its axial load in end-bearing only, an assumption that is probably satisfactory for short
piles for which V0 would be important. The value of V0 should be set equal to zero for long piles
(2 or more points of zero deflection along the length of the pile).
As noted earlier, two boundary equations are needed at the top of the pile. Four sets of
boundary conditions, each with two equations, have been programmed. The engineer can select
the set that fits the physical problem.
Case 1 of the boundary conditions at the top of the pile is illustrated graphically in Fig 2-
19. (The axial load Q is not shown in the sketches, but Q is assumed to be acting at the top of the
pile for each of the four cases of boundary conditions.). For the condition where the shear at the
top of the pile is equal to Pt, the following difference equation is employed.
42
Chapter 2 - Solution for Pile Response to Lateral Loading
Pt
+Mt yt+2
yt+1 h
yt
+Pt
yt-1
yt-2
Rt
Pt = 3
( y t − 2 − 2 y t −1 + 2 y t +1 − y t + 2 ) + Q ( y t −1 − y t +1 ) .........................(2-49)
2h 2h
For the condition where the moment at the top of the pile is equal to Mt, the following difference
equation is employed.
Rt
Mt = ( y t −1 − 2 y t + y t +1 ) ..............................................(2-50)
h2
Case 2 of the boundary conditions at the top of the pile is illustrated graphically in Figure
2-20. The pile is assumed to be embedded in a concrete foundation for which the rotation is
known. In many cases, the rotation can be assumed to be zero, at least for the initial solutions.
Equation 2-49 is the first of the two equations that are needed. The second of the two needed
equations reflects the condition that the slope St at the top of the pile is known.
yt+2
yt+1
yt St
+Pt
yt-1
yt-2 1
43
Chapter 2 – Solution for Pile Response to Lateral Loading
yt −1 − yt +1
St = .......................................................(2-51)
2h
Case 3 of the boundary conditions at the top of the pile is illustrated in Figure 2-21. It is
assumed that the pile continues into the superstructure and becomes a member in a frame. The
solution for the problem can proceed by cutting a free body at the bottom joint of the frame. A
moment is applied to the frame at that joint, and the rotation of the frame is computed (or
estimated for the initial solution). The moment divided by the rotation, Mt/St, is the rotational
restraint provided by the superstructure and becomes one of the boundary conditions. The
boundary condition has proved to be useful in some cases.
yt+1
yt
+Pt
yt-1 h
yt-2
Rt
( y − 2 yt + yt +1 )
M t h 2 t −1
= ..............................................(2-52)
St yt −1 − yt +1
2h
Case 4 of the boundary conditions at the top of the pile is illustrated in Figure 2-22. It is
assumed, for example, that a pile is embedded in a bridge abutment that moves laterally a given
amount; thus, the deflection yt at the top of the pile is known. It is further assumed that the
44
Chapter 2 - Solution for Pile Response to Lateral Loading
bending moment is known. If the embedment amount is small, the bending moment is frequently
assumed to be zero. The first of the two equations expresses the condition that the moment Mt at
the pile head is known, and Equation 2-50 can be employed. The second equation merely
expresses the fact that the pile-head deflection is known.
yt = Yt..............................................................(2-53)
Foundation
moves laterally
yt+2
yt+1
Mt
yt
yt-1 h
Pile-head moment is
known, may be zero yt-2
Case 5 of the boundary conditions at the top of the pile is illustrated in Figure 2-23. Both
the deflection yt the rotation St at the top of the pile are assumed to be known. This case is related
to the analysis of a superstructure because advanced models for structural analyses have been
recently developed to achieve compatibility between the superstructure and the foundation. The
boundary conditions in Case 5 can be conveniently used for computing the forces at the pile head
in the model for the superstructure. Equation 2-53 can be used with a known value of yt and
Equation 2-51 can be used with a known value of St.
The five sets of boundary conditions at the top of a pile should be adequate for virtually
any situation but other cases can arise. However, the boundary conditions that are available in
LPile, with a small amount of effort, can produce the required solutions. For example, it can be
assumed that Pt and yt are known at the top of a pile and constitute the required boundary condi-
tions (not one of the four cases). The Case 4 equations can be employed with a few values of Mt
being selected, along with the given value of yt. The computer output will yield values of Pt. A
simple plot will yield the required value of Mt that will produce the given boundary condition, Pt.
LPile solves the difference equations for the response of a pile to lateral loading.
Solutions of some example problems are presented in the User’s Manual. Also, case studies are
included in which the results from computer solutions are compared with experimental results.
Because of the obvious approximations that are inherent in the difference-equation method, a
discussion is provided of techniques for the verification of the accuracy of a solution that is
essential to the proper use of the numerical method. The discussion will deal with the number of
significant digits to be used in the internal computations and with the selection of the increment
45
Chapter 2 – Solution for Pile Response to Lateral Loading
length h. However, at this point some brief discussion is in order about another approximation in
Equation 2-46.
St
yt
yt+2
yt+1
yt
1
yt-1
yt-2
St
d2y
EI = M ...........................................................(2-9)
dx 2
ym −1 − 2 ym + ym +1
Rm = M m ..............................................(2.54)
h2
46
Chapter 3
Lateral Load-Transfer Curves for Soil and Rock
3-1 Introduction
This chapter presents the formulation of expressions for p-y curves for soil and rock
under both static and cyclic loading. As part of this presentation, a number of fundamental
concepts are presented that are relevant to any method of analyzing deep foundations under
lateral loading. Chapter 1 presented the concept of the p-y method, and this chapter will present
details for the computation of load-transfer behavior for a pile under a variety of conditions.
A typical p-y curve is shown in Figure 3-1a. The p-y curve is just one of a family of p-y
curves that describe the lateral-load transfer along the pile as a function of depth and of lateral
deflection. It would be desirable if soil reaction could be found analytically at any depth below
the ground surface and for any value of pile deflection. Factors that might be considered are pile
geometry, soil properties, and whether the type of loading, static is cyclic, sustained, or dynamic.
Unfortunately, common methods of analysis are currently inadequate for solving all possible
problems. However, principles of geotechnical engineering can be helpful in gaining insight into
the evaluation of two characteristic portions of a p-y curve.
b b
p
Soil Resistance, p
c
(b)
a (a) a
d
Pile Deflection, y y
b
p
a e (c)
47
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The p-y curve in Figure 3-1(a) is meant to represent the case where a short-term
monotonic loading was applied to a pile. This case will be called “static” loading for
convenience and will seldom, if ever, be encountered in practice. However, the static loading
curve is useful because analytical procedures can be used to develop expressions to correlate
with some portions of the curve, and the static curve serves as a baseline for demonstrating the
effects of other types of loading.
The three curves in Figure 3-1 show a straight-line relationship between p and y from the
origin to point a. If it can be reasonably assumed that for small strains in soil there is a linear
relationship between p and y for small values of y. Analytical methods for computing the slopes
of the initial portion of the p-y curves, Esi, are discussed later.
Recommendations will be given in this chapter for the selection of the slope of the initial
portion of p-y curves for the various cases of soils and loadings that are addressed. The point
should be made, however, that the recommendations for the slope of the initial portion are meant
to be somewhat conservative because the deflection and bending moment of a pile under light
loads will probably be somewhat less than computed by use of the recommendations. There are
some cases in the design of piles under lateral loading when it will be unconservative to compute
more deflection than will actually occur; in such cases, a field load test must be made.
The portion of the curve in Figure 3-1(a) from points a to b shows that the value of p is
strain softening with respect to y. This behavior is reflecting the nonlinear portion of the stress-
strain curve for natural soil. Currently, there are no accepted analytical procedures that can be
used to compute the a-b portion of a p-y curve. Rather, that portion of the curves is empirical and
based on results of full-scale tests of piles in a variety of soils with both monotonic and cyclic
loading.
The horizontal, straight-line portion of the p-y curve in Figure 3-1(a) implies that the soil
is behaving plastically with no loss of shear strength with increasing strain. Using this
assumption, some analytical models can be used to compute the ultimate resistance pu as a
function of pile dimensions, soil properties, and depth below the ground surface. One part of a
model is for soil resistance near the ground surface and assumes that at failure the soil mass
moves vertically and horizontally. The other part of the model is for the soil resistance deep
below the ground surface and assumes only horizontal movement of the soil mass around the
pile.
Figure 3-1(b) shows a shaded portion of the curve in Figure 3-1(a). The decreasing values
of p from point c to point d reflect the effects of cyclic loading. The curves in Figures 3-1(a) and
3-1(b) are identical up to point c, which implies that the soil behaves identically for both type of
loading at small deflections. The loss of resistance shown by the shaded area depends on the
number of cycles of loading.
A possible effect of sustained, long-term loading is shown in Figure 3-1(c). This figure
shows that there is a time-dependent increase in deflection with sustained loading. The
decreasing value of p implies that the resistance is shifted to other elements of soil along the pile
as the deflection occurs at some particular point. The effect of sustained loading should be
negligible for heavily overconsolidated clays and for granular soils. The effect for soft clays
must be approximated at present.
48
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
A number of attempts have been made to make direct measurements in the field of p and
y. Measurement of lateral deflection involves the conceptually simple process using a slope
inclinometer system to measure lateral deflection along the length of the pile. The method is
cumbersome in practice and has not been very successful in the majority of tests in which it was
attempted.
Measurement of soil resistance directly involves the design of an instrument that will
integrate the soil stress around the circumference at a point along the pile. The design of such an
instrument has been proposed, but none has yet been built. Some attempts have been made to
measure total soil stress and pore water pressure at a few points around the exterior of a pile with
the view that the soil pressures at other points on the circumference can be estimated by
interpolation. The method has met with little success for a variety of reasons, including changes
in calibration when axial loads are applied to the pile and failure to survive pile installation.
The experimental method that has met with the greatest success is to instrument the pile
to measure bending strains along the length of the pile, typically using spacing of 6 to 12 inches
(150 to 300 mm) between levels of gages. The data reduction consists of converting the strain
measurements to bending curvature and bending moment, the obtaining lateral load-transfer than
double differentiation of the bending moment curve versus depth, and obtaining lateral deflection
by double integration of the bending curvature curve versus depth.
Almost all successful load test experiments that have yielded p-y curves have measured
bending moment using electrical-resistance strain gages. In this method, curvature of the pile is
measured directly using strain gages. Bending moment in the pile is computed from the product
of curvature and the bending stiffness. Pile deflection can be obtained with considerable
accuracy by twice integrating curvature versus depth. The deflection and the slope of the pile at
the ground line are measured accurately. It is best if the pile is long enough so that there are at
least two points of zero deflection along the lower portion of the pile so that it can be reasonably
assumed that both moment and shear equal zero at the pile tip.
Evaluation of soil resistance mobilized along the length of the pile requires two
differentiations of a bending moment curve versus depth. Matlock (1970) made extremely
accurate measurements of bending moment and was able to do the differentiations numerically
(Matlock and Ripperger, 1958). This was possible by using a large number of gages and by
calibrating the instrumented pile in the laboratory prior to installation in the field. However, most
49
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
investigators fit analytical curves of various types through the points of experimental bending
moment and mathematically differentiate the fitted curves.
The experimental p-y curves can be plotted once multiple of curves showing the
distribution of deflection and soil resistance for multiple levels of loading have been developed.
A check can be made of the accuracy of the analyses by using the experimental p-y curves to
compute bending-moment curves versus depth. The computed bending moments should agree
closely with those measured in the load test. In addition, computed values of pile-head slope and
deflection can be compared to the values measured during the load test. Usually, it is more
difficult to obtain agreement between computations and measurement of pile-head deflection and
slope over the full range of loading than for bending moment.
Examples of p-y curves that were obtained from a full-scale experiment with pipe piles
with a diameter of 641 mm (24 in.) and a penetration of 15.2 m (50 ft) are shown in Figures 3-2
and 3-3 (Reese et al., 1975) . The piles were instrumented for measurement of bending moment
at close spacing along the length and were tested in overconsolidated clay.
Reese and Cox (1968) described a method for obtaining p-y curves for cases where only
pile-head measurements are made during lateral loading. They noted that nondimensional curves
could be obtained for many variations of soil modulus with depth. Equations for the soil modulus
involving two parameters were employed, such as shown in Equations 3-1 and 3-2.
Es = k1 + k2x, .........................................................(3-1)
or
Es = k1xn..............................................................(3-2)
Measurements of pile-head deflection and rotation at the ground line are necessary. Then,
either of the equations is selected and the two parameters are computed for a given applied load
and moment. With an expression for soil modulus for a particular load, the soil resistance and
deflection along the pile are computed.
The procedure is repeated for each of the applied loadings. While the method is
approximate, the p-y curves computed in this fashion do reflect the measured behavior of the pile
head. Soil response derived from a sizable number of such experiments can add significantly to
the existing information.
As previously indicated, the major field experiments that have led to the development of
the current criteria for p-y curves have involved the acquisition of experimental moment curves.
However, nondimensional methods of analyses, as indicated above, have assisted in the
development of p-y curves in some instances.
In the remaining portion of this chapter, details are presented for developing p-y curves
for clays and for sands. In addition, some discussion is presented for producing p-y curves for
other types of soil.
50
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3,000
x = 12"
x = 24"
x = 36"
2,500
x = 48"
x = 60"
x = 72"
Soil Resistance, p, lb/in.
2,000 x = 96"
x = 120"
1,500
1,000
500
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Deflection, y, inches
The conceptual p-y curves in Figure 3-1 are characterized by an initial straight line from
the origin to point a. A mass of soil with an assumed linear relationship between compressive
stress and strain, Ei, for small strains can be considered. If a pile is caused to deflect a small
distance in such a soil, one can assume with reason that the principles of mechanics can be used
to find the initial slope Esi of the p-y curve. Some difficulties are presented in making the
computations.
51
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3,000
x = 12"
x = 24"
x = 36"
2,500 x = 48"
x = 60"
x = 72"
x = 84"
x = 96"
Soil Resistance, p, lb/in.
2,000 x = 108"
x = 120"
1,500
1,000
500
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Deflection, y, inches
For one thing, the value of Ei for soil is not easily determined. Stress-strain curves from
unconfined compression tests were studied (Figure 3-4), and it was found that the initial modulus
Ei ranged from about 40 to about 200 times the undrained shear strength c (Matlock, et al., 1956;
Reese, et al., 1968). There is a considerable amount of scatter in the points, probably due to the
heterogeneity of the soils at the two sites. The values of Ei/c would probably have been higher
had an attempt been made to get precise values for the early part of the curve. Stokoe (1989)
reported that values of Ei in the order of 2,000 times c are found routinely in laboratory tests
when soil specimens are subjected to very small strains. Johnson (1982) performed some tests
with the self-boring pressuremeter and computations with his results gave values of Ei/c that
ranged from 1,440 to 2,840, with the average of 1,990. The studies of the initial modulus from
compressive-stress-strain curves of clay seem to indicate that such curves are linear only over a
very small range of strains.
52
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Ei /c
0 100 200 300
0
Manor Road
3
Lake Austin
Depth, m
12
1 / 12
⎛ 0.65 ⎞ ⎛⎜ Ei b ⎞
4
⎟ ⎛ Ei ⎞
E si = ⎜ ⎟ ⎜ ⎟ ..........................................(3-3)
⎝ b ⎠ ⎜⎝ E p I p ⎟ ⎝ 1 −ν ⎠
2
⎠
Where:
b = pile diameter,
Ei = initial slope of stress-strain curve of soil,
Ep = modulus of elasticity of the pile, and
Ip = moment of inertia of pile, respectively, and
ν = Poisson’s ratio.
While Equation 3-3 might seem to provide some useful information on the initial slope of the p-y
curves (the initial modulus of the soil in the p-y relationship), an examination of the initial slopes
53
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
of the p-y curves in Figures 3-2 and 3-3 show clearly that the initial slopes are strongly
influenced by the presence of the ground surface. The initial slopes of those curves are plotted in
Figure 3-5 and the influence of the ground surface is striking.
Pile 1 Static
0.6
1.2
Depth, meters
1.8
2.4
Pile 2 (Cyclic)
3.0
Yegian and Wright (1973) and Thompson (1977) did some interesting studies using two-
dimensional finite elements. The plane-stress case was employed to reflect the influence of the
ground surface. Kooijman (1989) and Brown, et al. (1989) used three-dimensional finite
elements as a means of developing p-y curves. In addition to developing the soil response for
small deflections of a pile, all of the above investigators used nonlinear elements in an attempt to
gain information on the full range of soil response.
Studies using finite element modeling have found the finite element method to be a
powerful tool that can supplement field-load tests as a means of producing p-y curves, or perhaps
can be used in lieu of tests of instrumented piles if the nonlinear behavior of the soil is well
defined. However, some other problems are unique to finite element analysis: selecting special
interface elements, modeling the gapping when the pile moves away from a clay soil (or the
collapse of sand against the back of a pile), modeling finite deformations when soil moves up at
the ground surface, and modeling tensile stresses during the iterations. Further development of
54
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Two analyses are used to gain some insight into the ultimate lateral resistance pu that
develop near the ground surface in one case and at depth in the other case. The first analysis is
for values of ultimate lateral resistance near the ground surface and considers the resistance a
passive wedge of soil displaced by the pile. The second analysis is for values of lateral resistance
well beneath the ground surface and models the plane-strain (flow-around) behavior of the soil.
The first analytical model for clay near the ground surface is shown in Figure 3-6. Some
justification can be presented for making use of a model that assumes that the ground surface
will move upward. Contours of the measured rise of the ground surface during a lateral load test
are shown in Figure 3-7. The p-y curves for the overconsolidated clay in which the pile was
tested are shown in Figures 3-3 and 3-4. As shown in Figure 3-7(a) for a load of 596 kN (134
kips), the ground-surface moved upward out to a distance of about 4 meters (13 ft) from the axis
of the pile. After the load was removed from the pile, the ground surface subsided to the profile
as shown in Figure 3-7 (b).
y
Ft
Ft
W
Ff x H
Ft W Ff
Fn
Fs Fp
Fp
α
α
Fn Fs
(a) (b)
Figure 3-6 Assumed Passive Wedge Failure in Clay Soils, (a) Shape of Wedge,
(b) Forces Acting on Wedge
The use of plane sliding surfaces, shown in Figure 3-6, will obviously not model the
movement that is indicated by the contours in Figure 3-7; however, a solution with the simplified
model should give some insight into the variation of the ultimate lateral resistance pu with depth.
55
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
25 mm
19 mm
3 mm 6 mm 13 mm 596 kN
3 mm 6 mm 13 mm 0 kN
4 3 2 1 0
Scale, meters
Figure 3-7 Measured Profiles of Ground Heave Near Piles Due to Static Loading,
(a) Heave at Maximum Load, (b) Residual Heave
56
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
bH 2
W =γ tan α ........................................................(3-5)
2
where
γ = unit weight of soil,
b = width (diameter) of pile, and
H = depth of wedge.
The resultant shear force on the inclined plane Fs is
Fs = c a bH sec α ........................................................(3-6)
where
ca = average undrained shear strength of the clay over depth H.
The resultant shear force on a side plane is
ca H 2
Ft = tan α ........................................................(3-7)
2
Ft = κ c a bH ...........................................................(3-8)
where
κ = a reduction factor.
The above equations are solved for Fp, and Fp is differentiated with respect to H to solve
for the soil resistance pc1 per unit length of the pile.
The value of κ can be set to zero with some logic for the case of cyclic loading because
one can reason that the relative movement between pile and soil would be small under repeated
loads. The value of α can be taken as 45 degrees, if the soil is assumed to behave in an undrained
mode. With these assumptions, Equation 3-9 becomes
57
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
However, Thompson (1977) differentiated Equation 3-9 with respect to H and evaluated
the integrals numerically. His results are shown in Figure 3-8 with the assumption that the value
of the term γ/ca is negligible. The cases where κ is assumed to be zero and where κ is assumed
1.0 are shown in the figure. Also shown in Figure 3-8 is a plot of Equation 3-10 with the same
assumption with respect to γ/ca. As shown, the differences in the plots are not great. The curve in
Figure 3-8 from Hansen (1961a, 1961b) is discussed on page 60.
p u /cb
0 5 10 15 20 25 30
0
Hansen
1 K = 0 Thompson
K = 0.5 Thompson
2 K = 1.0 Thompson
Eq. 3-10
H/b 5
10
The equations developed above do not address the case of tension in the pile. If piles are
designed for a permanent uplift force, the equation for ultimate soil resistance should be
modified to reflect the effect of an uplift force at the face of the pile (Darr, et al., 1990).
The second of the two models for computing the ultimate resistance pu is shown in the
plan view in Figure 3-9(a). At some point below the ground surface, the maximum value of soil
resistance will occur with the soil moving horizontally. Movement in only one side of the pile is
58
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
indicated; but movement, of course, will be around both sides of the pile. Again, planes are
assumed for the sliding surfaces with the acceptance of some approximation in the results.
σ5 σ2
c
σ4 4 σ4 3 σ3 2 σ3
σ5 c
σ6 5 σ σ1 1 σ1
6
σ5 Pile Movement σ2
(a)
c
σ
σ1 σ2 σ3 σ4 σ5 σ6
2c
(b)
cb/2
σ6b pu σ1b
cb/2
(c)
Figure 3-9 Assumed Mode of Soil Failure Around Pile in Clay, (a) Section Through Pile,
(b) Mohr-Coulomb Diagram, (c) Forces Acting on Section of Pile
A cylindrical pile is indicated in the figure, but for ease in computation, a prismatic block
of soil is assumed to be subjected to horizontal movement. Block 5 is moved laterally as shown
and stress of sufficient magnitude is generated in that block to cause failure. Stress is transmitted
59
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
to Block 4 and on around the pile to Block 1, with the assumed movements indicated by the
dotted lines. Block 3 is assumed not to distort, but failure stresses develop on the sides of the
block as it slides.
The Mohr-Coulomb diagram for undrained, saturated clay is shown in Figure 3-9(b) and
a free body of the pile is shown in Figure 3-9(c). The ultimate soil resistance pc2 is independent
of the value of σ1 because the difference in the stress on the front σ6 and back σ1 of the pile is
equal to 10c. The shape of the cross section of a pile will have some influence on the magnitude
of pc2; for the circular cross section, it is assumed that the resistance that is developed on each
side of the pile is equal to c (b/2), and
pc 2 = (σ 6 − σ 1 + c ) b = 11 c b .............................................(3-11)
H
2.567 + 5.307
pu b .................................................(3-12)
=
cb H
1 + 0.652
b
Equation 3-12 is also shown plotted in Figure 3-8. The agreement with the “block” solutions is
satisfactory near the ground surface, but the difference becomes significant with depth.
Equations 3-10 and 3-11 are similar to Equations 3-20 and 3-21, shown later, that are
used in the recommendations for two of the sets of p-y curves. However, the emphasis was
placed directly on experimental results. The values of pu obtained in the full-scale experiments
were compared to the analytical values, and empirical factors were found by which Equations 3-
10 and 3-11 could be modified. The adjustment factors that were found are shown in Figure 3-10
(see Section 3-3-7 on page 67 for more discussion), and it can be seen that the experimental
values of ultimate resistance for overconsolidated clay below the water table were far smaller
than the computed values. The recommended method of computing the p-y curves for such clays
is demonstrated later.
60
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Ac and As
0 0.2 0.4 0.6 0.8 1.0
0
Ac
x
4 As
b
The analytical developments presented to this point indicate that the term for the pile
diameter appears to the first power in the expressions for p-y curves. Reese, et al. (1975)
described tests of piles with diameters of 152 mm (6 in.) and 641 mm (24 in.) at the Manor site.
The p-y formulations developed from the results from the larger piles were used to analyze the
behavior of the smaller piles. The computation of bending moment led to good agreement
between analysis and experiment, but the computation of ground line deflection showed
considerable disagreement, with the computed deflections being smaller than the measured ones.
No explanation could be made to explain the disagreement.
O’Neill and Dunnavant (1984) and Dunnavant and O’Neill (1985) reported on tests
performed at a site where the clay was overconsolidated and where lateral-loading tests were
performed on piles with diameters of 273 mm (10.75 in.), 1,220 mm (48 in.), and 1,830 mm (72
in.). They found that the site-specific response of the soil could best be characterized by a
nonlinear function of the diameter.
There is good reason to believe that the diameter of the pile should not appear as a linear
function when piles in clays below the water table are subjected to cyclic loading. However, data
from experiments are insufficient at present to allow general recommendations to be made. The
influence of cyclic loading on p-y curves is discussed in the next section.
61
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
62
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
due to cyclic loading was relatively small, it was observed that the clay included some seams of
sand. It was reasoned that the sand would not have been scoured readily and that particles of
sand could have partially filled the space that was developed around the pile. In this respect, one
experiment showed that pea gravel placed around a pile during cyclic loading was effective in
restoring most of the loss of resistance; however, O’Neill and Dunnavant (1984) report that
“placing concrete sand in the pile-soil gap formed during previous cyclic loading did not produce
a significant regain in lateral pile-head stiffness. “
(a) (b)
Figure 3-11 Scour Around Pile in Clay During Cyclic Loading, (a) Profile View,
(b) Photograph of Turbulence Causing Erosion During Lateral Load Test
While the work of Long (1984) and Wang (1982) developed considerable information
about the factors that influence the loss of resistance in clays under free water due to cyclic
loading, their work did not produce a definitive method for predicting this loss of resistance. The
analyst, thus, should make use of the numerical results presented herein with caution with regard
to the behavior of piles in clay under cyclic loading. Full-scale experiments with instrumented
piles at a particular site are indicated for those cases where behavior under cyclic loading is a
critical feature of the design.
63
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The method proposed by McClelland and Focht (1958) , B. “, discussed later, appeared at
the beginning of the period when large research projects were conducted. This model is
significant because those authors were the first to present the concept of using p-y curves to
model the resistance of soil against lateral pile movement. Their paper is based on a full-scale
experiment at an offshore site where a moderate amount of instrumentation was employed.
3-3-5-2 Skempton (1951)
Skempton (1951) stated that “simple theoretical considerations” were employed to
develop a prediction model for load-settlement curves. The theory can be also used to obtain p-y
curves if it is assumed that the ground surface does not affect the results, that the state of stress is
the same in the horizontal and vertical directions, and that the stress-strain behavior of the soil is
isotopic.
The mean settlement, ρ, of a foundation of width b on the surface of a semi-infinite
elastic solid is given by Equation 3-13.
I −ν 2
ρ = qbI ρ ......................................................(3-13)
E
where:
q = foundation pressure,
Iρ = influence coefficient,
ν = Poisson’s ratio of the solid, and
E = Young’s modulus of the solid.
In Equation 3-13, the value of Poisson’s ratio can be assumed to be 0.5 for saturated clays
if there is no change in water content, and Iρ can be taken as π/4 for a rigid circular footing on
the surface. Furthermore, for a rigid circular footing, the failure stress qf may be taken as equal
6.8 c, where c is the undrained shear strength. Making the substitutions indicated and setting ρ =
ρ1 for the particular case
ρ1 4c q
= ..........................................................(3-14)
b E qf
Skempton noted that the influence value Iρ decreases with depth below the ground surface and
the bearing capacity factor increases; therefore, as a first approximation Equation 3-14 is valid at
any depth.
In an undrained compression test, the axial strain is given by
64
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
ε=
(σ 1 − σ 3 ) = σ Δ ....................................................(3-15)
E E
2c (σ 1 − σ 3 )
ε= .................................................... (3-16)
E (σ 1 − σ 3 ) f
Equations 3-14 and 3-16 show that, for the same ratio of applied stress to ultimate stress,
the strain in the footing test (or pile under lateral loading) is related to the strain in the laboratory
compression test by the following equation.
ρ1
= 2ε
b
ρ1 = 2 ε b .......................................................... (3-17)
Skempton’s reasoning was based on the theory of elasticity and on the actual behavior of
full-scale foundations, led to the following conclusion:
“Thus, to a degree of approximation (20 percent) comparable with the accuracy of the
assumptions, it may be taken that Equation 3-17 applies to a circular or any rectangular
footing.”
Skempton stated that the failure stress for a footing reaches a maximum value of 9c. If one
assumes the same value for a pile in saturated clay under lateral loading, pu becomes 9cb. A p-y
curve could be obtained, then, by taking points from a laboratory stress-strain curve and using
Equation 3-17 to obtain deflection and 4.5σΔb to obtain soil resistance. The procedure would
presumably be valid at depths beyond where the presence of the ground surface would not
reduce the soil resistance.
Skempton presented information about laboratory stress-strain curves to indicate that ε50,
the strain corresponding to a stress of 50 percent of the ultimate stress, ranges from about 0.005
to 0.02. That information, and information about the general shape of a stress-strain curve,
allows an approximate curve to be developed if only the strength of the soil is available.
65
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
66
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
In addition, to obtain values of pile deflection y from stress-strain curves, the authors proposed
the following equation.
These equations are similar in form to those developed by Skempton, but the factors used for
lateral defection are different (0.5 used by McClelland and Focht and 2 used by Skempton).
Four procedures are provided for computing p-y curves for clay. Each procedure is based
on the analysis of the results of experiments using full-scale instrumented piles. In every case, a
comprehensive soil investigation was performed at each site and the best estimate of the
undrained shear strength of the clay was found and the physical dimensions and bending stiffness
of the piles were determined accurately. Experimental p-y curves were obtained by one or more
of the techniques described earlier. Theory was used and mathematical expressions were
developed for p-y curves, which, when used in a computer solution, would yield values of lateral
pile deflection and bending moment versus depth that agreed well with the experimental values.
Loadings in all three load tests were both short-term (static) and cyclic. The p-y curves
that resulted from the two tests performed with water above the ground surface have been used
extensively in the design of offshore structures around the world.
Matlock (1970) performed lateral-load tests with an instrumented steel-pipe pile that was
324 mm (13 in.) in diameter and 12.8 meters (42 ft) long. The test pile was driven into clays near
Lake Austin, Texas that had an average shear strength of about 38 kPa (800 psf). The test pile
was recovered after the first test and taken to Sabine Pass, Texas, and driven into clay with a
shear strength that averaged about 14.4 kPa (300 psf) in the significant upper zone.
The initial loading was short-term. The load was applied to the pile long enough for
readings of strain gages to be taken by an extremely precise device. A rough balance of the
external Wheatstone bridge was obtained by use of a precision decade box and the final balance
was taken by rotating a 150-mm-diameter drum on which a copper wire had been wound. A
contact on the copper wire was read on the calibrated drum when a final balance was achieved.
The accuracy of the strain readings were less than one microstrain but, unfortunately, some time
was required to obtain readings manually from the top of the pile to the bottom and back up to
the top again. The pressure in the hydraulic ram that controlled the load was adjusted as
necessary to maintain a constant load because of the creep of the soil under the imposed loading,.
The two sets of readings at each point along the pile were interpreted to find the assumed reading
at a particular time, assuming that the change in moment due to creep had a constant rate.
67
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The accurate readings of bending moment allowed the soil resistance to be found by
numerical differentiation, which was a distinct advantage. The disadvantage was the somewhat
indeterminate influence of the creep of the soft clay.
The test pile was extracted, re-driven, and tested a second type with cyclic loading.
Readings of the strain gages were taken under constant load after various numbers of cycles of
loading. The load was applied in two directions, with the load in the forward direction being
more than twice as large as the load in the backward direction. After a significant number of
cycles, the deflection at the top of the pile was changing not at all or only a small amount, and an
equilibrium condition was assumed. Therefore, the p-y curves for cyclic loading are intended to
represent a lower-bound condition. Thus, a designer might possibly be computing an overly-
conservative response of a pile, if the cyclic p-y curves are used and if there are only a small
number of applications of the design load (the factored load).
3-3-7-1 Detailed Procedure for Computing p-y Curves in Soft Clay for Static Loading
The following procedure is for short-term static loading and is illustrated by Figure 3-
12(a). As noted earlier, the curves for static loading constitute the basis for indicating the
influence of cyclic loading and would be rarely used in design if cyclic loading is of concern.
1. Obtain the best possible estimates of the variation of undrained shear strength c and
effective unit weight with depth. Also, obtain the value of ε50, the strain corresponding to
one-half the maximum principal stress difference. If no stress-strain curves are available,
typical values of ε50 are given in Table 3-2.
2. Compute the ultimate soil resistance per unit length of pile, using the smaller of the values
given by the equations below.
′
⎡ γ avg J ⎤
pu = ⎢3 + x + x ⎥ cb ............................................. (3-20)
⎣ c b ⎦
pu = 9 c b .......................................................... (3-21)
where
′ = average effective unit weight from ground surface to p-y curve,
γ avg
68
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
1
p ⎛ p ⎞ ⎛ y ⎞3
⎜⎜ ⎟⎟ = 0.5⎜⎜ ⎟⎟
0.5
pu ⎝ pu ⎠ ⎝ y50 ⎠
y
0
0 1 8.0 y50
(a)
0.5
x
0.72
xr
0
0 3 y 15
1 y50
(b)
Figure 3-12 p-y Curves in Soft Clay,(a) Static Loading, (b) Cyclic Loading
69
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
computations as the first, but the user may enter the value of J at the top and bottom of the
soil layer. LPile does not perform error checking on the input value of J.
3. Compute deflection at one-half the ultimate soil resistance, y50, from the following
equation:
y50 = 2.5 ε50b ....................................................... (3-22)
4. Compute points describing the p-y curve from the following relationship.
p ⎛ y ⎞3
= 0.5⎜⎜ ⎟⎟ ..................................................... (3-23)
pu ⎝ y 50 ⎠
6cb
xr = ....................................................... (3-24)
γ ′ b + Jc
If the unit weight and shear strength vary with depth, the value of xr should be computed
with the soil properties at the depth where the p-y curve is desired. In general, minimum
values of xr should be about 2.5 pile diameters (API RP2A (2007), Section 6.8.2).
3. If the depth to the p-y curve is greater than or equal to xr, select p as 0.72pu for all values of
y greater than 3y50.
70
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
4. If the depth of the p-y curve is less than xr, note that the value of p decreases to 0.72pu at y
= 3y50 and to the value given by the following expression at y = 15y50.
⎛ x ⎞
p = 0.72 pu ⎜⎜ ⎟⎟ ..................................................... (3-25)
⎝ xr ⎠
71
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Depth, meters
8
10
12
14
16
0 10 20 30 40 50
Shear Strength, kPa
Figure 3-13 Shear Strength Profile Used for Example p-y Curves for Soft Clay
250
200
Load Intensity p, kN/m
100
50
0
0 0.1 0.2 0.3 0.4 0.5 0.6
Lateral Deflection y, meters
Figure 3-14 Example p-y Curves for Soft Clay with the Presence of Free Water
72
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Reese, Cox, and Koop (1975) performed lateral-load tests with steel-pipe piles that were
641 mm (24 in.) in diameter and 15.2 m (50 ft) long. The piles were driven into stiff clay at a site
near Manor, Texas. The clay had an undrained shear strength ranging from about 96 kPa (1 tsf)
at the ground surface to about 290 kPa (3 tsf) at a depth of 3.7 m (12 ft).
The loading of the pile was carried out in a similar manner to that described for the tests
performed by Matlock (1970) . A significant difference was that a data-acquisition system was
employed that allowed a full set of readings of the strain gages to be taken in about a minute.
Thus, the creep of the piles under sustained loading was small or negligible. The disadvantage of
the system was that the accuracy of the curves of bending moment was such that curve fitting
was necessary in doing the differentiations.
In addition, as in the case of the Matlock recommendations for cyclic loading, the lower-
bound case is presented. Cycling was continued until the deflection and bending moments
appeared to stabilize. The number of cycles of loading was in the order of 100; and 500 cycles
were applied in a reloading test. O’Neill and Dunnavant (1984) report that an equilibrium
condition could not be reached during cyclic loading of piles at the Houston site. It is likely that
the same result would have been found at the Manor site; however, the l00 cycles or more that
were applied at Manor, at a load at which the pile was near its ultimate bending moment, were
more than would be expected during an offshore storm or under other types of repeated loading.
The diameter appears to the first power in the equations for p-y curves for cyclic loading;
however, there is reason to believe that a nonlinear relationship for diameter is required. During
the experiment with repeated loading, a gap developed between the soil and the pile after
deflection at the ground surface of perhaps 10 mm (0.4 in.) and scour of the soil at the face of the
pile began at that time. There is reason to believe that scour would be initiated in
overconsolidated clays after a given deflection at the mudline rather than at a given fraction of
the pile diameter, as indicated by the following recommendations. However, the data that are
available at present do not allow such a change in the recommended procedures. However,
analysts could well recommend a field test at a particular site in recognition of some uncertainty
regarding the influence of scour on p-y curves for overconsolidated clays.
3-3-8-1 Detailed Procedure for Computing p-y Curves for Static Loading
The following procedure is for computing p-y curves in stiff clay with free water for
short-term static loading and is illustrated by Figure 3-15. As before, these curves form the basis
for evaluating the effect of cyclic loading, and they may be used for sustained loading in some
circumstances.
73
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
p
pc y
p= 1.25
2 y50 ⎛ y − As y50 ⎞
poffset = 0.055 pc ⎜⎜ ⎟⎟
⎝ As y50 ⎠
0.5pc
0.0625 pc
E ss = −
y50 = ε 50b y50
E si = k s x
y
0 y50 6y50 18y50
As y50
Figure 3-15 Characteristic Shape of p-y Curves for Static Loading in Stiff Clay with Free Water
1. Obtain values of undrained shear strength c, effective unit weight γ′, and pile diameter b.
2. Compute the average undrained shear strength ca over the depth x.
3. Compute the soil resistance per unit length of pile, pc, using the smaller of the pct or pcd
from Equations 3-26 and 3-27.
4. Choose the appropriate value of As from Figure 3-10 on page 61 for modifying pct and pcd
and for shaping the p-y curves.
5. Establish the initial linear portion of the p-y curve, using the appropriate value of ks for
static loading or kc for cyclic loading from Table 3-3 for k.
74
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
6. Compute y50 as
Using an appropriate value of ε50 from results of laboratory tests or, in the absence of
laboratory tests, from Table 3-4.
7. Establish the first parabolic portion of the p-y curve, using the following equation and
obtaining pc from Equations 3-26 or 3-27.
0.5
⎛ y ⎞
p = 0.5 pc ⎜⎜ ⎟⎟ .................................................... (3-30)
⎝ y50 ⎠
Equation 3-30 should define the portion of the p-y curve from the point of the intersection
with Equation 3-28 to a point where y is equal to Asy50 (see note in Step 10).
8. Establish the second parabolic portion of the p-y curve,
75
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
0.5 1.25
⎛ y ⎞ ⎛ y − As y 50 ⎞
p = 0.5 p c ⎜⎜ ⎟⎟ − 0.055 p c ⎜⎜ ⎟⎟ ............................... (3-31)
⎝ y 50 ⎠ ⎝ As y50 ⎠
Equation 3-31 should define the portion of the p-y curve from the point where y is equal to
Asy50 to a point where y is equal to 6Asy50 (see note in Step 10).
9. Establish the next straight-line portion of the p-y curve,
0.0625
p = 0.5 p c 6 As − 0.411 p c − p c ( y − 6 As y 50 ) ........................ (3-32)
y 50
Equation 3-32 should define the portion of the p-y curve from the point where y is equal to
6Asy50 to a point where y is equal to 18Asy50 (see note in Step 10).
10. Establish the final straight-line portion of the p-y curve,
or
( )
p = p c 1.225 As − 0.75 As − 0.411 ...................................... (3-34)
Equation 3-33 should define the portion of the p-y curve from the point where y is equal to
18Asy50 and for all larger values of y, see the following note.
Note: The p-y curve shown in Figure 3-15 is drawn, as if there is an intersection
between Equation 3-28 and 3-30. However, for small values of k there may be no
intersection of Equation 3-28 with any of the other equations defining the p-y curve.
Equation 3-28 defines the p-y curve until it intersects with one of the other equations
or, if no intersection occurs, Equation 3-28 defines the full p-y curve.
3-3-8-2 Detailed Procedure for Computing p-y Curves for Cyclic Loading
A second pile, identical to the pile used for the static loading, was tested under cyclic
loading. The following procedure is for cyclic loading and is illustrated in Figure 3-16. As may
be seen from a study of the p-y curves that are recommended, the results of load tests performed
at the Manor site showed a very large loss of soil resistance. The data from the tests have been
studied carefully and the recommended p-y curves for cyclic loading accurately reflect the
behavior of the soil present at the site. Nevertheless, the loss of resistance due to cyclic loading
76
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
for the soils at Manor is much more than has been observed elsewhere. Therefore, the use of the
recommendations in this section for cyclic loading will yield conservative results for many clays.
Long (1984) was unable to show precisely why the loss of resistance occurred during cyclic
loading. One clue was that the clay from Manor was found to lose volume by slaking when a
specimen was placed in fresh water; thus, the clay was quite susceptible to erosion from the
hydraulic action of the free water flushing from the annular gap around the pile as the pile was
pushed back and forth during cyclic loading.
p
⎛ y − 0.45 y p
2 .5 ⎞
⎜ ⎟
p = Ac pc ⎜1 − ⎟⎟
⎜ 0.45 y p
⎝ ⎠ Esi = kc x
Ac pc
0.085 pc
E sc = −
y50
y p = 4.1 As y50
E si = k c x y50 = ε 50b
y
0 0.45yp 0.6yp 1.8yp
Figure 3-16 Characteristic Shape of Cyclic p-y Curves for Loading of Stiff Clay with Free Water
1. Obtain values of undrained shear strength c, effective unit weight γ′, and pile diameter b.
2. Compute the average undrained shear strength ca over the depth x.
3. Compute the soil resistance per unit length of pile, pc, using the smaller of the pct or pcd from
Equations 3-26 and 3-27.
4. Choose the appropriate value of Ac from Figure 3-10 on page 61 for the particular non-
dimensional depth. Compute yp using
5. Establish the initial linear portion of the p-y curve, using the appropriate value of ks for static
loading or kc for cyclic loading from Table 3-3 for k. and compute p using Equation 3-28.
6. Compute y50 using Equation 3-29.
77
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎡ y − 0.45 y p
2.5
⎤
p = Ac pc ⎢1 − ⎥ ........................................... (3-36)
⎢ 0.45 y p ⎥
⎣ ⎦
Equation 3-36 should define the portion of the p-y curve from the point of the intersection
with Equation 3-28 to where y is equal to 0.6yp (see note in step 9).
8. Establish the next straight-line portion of the p-y curve,
0.085
p = 0.936 Ac p c − p c ( y − 0.6 y p ) ................................... (3-37)
y 50
Equation 3-37 should define the portion of the p-y curve from the point where y is equal to
0.6yp to the point where y is equal to 1.8yp (see note on Step 9).
9. Establish the final straight-line portion of the p-y curve,
0.102
p = 0.936 Ac p c − p c y p ........................................... (3-38)
y 50
Equation 3-38 should define the portion of the p-y curve from the point where y is equal to
1.8yp and for all larger values of y (see following note).
Note: The step-by-step procedure is outlined, and Figure 3-16 is drawn, as if there is an
intersection between Equation 3-28 and Equation 3-36. There may be no intersection of
Equation 3-28 with any of the other equations defining the p-y curve. If there is no
intersection, the equation should be employed that gives the smallest value of p for any value
of y.
3-3-8-3 Recommended Soil Tests
Triaxial compression tests of the unconsolidated-undrained type with confining pressures
conforming to in situ pressures are recommended for determining the shear strength of the soil.
The value of ε50 should be taken as the strain during the test corresponding to the stress equal to
one-half the maximum total-principal-stress difference. The shear strength, c, should be
interpreted as one-half of the maximum total-principal-stress difference. Values obtained from
triaxial tests might be somewhat conservative but would represent more realistic strength values
than other tests. The unit weight of the soil must be determined.
78
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3-3-8-4 Examples
Example p-y curves were computed for stiff clay for a pile with a diameter of 610 mm
(24 in.). The soil profile that was used is shown in Figure 3-17. The submerged unit weight of
the soil was assumed to be 7.9 kN/m3 (50 pcf) for the full depth.
6
Depth, meters
10
12
14
16
0 50 100 150 200
Shear Strength, kPa
Figure 3-17 Example Shear Strength Profile for p-y Curves for Stiff Clay with No Free Water
In the absence of a stress-strain curve, ε50 was taken as 0.005 for the full depth of the soil
profile. The slope of the initial portion of the p-y curve was established by assuming a value of k
of 135 MN/m3 (500 pci). The loading was assumed to be cyclic. The p-y curves were computed
for the following depths below the ground surface: 0.6 m (0.2 ft), 1.5 m (5 ft), 3 m (10 ft), and 12
m (40 ft). The plotted curves are shown in Figure 3-18.
79
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
250
Depth = 1.00 m
Depth = 2.00 m
Depth = 3.00 m
Depth = 12.00 m
200
Load Intensity p, kN/m
150
100
50
0
0.0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
Lateral Deflection y, meters
Figure 3-18 Example p-y Curves for Stiff Clay in Presence of Free Water for Cyclic Loading
A lateral-load test was performed at a site in Houston, Texas on a drilled shaft (bored
pile), with a diameter of 915 mm (36 in.). A 254-mm (10 in)-diameter steel pipe instrumented
with strain gages was positioned at the central axis of the pile before concrete was placed. The
embedded length of the pile was 12.8 m (42 ft). The average undrained shear strength of the clay
in the upper 6 m (20 ft) was approximately 105 kPa (2,200 psf). The experiments and their
interpretation were reported in the papers by Welch and Reese (1972) and Reese and Welch
(1975).
The same experimental setup was used to develop both the static and the cyclic p-y
curves, contrary to the procedures employed for the two other experiments with piles in clays.
The load was applied in only one direction rather than in two directions, also in variance with the
other experiments.
A load was applied and maintained until the strain gages were read with a high-speed
data-acquisition system. The same load was then cycled for a number of times and held constant
while the strain gages were read at specific numbers of cycles of loading. The load was then
increased and the procedure was repeated. The difference in the magnitude of successive loads
was relatively large and the assumption was made that cycling at the previous load did not
influence the readings for the first cycle at the new higher load.
The p-y curves obtained for these load tests were relatively consistent in shape and
showed the increase in lateral deflection during cyclic loading. This permitted the expressions of
lateral deflection to be formulated in terms of the stress level and the number of cycles of
80
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
loading. Thus, the engineer can specify a number of cycles of loading (up to a maximum of
5,000 cycles of loading) in doing the computations for a particular design.
3-3-9-1 Procedure for Computing p-y Curves for Stiff Clay without Free Water for Static
Loading
The following procedure is for short-term static loading and is illustrated in Figure 3-19.
p p = pu
1
p ⎛ y ⎞ 4
= 0.5⎜⎜ ⎟
⎟
pu y
⎝ 50 ⎠
y
16y50
Figure 3-19 Characteristic Shape of p-y Curve for Static Loading in Stiff Clay with No Free
Water
1. Obtain values for undrained shear strength c, soil unit weight γ, and pile diameter b. Also
obtain the values of ε50 from stress-strain curves. If no stress-strain curves are available,
use a value of ε50 of 0.010 or 0.005 as given in Table 3-2, the larger value being more
conservative.
2. Compute the ultimate soil resistance, pu, per unit length of pile using the smaller of the
values given by Equations 3-20 and 3-21. (In the use of Equation 3-20, the shear strength
is taken as the average from the ground surface to the depth being considered and J is
taken as 0.5. The unit weight of the soil should reflect the position of the water table.)
′
⎡ γ avg J ⎤
pu = ⎢3 + x + x ⎥ cb ..............................................(3-20)
⎣ c b ⎦
pu = 9 c b ...........................................................(3-21)
81
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3. Compute the deflection, y50, at one-half the ultimate soil resistance from Equation 3-22.
4. Compute points describing the p-y curve from the relationship below.
0.25
p ⎛ y ⎞
p = u ⎜⎜ ⎟ ..................................................... (3-39)
2 ⎝ y50 ⎟⎠
pu
N2 N3
N1
yc = ys + y50 C log N3
yc = ys + y50 C log N2
yc = ys + y50 C log N1
y
16y50+9.6(y50)logN1 16y50+9.6(y50)logN3
16y50+9.6(y50)logN2
Figure 3-20 Characteristic Shape of p-y Curves for Cyclic Loading in Stiff Clay with No Free
Water
1. Determine the p-y curve for short-term static loading by the procedure previously given.
2. Determine the number of times the lateral load will be applied to the pile.
3. Obtain the value of C for several values of p/pu, where C is the parameter describing the
effect of repeated loading on deformation. The value of C is found from a relationship
developed by laboratory tests, (Welch and Reese, 1972), or in the absence of tests, from
82
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
4
⎛ p ⎞
C = 9.6⎜⎜ ⎟⎟ ....................................................... (3-40)
⎝ pu ⎠
4. At the value of p corresponding to the values of p/pu selected in Step 3, compute new
values of y for cyclic loading from
where
yc = deflection under N-cycles of load,
ys = deflection under short-term static load,
y50 = deflection under short-term static load at one-half the ultimate resistance, and
N = number of cycles of load application.
5. The p-y curve defines the soil response after N-cycles of loading.
3-3-9-3 Recommended Soil Tests for Stiff Clays
Triaxial compression tests of the unconsolidated-undrained type with confining stresses
equal to the overburden pressures at the elevations from which the samples were taken are
recommended to determine the shear strength. The value of ε50 should be taken as the strain
during the test corresponding to the stress equal to one-half the maximum total-principal-stress
difference. The undrained shear strength, c, should be defined as one-half the maximum total-
principal-stress difference. The unit weight of the soil must also be determined.
3-3-9-4 Examples
An example set of p-y curves was computed for stiff clay above the water table for a pile
with a diameter of 610 millimeters (24 in.). The soil profile that was used is shown in Figure 3-
17. The unit weight of the soil was assumed to be 19.0 kN/m3 (125 pcf) for the entire depth. In
the absence of a stress-strain curve, ε50 was taken as 0.005. Equation 3-40 was used to compute
values for the parameter C and it was assumed that there were to be 100 cycles of loading.
The p-y curves were computed for the following depths below the ground line: 0.6 m (2
ft), 1.5 m (5 ft), 3 m (10 ft), and 12 meters (40 feet). The plotted curves are shown in Figure 3-
21.
3-3-10 Modified p-y Criteria for Stiff Clay with No Free Water
The p-y criteria for stiff clay with no free water were described in Section 3-3-9. The p-y
curve for stiff clay with no free water is based on Equation 3-39, which does not contain an
initial stiffness parameter k. Although the criteria for stiff clay without free water has been used
successfully for many year, there have been some reported cases from the Southeastern United
83
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
States where load tests have found that the initial load-deformation response is modeled too
stiffly.
400
300
Load Intensity p, kN/m
200
Depth = 0.60 m
Depth = 1.50 m
Depth = 3.00 m
Depth = 12.00 m
100
0
0.0 0.05 0.1 0.15 0.2 0.25 0.3
Lateral Deflection y, meters
Figure 3-21 Example p-y Curves for Stiff Clay with No Free Water,
Cyclic Loading
The ultimate load-transfer resistance pu used in the p-y criteria is consistent with the
theory of plasticity and has also correlated well with the results of load tests. However, the soil
resistance at small deflections is influenced by factors such as soil moisture content, clay
mineralogy, clay structure, possible desiccation, and pile diameter. Brown (2002) has
recommended the introduction of a k value to construct the initial portion of the p-y curves if one
has the results of lateral load test for local calibration of the initial stiffness k. Judicious use of
this modified p-y criteria enables one to obtain improved calibrations of predictions with
experimental readings that may be used later for design computations.
The user may select an initial stiffness k based on Table 3-3 or from a site-specific lateral
load test. LPile will use the lower of the values computed using Equation 3-28 or Equation 3-39
for pile response as a function of lateral pile displacement.
As noted earlier in this chapter, the selection of the set of p-y curves for a particular field
application is a critical feature of the method of analysis. The presentation of three particular
methods for clays does not mean the other recommendations are not worthy of consideration.
Some of these methods are mentioned here for consideration and their existence is an indication
of the level of activity with regard to the response of soil to lateral deflection.
84
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Sullivan, et al. (1980) studied data from tests of piles in clay when water was above the
ground surface and proposed a procedure that unified the results from those tests. While the
proposed method was able to predict the behavior of the experimental piles with excellent
accuracy, two parameters were included in the method that could not be found by any rational
procedures. Further work could develop means of determining those two parameters.
Stevens and Audibert (1979) reexamined the available experimental data and suggested
specific procedures for formulating p-y curves. Bhushan, et al. (1979) described field tests on
drilled shafts under lateral load and recommended procedures for formulating p-y curves for stiff
clays. Briaud, et al. (1982) suggested a procedure for use of the pressuremeter in developing p-y
curves. A number of other authors have also presented proposals for the use of results of
pressuremeter tests for obtaining p-y curves.
O’Neill and Gazioglu (1984) reviewed all of the data that were available on p-y curves
for clay and presented a summary report to the American Petroleum Institute. The research
conducted by O’Neill and his co-workers (O’Neill and Dunnavant, 1984; Dunnavant and
O’Neill, 1985) at the test site on the campus of the University of Houston developed a large
volume of data on p-y curves. This work will most likely result in specific recommendations in
due course.
Es = kx............................................................ (3-42)
where
k = constant giving variation of soil modulus with depth, and
x = depth below ground surface.
85
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Terzaghi’s recommended values for subgrade modulus in both US customary and SI units are
given in Table 3-5.
Terzaghi’s recommended k values are now known to be too conservative. Users of LPile
are advised to use the values recommended by Reese and Matlock presented later in this manual
because those values are based on load tests of fully instrumented piles and are supported by soil
investigations of good quality. Terzaghi’s values were based on a literature review made in the
early 1950’s. Terzaghi later acknowledged that he had some doubts about the source data and he
stopped recommending use of the values shown in Table 3-5.
86
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Fs
y
C
A Ff
Fn
Fφ x H
Fs D
W
Fp
Fn
F
Ft Ff β (a)
W
Fp
α E
b
Fn Fs Pile of
Diameter b
Fpt
(b) Fp Fa
(c)
Figure 3-22 Geometry Assumed for Passive Wedge Failure for Pile in Sand
The force Fpt may be computed by following a procedure similar to that used to solve the
equation in the clay model (Figure 3-6). The resulting equation is
where:
α = the angle of the wedge in the horizontal direction
β = is the angle of the wedge with the ground surface,
b = is the pile diameter,
H = the height of the wedge,
K0 = coefficient of earth pressure at rest, and
KA = coefficient of active earth pressure.
The ultimate soil resistance near the ground surface per unit length of the pile is obtained by
differentiating Equation 3-43 with respect to depth.
87
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Bowman (1958), E. R. “ performed some laboratory experiments with careful measurements and
suggested values of α from φ/3 to φ/2 for loose sand and up to φ for dense sand. The value of β is
approximated by the following equation.
φ
β = 45° + ........................................................ (3-45)
2
The model for computing the ultimate soil resistance at some distance below the ground
surface is shown in Figure 3-23(a). The stress σ1 at the back of the pile must be equal or larger
than the minimum active earth pressure; if not, the soil could fail by slumping. The assumption is
based on two-dimensional behavior; thus, it is subject to some uncertainty. If the states of stress
shown in Figure 3-23(b) are assumed, the ultimate soil resistance for horizontal movement of the
soil is
The equations for (pu)sa and (pu)sb are approximate because of the elementary nature of
the models that were used in the computations. However, the equations serve a useful purpose in
indicating the form, if not the magnitude, of the ultimate soil resistance.
88
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
σ5 σ2
σ4 4 3 2 σ3
σ4 σ3
σ5
σ6 5 σ6 σ1 1 σ1
σ5 Pile Movement σ2
(a)
τ
φ
τ = σ tan φ
σ
σ1 σ2 σ3 σ4 σ5 σ6
(b)
Figure 3-23 Assumed Mode of Soil Failure by Lateral Flow Around Pile in Sand,
(a) Section Though Pile, (b) Mohr-Coulomb Diagram
89
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
90
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The following procedure is for both short-term static loading and for cyclic loading for a
flat ground surface and a vertical pile. The procedure is illustrated in Figure 3-24 (Reese, et al.,
1974){ XE “Koop, F. D. ” }.
p
x = x4
x = x3
x = x2
pu u
x = x1
m m
pm
ym yu
k
pk
yk
ksx
y
b/60 3b/80
Figure 3-24 Characteristic Shape of a Set of p-y Curves for Static and Cyclic Loading in Sand
φ φ ⎛ φ⎞
α= , β = 45° + , K 0 = 0.4 , and K A = tan 2 ⎜ 45° − ⎟ ..................... (3-47)
2 2 ⎝ 2⎠
3. Compute the ultimate soil resistance per unit length of pile using the smaller of the values
given by
ps = min[ p st , psd ] ,
where
91
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
4. In making the computation in Step 3, find the depth xt at which there is an intersection at
Equations 3-48 and 3-49. Above this depth, use Equation 3-48. Below this depth, use
Equation 3-49.
5. Select a depth at which a p–y curve is desired.
3b
6. Establish yu =
80
Compute pu using:
pu = As ps or pu = Ac p s ............................................... (3-50)
Use the appropriate value of As or Ac from Figure 3-25 for the particular nondimensional
depth, and for either the static or cyclic case. Use the appropriate equation for ps, Equation
3-48 or Equation 3-49 by referring to the computation in Step 4.
b
7. Compute ym using ym = .
60
Compute pm by the following equation:
pm = Bs p s or pm = Bc ps ............................................... (3-51)
92
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
A
0 1 2 3
0
2
Ac
As
x
3
b
5 x
≥ 5.0, A = 0.88
b
B
0 1 2 3
0
1 Bs (static)
Bc (cyclic)
x
3
b
4
x
≥ 5.0, Bc = 0.55, Bs = 0.50
b
5
93
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
p = (k x) y ......................................................... (3-52)
Table 3-6 Representative Values of k for Submerged Sand for Static and Cyclic Loading
Relative Density
Recommended k
Loose Medium Dense
MN/m3 5.4 16.3 34
(pci) (20.0) (60.0) (125.0)
Table 3-7 Representative Values of k for Sand Above Water Table for Static and Cyclic Loading
Relative Density
Recommended k
Loose Medium Dense
MN/m3 6.8 24.4 61.0
(lb/in.3) (25.0) (90.0) (225.0)
If the input value of k is left equal to zero, a default value will be computed by LPile
using the curves shown in Figure 3-29 on page 99. Whether the sand is above or below the water
table will be determined from the input value of effective unit weight. If the effective unit weight
is less than 77.76 pcf (12.225 kN/m3) the sand is considered below the water table. If the input
value of φ is greater than 40 degrees, a k value corresponding to 40 degrees is used by LPile.
9. Establish the parabolic section of the p-y curve,
pu − p m
m= ........................................................ (3-54)
yu − y m
94
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
pm
n= ........................................................... (3-55)
m ym
pm
C = ........................................................... (3-56)
y1m/ n
n
⎛ C ⎞ n −1
y k = ⎜⎜ ⎟⎟ ........................................................ (3-57)
⎝ kx ⎠
95
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The p-y curves were computed for the following depths below the mudline: 1.5 m (5 ft), 3
m (10 ft), 6 m (20 ft), and 12 meters (40 feet). The plotted curves are shown in Figure 3-27.
5,000
4,000
Load Intensity p, kN/m
3,000
2,000
1,000
0
0.0 0.005 0.01 0.015 0.02 0.025 0.03 0.035
Lateral Deflection y, m
Depth = 1.50 m Depth = 3.00 m Depth = 6.00 m Depth = 12.00 m
Figure 3-27 Example p-y Curves for Sand Below the Water Table, Static Loading
3-4-3 API RP 2A Recommendation for Response of Sand Above and Below the
Water Table
96
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
1. Obtain values for the angle of internal friction φ, the effective unit weight of soil, γ′, and
the pile diameter b.
2. Compute the ultimate soil resistance at a selected depth x. The ultimate lateral bearing
capacity (ultimate lateral resistance pu) for sand has been found to vary from a value at
shallow depths determined by Equation 3-58 to a value at deep depths determined by
Equation 3-59. At a given depth, the equation giving the smallest value of pu should be
used as the ultimate bearing capacity. The value of pu is the lesser of pu at shallow depths,
pus, or pu at great depth, pud , where:
where:
pu = ultimate resistance (force/unit length), lb/in (kN/m),
γ′ = effective unit weight, pci (kN/m3),
x = depth, in.(m),
φ′ = angle of internal friction of sand, degrees,
C1, C2, C3 = coefficients determined from Figure 3-28 as a function of φ′, or
⎧ ⎡ ⎛ 1 ⎞ ⎤⎫
C1 = tan β ⎨ K P tan α + K 0 ⎢ tan φ sin β ⎜ + 1⎟ − tan α ⎥ ⎬
⎩ ⎣ ⎝ cos α ⎠ ⎦⎭
C2 = K P − K A
C3 = K P2 (K P + K 0 tan φ ) − K A
b = average pile diameter from surface to depth, in. (m).
3. Develop the load-deflection curve based on the ultimate soil resistance pu which is the
smallest value of pu calculated in Step 2. The lateral soil resistance-deflection (p-y)
relationships for sand are nonlinear and, in the absence of more definitive information,
may be approximated at any specific depth x by the following expression:
⎛ kx ⎞
p = A pu tanh⎜⎜ y ⎟⎟ ................................................. (3-60)
⎝ A pu ⎠
where
A = factor to account for cyclic or static loading. Evaluated by:
97
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
5.0
5 100
100
90
4.0
4 80
80
70
Values of C1 and C2
Value of C3
3.0
3 C2 60
60
50
2.0
2 40
40
C1
30
1.0
1 C3 20
10
0.0
0 0
15
15 20
20 25
25 30
30 35
35 40
40
Figure 3-28 Coefficients C1, C2, and C3 versus Angle of Internal Friction
98
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
moment in inertia = 82,450 in4, and the modulus of elasticity = 3.6 × 106 psi. The loading is
assumed as static. The p-y curves are computed for the following depths: 20 in., 40 in., and 100
inches.
Sand above
250 the water
table
200
k, lb/in3
150
Sand below
100 the water
table
50
0
0 20 40 60 80 100
Relative Density, %
A hand calculation for p-y curves at a depth of 20 in. was made to check the computer
solution, as shown in the following.
1. List the soil and pile parameters
γ′ = 0.070 lb/in.3
φ′ = 35 degrees
b = 36 inches
2. Obtain coefficients C1, C2, C3 for Figure 3-28.
99
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
C1 = 2.97
C2 = 3.42
C3 = 53.8
3. Compute the ultimate soil resistance pu.
pus = (C1 x + C2 b) γ′ x = [(2.97)(20 in.) + (3.42)(36 in.)](0.07 lb/in3)(20 in) = 255 lb/in.
pud = C3 b γ′ x = (53.8)(36 in. )(0.07 lb/in.3) (20 in.) = 2,711 lb/in.
pu = pus = 255 lb/in. (smaller value)
4. Find coefficient A
A = 3.0 – (0.8) (x)/(b) = 3.0 – (0.8)(20 in.)/(36 in.) = 2.56
5. Compute p for different y values.
If y = 0.1 inch, k (above water table) = 140 lb/in.3 (from Figure 3-29)
⎛ kx ⎞
p = A pu tanh⎜⎜ y ⎟⎟
⎝ A pu ⎠
⎛ (140 lb/in.3 )(20 in.) ⎞
p = (2.55)(255 lb/in ) tanh⎜⎜ (0.1 in ) ⎟⎟
⎝ (2.55)(255 lb/in ) ⎠
p = 264 lb/in (computer output = 264.012 lb/in)
If y = 1.35 in.
⎛ kx ⎞
p = A pu tanh⎜⎜ y ⎟⎟
A p
⎝ u ⎠
⎛ (140)(20 in.) ⎞
p = (2.55)(255 lb/in ) tanh⎜⎜ 3
(1.35 in ) ⎟⎟
⎝ (2.55)(255 lb/in. ) ⎠
p = 653 lb/in (computer output = 652.93 lb/in)
The check by hand computations yielded exact values for the two values of deflection that
were considered.
The computed curves are presented in Figure 7-30.
A survey of the available information of p-y curves for sand was made by O’Neill and
Murchison (1983) , and some changes were suggested in the procedure given above. Their
suggestions were submitted to the American Petroleum Institute and modifications were adopted
by the API review committee.
Bhushan, et al. (1981) reported on lateral load tests of drilled piers in sand. A procedure
for predicting p-y curves was suggested.
100
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
A number of authors have discussed the use of the pressuremeter in obtaining p-y curves.
The method that is proposed is described in some detail by Baguelin, et al. (1978) .
3,000
2,500
Load Intensity p, lb/in.
2,000
1,500
1,000
500
0
0.0 0.25 0.5 0.75 1.0 1.25 1.5 1.75 2.0
Lateral Deflection y, in.
Depth = 20.00 in. Depth = 40.00 in. Depth = 100.00 in.
The lateral resistance of deep foundations in liquefied sand is often critical to the design.
Although reasonable methods have been developed to define p-y curves for non-liquefied and,
considerable uncertainty remains regarding how much lateral load-transfer resistance can be
provided by liquefied sand. In some cases, liquefied sand is assumed to have no lateral
resistance. This assumption can be implemented in LPile by either using appropriate p-multiplier
values or by entering a very low friction angle for sand.
When sand is liquefied under undrained conditions, some suggest that it behaves in a
manner similar to the behavior of soft clay. Wang and Reese (1998) have studied the behavior of
piles in liquefied soil by modeling the liquefied sand as soft clay. The p-y curves were generated
using the model for soft clay by equating the cohesive strength equal to the residual strength of
liquefied sand. The strain factor ε50 was set equal to 0.05 in their study.
Laboratory procedures cannot measure the residual shear strength of liquefied sand with
reasonable accuracy due to the unstable nature of the soil. Some case histories must be evaluated
101
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
to gather information on the behavior of liquefied deposit. Recognizing the need to use case
studies, Seed and Harder (1990) examined cases reported where major lateral spreading has
occurred due to liquefaction and where some conclusions can be drawn concerning the strength
and deformation of liquefied soil.
Unfortunately, cases are rare where data are available on strength and deformation of
liquefied soils. However, a limited number of such cases do exist, for which the residual
strengths of liquefied sand and silty sand can be determined with a reasonable accuracy. Seed
and Harder found that a residual strength of about 10 percent of the effective overburden stress
can be used for liquefied sand.
Although simplified methods based on engineering judgment have been used for design,
full-scale field tests are needed to develop a full range of p-y curves for liquefied sand. Rollins et
al. (2005b) have performed full scale load tests on a pile group in liquefied sand with an initial
relative density between 45 and 55 percent. The p-y curves developed on the basis of these
studies have a concave upward shape, as shown in Figure 3-31. This characteristic shape appears
to result primarily from dilative behavior during shearing, although gapping effects may also
contribute to the observed load-transfer response. Rollins and his co-workers also found that p-y
curves for liquefied sand stiffen with depth (or initial confining stress). With increasing depth,
small displacement is required to develop significant resistance and the rate at which resistance
develops as a function of lateral pile displacement also increases.
y
150 mm
Following liquefaction, p-y curves in sand become progressively stiffer with the passage
of time as excess pore water pressures dissipate. The shape of a p-y curve appears to transition
from concave up to concave down as pore water pressure decreases. An equation based on the
results of the load tests has been developed by Rollins et al. (2003) to describe the observed load-
displacement response of liquefied sand as a function depth.
102
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The expression developed by Rollins et al. (2005a) for p-y curves in liquefied sands at
different depths is shown below is based on their fully-instrumented load tests. Coefficients for
these equations were fit to the test data using a trial and error process in which the errors between
the target p-y curves and those predicted by the equations were minimized. The resulting
equations were then compared, and the equation that produced the most consistent fit was
selected.
p = p0.3m Pd ..........................................................(3-62)
A = 3 × 10 −7 (z + 1)
6.05
...................................................(3-63)
C = 2.85( z + 1)
−0.41
.....................................................(3-65)
where: p0.3m is the soil resistance for a reference pile with a diameter 0.3 m in units of kN/m,
y is the lateral deflection of the pile in millimeters,
z is the depth in meters (see note in last paragraph of this section), and
Pd is a diameter adjustment factor used to adjust for pile diameters larger than 0.3 m.
The upper limit on p0.3m is due to the conditions observed in the test program. The diameter
adjustment factor is discussed below.
Rollins et al. (2005b) studied the diameter effects for different sizes of piles and
recommended a modification factor for correcting Equation 3-61, as shown below.
where b is the diameter or width of the pile or drilled shaft in meters. The p-y curves for liquefied
sand can be multiplied by Pd to obtain values for p-y curves for deep foundations of varying
diameters.
103
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Note that use of the diameter correction shown above is limited to foundations between
0.3 and 2.6 meters in diameter. For piles and micropiles smaller than 0.3 m in diameter, Pd can
be computed using
b
Pd = for b < 0.3 m ...............................................(3-67)
0.3 m
⎡ pu ⎤
⎢ ln ⎥
⎢ P A
d
− ln B ⎥
⎢ C ⎥
⎢ ⎥
⎣⎢ ⎥⎦
yu = e .....................................................(3-68)
In cases where the liquefying layer may not be at the surface, the depth variable (z) may
be modified to equal the initial vertical effective stress divided by 10 kN/m3, which is generally
representative of the unit weight of the sand at the site.
When liquefaction occurs in sloping soil layers, it is possible for the ground to develop
large permanent deformations. This phenomenon is called lateral spreading. Lateral spreading
may develop even though the ground surface may be nearly flat. If the free-field soil movements
are greater than the pile displacements, the displaced soils will apply an additional lateral load on
the piles. The magnitude of the forces acting on the pile by soil movement is dependent on the
relative displacement between the pile and soil. If the liquefaction causes the upper layer to
become unstable and moves laterally, a model recommended by Isenhower (1992) may be used
to solve for the behavior of the pile. This method is described in Section 3-13.
104
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3-6-1 Background
A procedure was formulated by Johnson, et al. (2006) for loess soil that includes
degradation of the p-y curves by load cycling.
The soil strength parameter used in the model is the cone tip resistance (qc) from cone
penetration (CPT) testing. The p-y curve for lateral resistance with displacement is modeled as a
hyperbolic relationship. Recommendations are presented for selection of the needed model
parameters, as well as a discussion of their effect. The p-y curves were obtained from back-
fitting of lateral analyses using the computer program LPile to the results of the load tests.
105
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
A total of three cone penetration tests were performed by the Kansas Department of
Transportation at the test site location. A preliminary cone penetration test was performed in the
general vicinity of the test shafts (designated as CPT-1). Two additional cone penetration tests
were performed subsequent to the lateral load testing. A cone penetration test was performed
between the 42-inch diameter static test shafts (Shafts 1 and 2) shortly after on the same day the
lateral load test was performed on these shafts. A cone penetration test was performed between
the 30-inch diameter static test shafts (Shafts 3 and 4) two days after the completion of the load
test performed on these shafts. The locations of the cone penetration tests were a few feet from
the test shafts. Given the nature of the soil conditions and the absence of a ground water table, it
is reasonable to assume that the cone penetration tests were unaffected by any pore water
pressure effects that may have been induced by the load testing.
An idealized profile of cone tip resistance with depth interpreted as an average from the
cone penetration tests performed between the static test shafts is shown in Figure 3-32. This
profile is considered representative of the subsurface conditions for all the test shaft locations.
Note that it is most useful to break the idealized soil profile into layers wherein the cone tip
resistance is either constant with depth or linearly varies with depth as these two conditions are
easily accommodated by most lateral pile analyses software.
The representative cone tip resistance is reduced by 50% at the soil surface, and allowed
to linearly with depth to the full value at a depth of two pile diameters, as shown in Figure 3-32.
This is done to account for the passive wedge failure mechanism exhibited at the ground surface
that reduces the lateral resistance between the ground surface until at some depth (assumed at
two shaft diameters). Below a depth of two shaft diameters, the lateral resistance is considered to
be a flow around bearing failure mechanism.
10
D e pth B e lo w G rad e
15
20
40
0 20 40 60 80 100 120 140 160 180 200
qc, ksf
Figure 3-32 Idealized Tip Resistance Profile from CPT Testing Used for Analyses.
106
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The idealized cone tip resistance values were correlated with depth with the ultimate
lateral soil resistance (pu0) at corresponding depths.
pu
Ei
Es
y
yref
Figure 3-33. Generic p-y curve for Drilled Shafts in Loess Soils
107
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The model is of a p-y curve that is smooth and continuous. This model is similar to the
lateral behavior of pile in loess soil measured in load tests.
where NCPT is dimensionless, and pu0 and qc are in consistent units of (force/length2)
The value of NCPT was determined from a best fit to the load test data. It is believed that
NCPT is relatively insensitive to soil type as this is a geotechnical property determined by in-situ
testing. The value of NCPT derived from the load test data is
The ultimate lateral soil reaction, pu, is computed by multiplying the ultimate unit lateral
soil resistance by the pile diameter, b, and dividing by an adjustment term to account for cyclic
loading. The adjustment term for cyclic loading takes into account the number of cycles of
loading, N, and a dimensionless constant, CN.
puo b
pu = .....................................................(3-71)
1 + C N log N
where:
b is the pile diameter in any consistent unit of length,
CN is a dimensionless constant,
N is the number of cycles of loading (1 to 10), and
pu is in units of (force/length).
CN was determined from a best fit of cyclic degradation for two 30-inch diameter test
shafts subjected to cyclic loading. CN is
C N = 0.24 ...........................................................(3-72)
108
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The cyclic degradation term (the denominator of Equation 3-71) equals 1 for N = 1
(initial cycle, or static load) and equals 1.24 for N = 10. The value of CN has a direct effect on the
amount of cyclic degradation to the p-y curve (i.e., a greater value of CN will allow greater
degradation of the p-y curve, resulting in a smaller pu). Note that the degradation of the ultimate
soil resistance per unit length of shaft parameter will also have the desired degradation effect
built into the computation of the p-y modulus values.
A parameter is needed to define the rate at which the strength develops towards its
ultimate value (pu0). The reference displacement, yref, is defined as the displacement at which the
tangent to the p-y curve at zero displacement intersects the ultimate soil resistance asymptote
(pu), as shown in Figure 3-33. The best fit to the load test data was obtained with the following
value for reference displacement.
Note that the suggested value for the reference displacement provided the best fit to the
piles tested at a single test site in Kansas for a particular loess formation. Unlike the ultimate unit
lateral resistance (pu0), it is believed that the rate at which the strength is mobilized may be
sensitive to soil type. Thus, re-evaluation of the reference displacement parameter is
recommended when performing lateral analyses for piles in different soil conditions because this
parameter is likely to have a substantial effect on the resulting pile deflections. The effect of the
reference displacement is proportional to pile performance that is a larger value of yref will allow
for larger pile head displacements at a given lateral load.
The initial modulus, Ei, is defined as the ratio of the ultimate lateral resistance expressed
on a per unit length of pile basis over the reference displacement.
pu
Ei = ........................................................... (3-74)
yref
A secant modulus, Es, is determined for any given displacement, y, by the following
hyperbolic relationship of the initial modulus expressed on a per unit length of pile basis and a
hyperbolic term ( y′h ) which is in turn a function of the given displacement (y), the reference
displacement (yref), and a dimensionless correlation constant (a).
Ei
Es = ......................................................... (3-75)
1 + yh′
109
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎞⎡ ⎤
⎛ y ⎞
⎛ y −⎜
⎜
⎟
⎟
yh′ = ⎜ ⎟ ⎢1 + a e ⎝ y ref
⎠ ⎥ .............................................. (3-76)
⎜y ⎟⎢ ⎥
⎝ ref ⎠⎣ ⎦
a = 0.10 ............................................................(3-77)
where Es and Ei are in units of force/length2, and a and y′h are dimensionless.
The constant a was found from a best fit to the load test data. Note that the constant a
primarily affects the secant modulus at small displacements (say within approximately 1 inch or
25 mm), and is inversely proportional to the stiffness response of the p-y curve (i.e., a larger
value of a will reduce the mobilization of soil resistance with displacement). Combining the two
equations above, one obtains
⎞⎡ ⎤
⎛ y ⎞
⎛ y −⎜
⎜
⎟
⎟
yh′ = ⎜ ⎟ ⎢1 + 0.1e ⎝ y ref⎠ ⎥ ..............................................(3-78)
⎜y ⎟⎢ ⎥
⎝ ref ⎠⎣ ⎦
The modulus ratio (secant modulus over initial modulus, Es/Ei) versus displacement used
for p-y curves in loess is shown in Figure 3-34. Note that the modulus ratio is only a function of
the hyperbolic parameters of the constant (a) and the reference displacement (yref), thus the curve
presented is valid for all pile diameters and cone tip bearing values tested.
110
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
1.0
0.9
a = 0.1
0.8
0.7
0.6
Es
0.5
Ei
0.4
0.3
0.2
0.1
0
0.001 0.01 0.1 1.0 10 100
y
y ref
Both the initial modulus and the secant modulus are proportional related to the pile
diameter because the ultimate soil resistance is proportional to a given pile size, as was shown in
Equation 3-71. It follows that the lateral response will increase in proportion to the pile diameter.
For a given pile displacement, the lateral soil resistance per unit length of pile is a
product of the pile displacement and the corresponding secant modulus at that displacement.
p = ES y ........................................................... (3-79)
where:
Es is the secant modulus in units of force/length2, and
y is the lateral pile displacement.
Several p-y curves obtained from the model described above is presented in Figure 3-35
for the 30-inch diameter shafts, and Figure 3-36 for the 42-inch diameters shafts. Note that there
are three sets of curves presented for each shaft diameter which correspond to the cone tip
resistance values of 11 ksf, 22 ksf, and 100 ksf (as was shown in Figure 3-32). These p-y curves
were used in the LPile analyses presented later.
111
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The static p-y curves shown in Figure 3-35 and 3-36 were degraded with load cycle
number (N) for use in the cyclic load analyses. Figure 3-37 presents the cyclic p-y curve
generated for the analyses of the 30-inch diameter shafts at the cone tip resistance value of 22
ksf.
9,000
8,000
7,000
6,000
11 ksf
5,000
p, lb/in.
22 ksf
100 ksf
4,000
3,000
2,000
1,000
0
0 1 2 3 4 5 6 7
y, inches
112
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
14,000
12,000
10,000
11 ksf
8,000
p, lb/in.
22 ksf
100 ksf
6,000
4,000
2,000
0
0 1 2 3 4 5 6 7
y, inches
Figure 3-36 p-y Curves and Secant Modulus for the 42-inch Diameter Shafts.
2,000
1,800
1,600
1,400
1,200 N= 1
p, lb/in.
N= 5
1,000 N = 10
800
600
400
200
0
0 1 2 3 4 5 6 7
y, inches
113
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3-7 p-y Curves in Soils with Both Cohesion and Internal Friction
3-7-1 Background
The previous methods that were presented were for soils that can be characterized as
either cohesive or cohesionless (clay or sand, for example). There are currently no generally
accepted recommendations for developing p-y curves for c-φ soils.
114
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Among the reasons for the limitation on soil characteristics are the following. Firstly, in
foundation design, where the p-y analysis has been used mostly, the characterization of the soil
by either a value of c or φ, but not both, has been used. Secondly, the major experiments on
which the p-y predictions have been based have been performed in soils that can be described
either by c or φ. However, there are now numerous occasions when it is desirable, and perhaps
necessary, to describe the characteristics of the soil more carefully.
An example of the need to have predictions for p-y curves for c-φ soils is when piles are
used to stabilize a slope. A detailed explanation of the analysis procedure is presented in Chapter
Five. It is well known that most of the currently accepted methods of analysis of slope stability
characterize the soils in terms of c and φ for long-term or drained analysis. Therefore, it is
inconsistent, and either unsafe or unconservative, to assume the pile to be in soil that is
characterized either by c or φ alone.
There are other instances in the design of piles under lateral loading where it is desirable
to have methods of prediction for p-y curves for c-φ soils. The shear strength of unsaturated,
cohesive soils generally is represented by strength components of both c and φ. In many practical
cases, however, there is the likelihood that the soil deposit might become saturated because of
rainfall and rise of the ground water table. However, there could well be times when the ability
to design for dry seasons is critical.
Cemented soils are frequently found in subsurface investigations. It is apparent that
cohesion from the cementation will increase soil resistance significantly, especially for soils near
the ground surface.
The strength envelope for consolidated-drained clay is represented by components of
both c and φ. Therefore, a p-y method for c-φ soils is needed for drained analysis. A complication
for such an analysis, that can yield to mechanics, is that there will be some lateral deflection of
the pile as drainage occurs.
The following procedure is for short-term static loading and for cyclic loading and is
illustrated in Figure 3-38. As will be noted, the suggested procedure follows closely that which
was recommended earlier for sand.
Conceptually, the ultimate soil resistance (pu) is taken as the passive soil resistance acting
on the face of the pile in the direction of the horizontal movement, plus any sliding resistance on
the sides of the piles, less any active earth pressure force on the rear face of the pile. The force
from active earth pressure and the sliding resistance will generally be small compared to the
passive resistance, and will tend to cancel each other out. Evans and Duncan (1982)
recommended an approximate equation for the ultimate resistance of c-φ soils as:
115
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
p
m
pm
k pk ym u
yk pu
yu
ks
y
b/60 3b/80
p = σp b = Cp σh b.................................................... (3-80)
where
σp = passive pressure including the three-dimensional effect of the passive wedge (F/L2)
b = pile width (L),
The Rankine passive pressure for a wall of infinite length (F/L2),
⎛ φ⎞ ⎛ φ⎞
σ h = γ x tan 2 ⎜ 45° + ⎟ + 2c tan ⎜ 45° + ⎟ ................................. (3-81)
⎝ 2⎠ ⎝ 2⎠
116
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎡ ⎛ φ⎞ ⎛ φ ⎞⎤
pu − ⎢C pφ γ x tan 2 ⎜ 45 + ⎟ + C pc c tan⎜ 45 + ⎟⎥b ........................... (3-82)
⎣ ⎝ 2⎠ ⎝ 2 ⎠⎦
The derivation of equations for developing p-y curves for c-φ soil is based on the concept
proposed by Evans and Duncan (1982) .
Equation 3-82 will be rewritten as
where A can be found from Figure 3-25. The friction component (puφ) will be the smaller of the
values given by the equation below.
The cohesion component (puc) will be the smaller of the values given by the equation below.
⎛ γ′ J ⎞
puc = ⎜ 3 + x + x ⎟ cb ............................................... (3-86)
⎝ c b ⎠
3-7-3 Detailed Procedure for Computing p-y Curves in Soils with Both Cohesion
and Internal Friction
To develop the p-y curves, the procedures described earlier for sand by Reese et al (1974)
will be used because the stress-strain behavior of c-φ soils are believed to be closer to the stress-
strain curve of cohesionless soil than for cohesive soil. The following procedures are used to
develop the p-y curves.
1. Establish yu as 3b/80. Compute pu by the following equation:
117
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Use the appropriate value of As or Ac from Figure 3-25 for the particular non-
dimensional depth, and for either the static or cyclic case.
2. Compute ym as
b
ym = ........................................................... (3-89)
60
Compute pm by the following equation:
pm = Bsps or pm = Bcps .............................................. (3-90)
Use the appropriate value of Bs or Bc from Figure 3-26 for the particular non-dimensional
depth, and for either the static or cyclic case. Use the appropriate equation for ps. The two
straight-line portions of the p-y curve, beyond the point where y is equal to b/60, can now
be established.
3. Establish the initial straight-line portion of the p-y curve,
p = (kx) y........................................................... (3-91)
The value of k for Equation 3-91 may be found from the following equation and by
reference to Figure 3-39.
118
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
2,000
500,000
300,000
kc (cyclic)
1,000
200,000
500 kφ (submerged)
100,000
kφ (above water table)
0 0
c tsf 0 1 2 3 4
φ deg. 0 28 32 36 40
For example, if c is equal to 0.2 tsf and φ is equal to 35 degrees for a layer of c-φ soil
above the water table, the recommended kc is 350 pci and kφ is 80 pci, yielding a value of k
of 430 pci.
4. Establish the parabolic section of the p-y curve,
p = C y1 / n .......................................................... (3-93)
119
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
pm
n= ........................................................... (3-95)
m ym
pm
C= ......................................................... (3-96)
( ym )1/ n
n
⎛ C ⎞ n −1
y k = ⎜⎜ ⎟⎟ ....................................................... (3-97)
⎝k x⎠
3-7-4 Discussion
An example of p-y curves was computed for c-φ soils for a pile with a diameter of 12
inches (0.3 meters). The c value is 400 psf (20 kPa) and a φ value is 35 degrees. The unit weight
of soil is 115 pcf (18 kN/m3). The p-y curves were computed for depths of 39 in. (1 m), 79 in. (2
m), and 118 inches (3 meters). The p-y curves computed by using the simplified procedure are
shown in Figure 3-40. As can be seen, the ultimate resistance of the soil, based in the model
procedure, is higher than from the simplified procedure. Both of the p-y curves show an initial
peak strength, then drop to a residual strength at a large deflection, as is expected. Because of a
lack of experimental data to calibrate the soil resistance, based on the model procedure, it is
recommended that the simplified procedure be used at the present time.
120
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
1,400
1,200
1,000
Load Intensity p, kN/m
800
600
400
200
0
0.0 0.005 0.01 0.015 0.02 0.025
Lateral Deflection y, m
The point was made clearly at the beginning of this section that data are unavailable from
a specific set of experiments that was aimed at the response of c-φ soils. Such experiments would
have made use of fully instrumented piles. Further, little information is available in the literature
on the response of piles under lateral loading in such soils where response is given principally by
deflection of the pile at the point of loading.
Data from one such experiment, however, was available and the writers have elected to
use that data in an example to demonstrate the use of this criterion. A comparison was made
there between results from experiment and results from computations.
The reader will note that the procedure presented above does not reflect a severe loss of
soil resistance under cyclic loading that is a characteristic for clays below a free-water surface.
Rather, the procedures described above are for a material that is primarily granular in nature,
which does not reflect such loss of resistance. Therefore, if a c-φ soil has a very low value of φ
and a relatively large value of c, the user is advised to ignore the φ and to use the
recommendations for p-y curves for clay. Further, a relatively large factor of safety is
recommended in any case, and a field program of testing of prototype piles is certainly in order
for jobs that involve any large number of piles.
121
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3-8-1 Introduction
The use of deep foundations in rock is frequently required for support of bridges,
transmission towers, or other structures that sustain lateral loads of significant magnitude.
Because the rock must be drilled in order to make the installation, drilled shafts are commonly
used. However, a steel pile could be grouted into the drilled hole. In any case, the designer must
use appropriate mechanics to compute the bending moment capacity and the variable bending
stiffness EI. Experimental results show conclusively that the EI must be reduced, as the bending
moment increases, in order to achieve a correct result (Reese, 1997).
In some applications, the axial load is negligible so the penetration is controlled by lateral
load. The designer will wish to initiate computations with a relatively large penetration of the
pile into the rock. After finding a suitable geometric section, the factored loads are employed and
computer runs are made with penetration being gradually reduced. The ground-line deflection is
plotted as a function of penetration and a penetration is selected that provides adequate security
against a sizable deflection of the bottom of the pile.
Concepts are presented in the following section that from the basis of computing the
response of piles in rock. The background for designing piles in rock is given and then two sets
of criteria are presented, one for strong rock and the other for weak rock. Much of the
presentation follows the paper by Reese (1997) and more detail will be found in that paper.
The secondary structure of rock is an overriding feature is respect to its response to
lateral loading. Thus, an excellent subsurface investigation is assumed prior to making any
design. The appropriate tools for investigating the rock are employed and the Rock Quality
Designation (RQD) should be taken, along with the compressive strength of intact specimens. If
possible, sufficient data should be taken to allow the computation of the Rock Mass Rating
(RMR). Sometimes, the RQD is so low that no specimens can be obtained for compressive tests.
The performance of pressuremeter tests in such instances is indicated.
If investigation shows that there are soil-filled joints or cracks in the rock, the procedures
suggested herein should not be used but full-scale testing at the site is recommended.
Furthermore, full-scale testing may be economical if a large number of piles are to be installed at
a particular site. Such field testing will add to the data bank and lead to improvements in the
recommendations shown below, which are to considered as preliminary because of the meager
amount of experimental data that is available.
In most cases of design, the deflection of the drilled shaft (or other kind of pile) will be so
small that the ultimate strength pur of the rock is not developed. However, the ultimate resistance
of the rock should be predicted in order to allow the computation of the lateral loading that
causes the failure of the pile. Contrary to the predictions of p-y curves for soil, where the unit
weight is a significant parameter, the unit weight of rock is neglected in developing the
prediction equations that follow. While a pile may move laterally only a small amount under the
working loads, the prediction of the early portion of the p-y curve is important because the small
deflections may be critical is some designs.
122
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Most specimens of intact rock are brittle and will develop shear planes under low
amounts of shearing strain. This fact leads to an important concept about intact rock. The rock is
assumed to fracture and lose strength under small values of deflection of a pile. If the RQD of a
stratum of rock is zero, or has a low value, the rock is assumed to have already fractured and,
thus, will deflect without significant loss of strength. The above concept leads to the
recommendation of two sets of criteria for rock, one for strong rock and the other for weak rock.
For the purposes of the presentations herein, strong rock is assumed to have a compressive
strength of 6.9 MPa (1,000 psi) or above.
The methods of predicting the response of rock is based strongly on a limited number of
experiments and on correlations that have been presented in technical literature. Some of the
correlations are inexact; for example, if the engineer enters the figure for correlation between
stiffness and strength with a value of stiffness from the pressuremeter, the resulting strength can
vary by an order of magnitude, depending on the curve that is selected. The inexactness of the
necessary correlations, plus the limited amount of data from controlled experiments, mean that
the methods for the analysis of piles in rock must be used with a good deal of both judgment and
caution. Full-scale testing in the field is indicated where justified by a particular design and
where the owner of the project would make a contribution to the technical literature and to the
profession.
123
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
3.51 m (11.5 ft) above the limestone. A maximum horizontal load of 667 kN (75 tons) was
applied to the pile. The maximum deflection at the point of load application was 18.0 mm (0.71
in.) and at the top of the rock (bottom of casing) it was 0.54 mm (0.0213 in.). While the curve of
load versus deflection was nonlinear, there was no indication of failure of the rock. Other details
about the experiment are shown in the Case Studies that follow.
124
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
186 MPa
3.9 m
Depth , meters 4
645 MPa
8.8 m
10
1,600 MPa
12
Figure 3-41 Initial Moduli of Rock Measured by Pressuremeter for San Francisco Load Test
1.2
1.0
Modulus Reduction Ratio
0.8
Emass/Ecore
0.6
0.4
0.2
?
?
?
0.0
0% 25% 50% 75% 100%
125
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
(MPa)
1 10 100 1,000
Very Low
Low
Rock Strength Medium
Classification
io
High
at
(Deere)
R
Very High
us
00
ul
1,
100
od
M
0
50
(MPa)
Steel
Upper and
0
20
Middle Chalk 100,000
(Hobbs)
0
10 Concrete
10
Gneiss
Deere
Young’s Modulus – psi × 106
Grades Limestone,
of Chalk Dolomite
(Ward et al.) 10,000
Basalt and other
1.0 I Flow Rocks
II Lower
Sandstone
Chalk
III (Hobbs)
Trias (Hobbs) 1,000
0.1 IV
V Keuper
100
0.01 Black Shale
Hendron, et al.
Grey Shale
10
0.001 Medium
Stiff
Clay
Very Stiff
Hard
1
126
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Two drilled shafts, each with diameters of 2.25 m (7.38 ft), and with penetrations of 12.5
m (41 ft) and 13.8 m (45 ft), were tested simultaneously by pulling the shafts together. Lateral
loading was applied using hydraulic rams acting on high-strength steel bars that were passed
through tubes, transverse and perpendicular to the axes of the shafts. Lateral load was measured
using electronic load cells. Lateral deflections of the shaft heads were measured using
displacement transducers. The slope and deflection of the shaft heads were obtained by readings
from slope indicators.
The load was applied in increments at 1.41 m (4.6 ft) above the ground line for Pile A
and 1.24 m (4.1 ft) for Pile B. The pile-head deflection was measured at slightly different points
above the rock line, but the results were adjusted slightly to yield equivalent values for each of
the piles. Other details about the loading-test program are shown in the case studies that follow.
3-8-3 Recommendations for Computing p-y Curves for Strong Rock (Vuggy
Limestone)
The p-y curve recommended for strong rock (vuggy limestone), with compressive
strength of intact specimens larger than 6.9 MPa (1,000 psi), shown in Figure 3-44. If the rock
increases in strength with depth, the strength at the top of the stratum will normally control.
Cyclic loading is assumed to cause no loss of resistance.
As shown in the Figure 3-44, load tests are recommended if deflection of the rock (and
pile) is greater than 0.0004b and brittle fracture is assumed if the lateral stress (force per unit
length) against the rock becomes greater than half the diameter times the compressive strength of
the rock.
The p-y curve shown in Figure 3-44 should be employed with caution because of the
limited amount of experimental data and because of the great variability in rock. The behavior of
rock at a site could be controlled by joints, cracks, and secondary structure and not by the
strength of intact specimens.
127
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
pu = b su
y
0.0004b 0.0024b
The p-y curve that is recommended for weak rock is shown in Figure 3-45. The
expression for the ultimate resistance pur for rock is derived from the mechanics for the ultimate
resistance of a wedge of rock at the top of the rock.
p
Mir
pur
y
yA
Figure 3-45 Sketch of p-y Curve for Weak Rock (after Reese, 1997)
128
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎛ x ⎞
pur = α r qur b⎜1 + 1.4 r ⎟ for xr ≤ 3b ...................................... (3-98)
⎝ b⎠
where:
qur = compressive strength of the rock, usually lower-bound as a function of depth,
αr = strength reduction factor,
b = diameter of the pile, and
xr = depth below the rock surface.
The assumption is made that fracturing will occur at the surface of the rock under small
deflections, therefore, the compressive strength of intact specimens is reduced by multiplication
by αr to account for the fracturing. The value of αr is assumed to be 1.0 at RQD of zero and to
linearly decrease to a value of one-third for an RQD value of 100%. If RQD is zero, the
compressive strength may be obtained directly from a pressuremeter curve, or approximately
from Figure 3-43, by entering with the value of the pressuremeter modulus.
⎛ 2 RQD% ⎞
α r = ⎜1 − ⎟ ................................................ (3-100)
⎝ 3 100% ⎠
If one were to consider a strip from a beam resting on an elastic, homogeneous, and
isotropic solid, the initial modulus Mir (pi divided by yi) in Figure 3-45 may be shown to have the
following value (using the symbols for rock). 1
where
Eir = the initial modulus of the rock, and
kir = dimensionless constant defined by Equation 3-102.
Equations 3-101 and 3-102 for the dimensionless constant kir are derived from data available
from experiment and reflect the assumption that the presence of the rock surface will have a
similar effect on kir as was shown for pur for ultimate resistance.
1
The notation used here for Mir and εrm differs from that used in Reese (1997). The notation was
changed to improve the clarity of the presentation.
129
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎛ 400 xr ⎞
k ir = ⎜100 + ⎟ for 0 ≤ xr ≤ 3b .................................... (3-102)
⎝ 3b ⎠
With guidelines for computing pur and Mir, the equations for the three branches of the
family of p-y curves for rock in Figure 3-44 can be presented. The equation for the straight-line,
initial portion of the curves is given by Equation 3-104 and for the other branches by Equations
3-105 through 3-107.
p = M ir y for y ≤ y A ...............................................(3-104)
0.25
p ⎛ y ⎞
p = ur ⎜⎜ ⎟⎟ for y ≤ y A and p ≤ pur ...............................(3-105)
2 ⎝ y rm ⎠
where
εrm = a constant, typically ranging from 0.0005 to 0.00005 that serves to establish the upper
limit of the elastic range of the curves using Equation 3-107. εrm is analogous to ε50
used for p-y curves in clays. The stress-strain curve for the uniaxial compressive test
may be used to determine εrm in a similar manner to that used to determined ε50.
The value of yA is found by solving for the intersection of Equations 3-104 and 3-105, and the
solution is presented in Equation 3-108.
1.333
⎛ pur ⎞
y A = ⎜⎜ ⎟
⎟ ..............................................(3-108)
⎝ 2( y rm ) M ir
0.25
⎠
As shown in the case studies that follow, the equations from weak rock predict with
reasonable accuracy the behavior of single piles under lateral loading for the two cases that are
available. An adequate factor of safety should be employed in all cases.
130
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The equations are based on the assumption that p is a function only of y. This assumption
appears to be valid if loading is static and resistance is only due to lateral stresses. However,
O’Neill (1996) noted “in large diameter drilled shafts, moment is resisted in the push-pull shear
produced by the axial shears caused by the rotation of the pile. In rock, this effect could be
significant, especially for small deflections, if the diameter of the pile is large. “
3-8-5-1 Islamorada
The drilled shaft was 1.22 m (48 in.) diameter and penetrated 13.3 m (43.7 ft) into
limestone. A layer of sand over the limestone was retained by a steel casing, and the lateral load
was applied at 3.51 m (11.5 ft) above the surface of the rock. A maximum lateral load of 667 kN
(150 kips) was applied and the measured curve of load versus deflection was nonlinear.
Values of the strengths of the concrete and steel were unavailable and the bending
stiffness of the gross section was used for the initial solutions. The following values were used to
compute the p-y curves:
qur = 3.45 MPa (500 psi),
αr = 1.0, (RQD = 0%)
Eri = 7,240 MPa (1.05 × 106 psi),
εrm = 0.0005,
b = 1.22 m (48 in.),
L = 15.2 m (50 ft), and
EI = 3.73 × 106 kN-m2 (1.3 × 109 ksi).
A comparison of pile-head deflection curves from experiment and from analysis is shown
in Figure 3-46. Excellent agreement between the elastic EI and experiment and is found for
loading levels up to about 350 kN (78.7 kips), where sharp change in the load-deflection curve
occurs. Above that level of loading, nonlinear EI is required to match the experimental values
reasonably well.
Curves giving deflection and bending moment as a function of depth were computed for a
lateral load of 334 kN (75 kips), one-half of the ultimate lateral load, and are shown in Figure 3-
47. The plotting is shown for limited depths because the values to the full length are too small to
plot. The stiffness of the rock, compared to the stiffness of the pile, is reflected by a total of 13
points of zero deflection over the length of the pile of 15.2 meters (50 ft). However, for the data
employed here, the pile will behave as a long pile through the full range of loading.
131
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
800
EI = 37.3×105 kN-m2
EI = 5.36×105 kN-m2
Lateral Load, kN
EI = 7.46×105 kN-m 2
EI = 9.33×105 kN-m 2
400 EI = 12.4×105 kN-m 2
200
Analysis with Elastic EI
Analysis with Reduced EI
Measured in Load Test
0
0 5 10 15 20
Groundline Deflection, mm
M
2 y
Depth, meters
Rock Surface
8
−1 0 1 2 3
Lateral Deflection, y, mm
Figure 3-47 Computed Curves of Lateral Deflection and Bending Moment versus Depth,
Islamorada Test, Lateral Load of 334 kN (after Reese, 1997)
132
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Values of EI were reduced gradually where bending moments were large to obtain
deflections that would agree fairly well with values from experiment. Values of lateral deflection
and bending moment versus depth are shown in Figure 3-47. The largest moment occurs close to
the top of rock, in the zone of about 2.5 m (8.2 ft) to 4.5 meters (14.8 ft). The following values of
load and bending stiffness were used in the analyses: 350 kN and below 3.73×106 kN-m2; 400
kN, 1.24×106 kN-m2; 467 kN, 9.33×105 kN-m2; 534 kN, 7.46×105 kN-m2; 601 kN, 6.23×105 kN-
m2; and 667 kN, 5.36×105 kN-m2. The computed bending moment curves were studied and
reductions were only made where the bending stiffness was expected to be in the nonlinear
range.
The lowest value of EI that was used is believed to be roughly equal to that for the fully
cracked section. The decrease in slope of the curve of yt versus Pt at Islamorada can reasonably
be explained by reduction in values of EI. The analysis of the tests at Islamorada gives little
guidance to the designer of piles in rock except for early loads. A study of the testing at San
Francisco that follows is more instructive.
3-8-5-2 San Francisco
The value of krm used in the analyses was 0.00005. For the beginning loads the value used
for EI was 35.15×106 kN-m2 (12.25×109 ksi, E=28.05×106 kPa (4.07×106 psi); I = 1.253 m4
(3.01×105 in4)). The nominal bending moment capacity Mnom was computed to be 17,740 m-kN
(1.57×105 in-kips) and values of EI were computed as a function of bending moment. Data from
Speer (1992) gave the following properties of the cross section: compressive strength of the
concrete was 34.5 MPa (5,000 psi), tensile strength of the rebars was 496 MPa (72,000 psi),
there were 40 bars with a diameter of 43 mm (1.69 in.), and cover thickness was 0.18 m (7.09
in.).
The data on deflection as a function of loads showed that the two piles behaved about the
same for the beginning loads but the curve for Pile B exhibited a large increase in pile-head
deflection at the largest load. The experimental curve for Pile B shown by the heavy solid line in
Figure 3-48 suggests that a plastic hinge developed at the ultimate bending moment of 17,740 m-
kN (157,012 in-kips).
Consideration was given to the probable reduction in the values of EI with increasing
load and three methods were used to predict the reduced values. The three methods were: the
analytical method as presented in Chapter 4, the approximate method of the American Concrete
Institute (ACI 318) which does not account for axial load and may be used here; and the
experimental method in which EI is found by trial-and-error computations that match computed
and observed deflections. The plots of the three methods are shown in Figure 3-49 and all three
curves show a sharp decrease in EI with increase in bending moment. For convenience in the
computations, the value of EI was changed for the entire length of the pile but errors in using
constant values of EI in the regions of low values of M are thought to be small.
133
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
10,000
8,000 Pile B
Lateral Load, kN
6,000
4,000
Unmodified EI
2,000 Analytical
ACI
Experimental
0
0 10 20 30 40 50
Groundline Deflection, mm
Figure 3-48 Comparison of Experimental and Computed Values of Pile-Head Deflection for
Different Values of EI, San Francisco Test
The computed and measured lateral load versus pile-head deflection curves are shown in
Figure 3-48. The computed load-deflection curve computed using EI values derived from the
load test agrees well with the load test curve, but the computed load-deflection curves using
other modeling methods are less (i.e. “stiffer”) than the load test values. However, if load factors
of 2.0 and higher are selected, the computed deflections would be about 2 or 3 mm (0.078 to
0.118 in.) with the experiment showing about 4 mm (0.157 in.). Thus, the differences are
probably not very important in the range of the service loading.
Also shown in Figure 3-48 is a curve showing deflection as a function of lateral load with
no reduction in the values of EI. The need to reduce EI as a function of bending moment is
apparent.
Values of bending stiffness in Figure 3-49 along with EI of the gross section were used to
compute the maximum bending moment mobilized in the shaft as a function of the applied load
are shown in Figure 3-50. The close agreement between computations from all the methods is
striking. The curve based on the gross value of EI is reasonably close to the curves based on
adjusted values of EI, indicating that the computation of bending moment for this particular
example is not very sensitive to the selected values of bending stiffness.
134
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
40
Analytical
20
10
0
0 5,000 10,000 15,000 20,000
Bending Moment, kN-m
10,000
7,500
Lateral Load, kN
5,000
2,500 Unmodified EI
Analytical
ACI
Experimental
0
0 5,000 10,000 15,000 20,000
Bending Moment, kN-m
135
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
y
p= .......................................................(3-109)
1 y
+
K i pu
where pu is the ultimate lateral resistance of the rock mass and Ki is the initial slope of the p-y
curve. A drawing of the p-y curve for massive rock is presented in Figure 3-51.
p
pu
y
p=
1 y
+
K i pu
Ki
136
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Fφ Fs H
Fp
Fn W
β
φ′ φ′
where β = 45° + , θ= , c′ = effective cohesion, φ′ = effective friction angle, and, γ′ =
2 2
effective unit weight respectively of the rock mass and the following equations are used to
compute parameters C1 through C5:
⎛ φ′ ⎞
K a = tan 2 ⎜ 45° − ⎟
⎝ 2⎠
K 0 = 1 − sin φ ′
2c′ σ′
z0 = − v0
γ ′ Ka γ ′
⎛ H ⎞
C1 = H tan β sec θ ⎜ c′ + K 0σ v′0 tan φ ′ + K 0 γ ′ tan φ ′ ⎟
⎝ 2 ⎠
137
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
D tan β (σ v′ 0 + Hγ ′) + H tan 2 β tan θ (2σ v′ 0 + Hγ ′) + c′(D + 2 H tan β tan θ ) + 2C1 cos β cos θ
C3 =
sin β − tan φ ′ cos β
⎛ γ ′H ⎞
C4 = K 0 H tan β sec θ ⎜ σ v′0 + ⎟ , and
⎝ 2 ⎠
Equation 3-110 is valid for homogeneous rock mass. For layered rock mass,
representative properties can be computed by a weighted method based on the volume of the
failure wedge. Methods for obtaining the rock properties c′ and φ′ are given on page 139.
σ′V = effective overburden pressure at the depth under consideration including the pressure from
overburden soils, pL is the limiting normal pressure of the rock mass (discussed later), and τmax is
the axial side resistance of the rock-shaft interface, proposed by Kulhawy and Phoon (1993)
138
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
0.284
⎛ D ⎞ − 2ν ⎛ E p I p ⎞
K i = Em ⎜ ⎟e ⎜
⎜ E D 4 ⎟⎟ ........................................(3-114)
⎜D ⎟
⎝ ref ⎠ ⎝ m ⎠
where Em is the rock mass modulus, D is the diameter of the drilled shaft, Ep Ip is the bending
stiffness of the drilled shaft, Dref is the reference shaft diameter equal to 0.305 m, and ν is
Poisson’s ratio of the drilled shaft.
a
⎛ σ′ ⎞
σ 1′ = σ 3′ + σ ci ⎜⎜ mb 3 + s ⎟⎟ .............................................(3-115)
⎝ σ ci ⎠
where σ′1 and σ′3 are the major and minor principal stresses at failure, σci is the uniaxial
compressive strength of intact rock, and mb, s, and a are material constants that depend on the
characteristics of the rock mass; s = 1 for intact rock, and a = 0.5 for most rock types.
Hoek (1990) provided a method for estimating the Mohr-Coulomb failure parameters c′
and φ′ of the rock mass from the principal stresses at failure. These parameters are:
⎛ 2τ ⎞
φ ′ = 90° − arcsin⎜⎜ ⎟⎟ ............................................(3-116)
σ
⎝ 1′ − σ ′
3 ⎠
c′ = τ − σ n tan φ ′ ....................................................(3-117)
σ′1 can be found from Equation 3-115, and σ′n and τ are found from
139
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
σ n′ = σ 3′ +
(σ 1′ − σ 3′ )2 ........................................(3-118)
2(σ 1′ − σ 3′ ) + 0.5mbσ ci
mbσ ci
τ = (σ 1′ − σ 3′ ) 1 + ...........................................(3-119)
2(σ 1′ − σ 3′ )
The parameters mb and s can be determined for many types of rock using the
recommendations of Marinos and Hoek (2000).2
Two methods for evaluating rock mass modulus are recommended by Liang et al. One
method is to compute rock mass modulus by multiplying the intact rock modulus measured in
the laboratory by the modulus reduction ratio, Em/Ei, computed using the geological strength
index, GSI., using Equation 3-120
Em =
100
e(
Ei GSI / 21.7
)
..................................................(3-120)
The modulus reduction ratio and is shown as a function of GSI in Figure 3-53.
The second method recommended for determining rock mass modulus is to perform an
in-situ rock pressuremeter test. The difficulty in using this approach is that many pressuremeter
testing devices are not capable of reaching large pressures, so difficulties might arise during their
use. In addition, interpretation of test results may be difficult because of the limited range of
expansion pressures possible.
2
This reference may be obtained from the Internet at http://www.rocscience.com/hoek/references/Published-Papers.htm.
140
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
100
Bieniawski (1978)
Serafin and Pereira (1983)
80 Ironton-Russell
Regression Line
%=m
E i
100
60
Em/Ei, (%)
40
20
0
0 20 40 60 80 100
Geologic Strength Index
Figure 3-53 Equation for Estimating Modulus Reduction Ratio from Geological Strength Index
141
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎡ y/b ⎤
Es = Esi ⎢1 − λ ln for 0.001 ≤ y/b ≤ 0.0375 ..........................(3-122)
⎣ 0.001 ⎥⎦
pu = b y (1 − 3.624λ ) .................................................(3-123)
142
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Es/Esi
λ
ln |y/b|
Figure 3-54 Degradation Plot for Es
pu
y
0.001b 0.0375b
Figure 3-55 p-y Curve for Piedmont Residual Soil
pu = 1.834 Esi b y
Esi = α Etest
143
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
The method of Georgiadis (1983) is based on the determination of the “equivalent” depth
of all the layers existing below the upper layer. The p-y curves of the upper layer are determined
according to the methods presented herein for homogeneous soils. To compute the p-y curves of
the second layer, the equivalent depth H2 to the top of the second layer has to be determined by
summing the ultimate resistances of the upper layer and equating that value to the summation as
if the upper layer had been composed of the same material as in the second layer. The values of
pu are computed according to the equations given earlier. Thus, the following two equations are
solved simultaneously for H2.
∫
H1
and
∫
H2
F1 = pu 2 dH ......................................................(3-125)
0
The equivalent thickness H2 of the upper layer along with the soil properties of the second layer,
are used to compute the p-y curves for the second layer.
The concepts presented above can be used to get the equivalent thickness of two or more
dissimilar layers of soil overlying the layer for whom the p-y curves are desired. One possible
consequence is that the equivalent depths may be either smaller or greater than the actual depths
of the soil layers, depending on the relative strengths of the layers of the soil profiles. This is
illustrated in Figure 3-56.
144
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
h3
h1 Soft Soil (Layer 1)
h2
F2
Soft Soil (Layer 3)
Fi
The example problem to demonstrate the manner in which layered soils are modeled is
shown in Figure 3-57. As seen in the sketch, a pile with a diameter of 610 mm (24 in.) is
embedded in soil consisting of an upper layer of soft clay, overlying a layer of loose sand, which
in turn overlays a layer of stiff clay. The water table is at the ground surface, and the loading is
static.
Four p-y curves for the case of layered soil are shown in Figure 3-58. The curves are for
points A, B, C and D as shown in the sketch in Figure 3-59, at depths of 0.92 m (36 in.), 1.83 m
(72 in.), 3.66 m (144 in.), and 7.32 m (288 in.), respectively. The curve at a depth of 0.92 m (36
in.) falls in the upper zone of soft clay; the curve for the depth of 1.83 m (72 in.) falls in the sand
just below the soft clay; and the curves for depths of 3.66 m (144 in.) and 7.32 m (288 in.) fall in
the lower zone of stiff clay.
145
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
c = 23.9 kPa
1.73 m Soft Clay ε50 = 0.02
γ′ = 7.9 kN/m3
φ = 30 deg.
1.32 m Loose Sand γ′ = 7.9 kN/m3
c = 95.8 kPa
ε50 = 0.005
6.1 m Stiff Clay
γ′ = 9.4 kN/m3
k = 20,400 kPa
Static Loading
0.61 m
Following the method suggested by Georgiadis, the p-y curve for soft clay can be
computed as if the profile consists altogether of that soil. When dealing with the sand, an
equivalent depth of sand is found such that the integrals of the ultimate soil resistance of an
equivalent sand layer and for the soft clay are equal at the interface. The equivalent thickness of
loose sand to replace the 1.73 m (68 in.) of soft clay was found to be 1.88 meters (74 in.). Thus,
the equivalent depth to point B in loose sand is 1.98 meters (78 in.). A plot of the integrals of
ultimate soil resistance and equivalent depths is presented in Figure 3-59.
An equivalent depth of stiff clay was found such that the sum of the ultimate soil
resistance for the stiff clay is equal to the sum of the ultimate soil resistance of the loose sand
and soft clay. In making the computation, the equivalent and actual thicknesses of the loose sand,
1.88 m (74 in.) and 1.32 m (52 in.), respectively, were replaced by 1.14 m (45 in.) of stiff clay.
Thus, the actual thicknesses of the soft clay and loose sand of 3.05 m (120 in.) were reduced by
1.91 m (75 in.), leading to equivalent depths in the stiff clay of points C and D of 1.75 m (69 in.)
and 5.41 m (213 in.), respectively (Figure 3-59).
146
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
400
350
200
150
100
50
0
0.0 0.01 0.02 0.03 0.04 0.05
Lateral Deflection y, meters
A
Soft
Clay xEQ = 2.057 m
1.73 m B
Loose
Sand
3.05 m xEQ = 1.816 m
C
Actual Equivalent
Depth, m Depth, m
D C 3.66 1.816
D 7.32 5.476
9.14 m
0.61 m
Figure 3-59 Equivalent Depths of Soil Layers Used for Computing p-y Curves
147
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
Another point of considerable interest is that the recommendations for p-y curves for stiff
clay in the presence of no free water were used for the stiff clay. This decision is based on the
assumption that the sand above the stiff clay can move downward and fill any gap that develops
between the clay and the pile. Furthermore, in the stiff-clay experiment where free water was
present, the free water moved upward along the face of the pile with each cycle of loading. The
presence of soft clay and sand to a depth of 3.05 m (120 in.) above the stiff clay is believed to
suppress the hydraulic action of free water even though the sand did not serve to close the
potential gaps in the stiff clay.
The equations used to compute lateral load transfer at failure are the ultimate values.
Soft Clay static loading
′
⎡ γ avg J ⎤
pu = ⎢3 + x + x ⎥ cb ............................................. (3-20)
⎣ c b ⎦
pu = 9 c b .......................................................... (3-21)
Soft Clay cyclic loading
6cb
xr = ....................................................... (3-24)
γ ′ b + Jc
⎛ x ⎞
p = 0.72 pu ⎜⎜ ⎟⎟ ..................................................... (3-25)
⎝ xr ⎠
148
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
pu = 9 c b ...........................................................(3-21)
Sand
⎡ K tan φ sin β tan β
pst = γx ⎢ 0 + (b + x tan β tan α )
⎣ tan( β − φ ) cos α tan( β − φ ) ..................... (3-48)
+ K 0 x tan β (tan φ sin β − tan α ) − K Ab]
pu = As ps or pu = Ac p s ............................................... (3-50)
API Sand
pus = (C1 x + C2b)γ ′ x ................................................... (3-58)
⎧ ⎡ ⎛ 1 ⎞ ⎤⎫
C1 = tan β ⎨ K p tan α + K 0 ⎢ tan φ sin β ⎜ + 1⎟ − tan α ⎥ ⎬
⎩ ⎣ ⎝ cos α ⎠ ⎦⎭
C2 = K p − K a
C 3 = K p2 (K p + K 0 tan φ ) − K a
3-12 Modifications to p-y Curves for Pile Batter and Ground Slope
The formulations for p-y curves presented to this manual were developed for a horizontal
ground surface. In order to allow designs to be made if a pile is installed on a slope,
modifications must be made to the p-y curves. The modifications involve revisions in the manner
in which the ultimate soil resistance is computed. In this regard, the assumption is made that the
flow-around failure that occurs at depth will not be influenced by sloping ground; therefore, only
the equations for the wedge-type failures near the ground surface need modification.
The modifications to p-y curves presented here are based on earth pressure theory and
should be considered as preliminary. Future changes may be needed once laboratory and field
study are completed.
149
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
If the ground surface has a slope angle θ as shown in Figure 3-60, the soil resistance at the front
of the pile, following the Reese approach is:
+θ
+β
cos θ
( pu ) ca = (2ca b + γbH + 2.83ca H ) ......................... (3-128)
2 cos(45° + θ )
where:
(pu)ca = ultimate soil resistance near ground surface,
ca = average undrained shear strength,
150
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
b = pile diameter,
γ = average unit weight of soil,
H = depth from ground surface to point along pile where soil resistance is computed, and
θ = angle of slope as measured in degrees from the horizontal.
A comparison of Equations 3-126 and 3-127 shows that the equations are identical except for the
terms at the right side of the parenthesis. If θ is equal to zero, the equations become equal to the
original equation.
3-12-1-2 Equations for Ultimate Resistance in Sand
The ultimate soil resistance near the ground surface for sand where the pile was installed
in ground with a horizontal slope was derived earlier and is:
If the ground surface has a slope angle θ, the ultimate soil resistance in the front of the pile is:
⎡ K H tan φ sin β
( pu ) sa = γH ⎢ 0 (4 D13 − 3D12 + 1)
⎣ tan( β − φ ) cos α
tan β
+ (
tan( β − φ )
bD2 + H tan β tan αD22 ) ............... (3-130)
where
tan β tan θ
D1 = ................................................. (3-131)
tan β tan 1 + 1
151
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
⎡ K H tan φ sin β
( pu ) sa = γH ⎢ 0 (4 D33 − 3D32 + 1)
⎣ tan( β − φ ) cos α
tan β
+ ( bD4 + H tan β tan αD42 ) ............. (3-134)
tan( β − φ )
where
tan β tan θ
D3 = ................................................. (3-135)
1 − tan β tan θ
and
D4 = 1 + D3....................................................... (3-136)
This completes the necessary derivations for modifying the equations for clay and sand to
analyze a pile under lateral load in sloping ground.
3-12-1-3 Effect of Direction of Loading on Output p-y Curves
The equations for computing maximum soil resistance for p-y curves in sand depend on
whether the pile is being pushed up or down the slope. LPile determines which case to compute
by using the values of lateral pile deflection and slope angle. Whenever, p-y curves are generated
for output, the curve that is output by the program is based on the lateral deflection computed for
loading case 1. If the user desires output of both sides of an unsymmetrical p-y curve it is
necessary to run an analysis twice, with the pile-head loadings for shear, moment, rotation, or
displacement reversed for the two analyses, while keeping the axial thrust force unchanged. The
user may then combine the two output curves together.
152
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
2.0
+θ −θ
Ratio of Soil Resistance
Load
(in) (out)
1.0
Kubo’s tests
Awoshika’s tests
0
−30 −20 −10 0 10 20 30
Figure 3-61 Soil Resistance Ratios for p-y Curves for Battered Piles from Experiment
from Kubo (1964) and Awoskika and Reese (1971)
This modifying constant is to be used to increase or decrease the value of pult which in
turn will cause each of the p-values to be modified. While it is likely that the values of pult for the
deeper soils are not affected by batter, the behavior of a pile is affected only slightly by the
resistance of the deeper soils; therefore, the use of the modifier for all depth is believed to be
satisfactory.
As shown in Figure 3-61, the agreement between the empirical curve and the experiments
for the outward batter piles (θ is positive) agrees somewhat better that for the inward batter piles.
The data indicate that the use of the modifying constant for inward batter piles will yield results
that are somewhat doubtful; therefore, on important projects, full-scale field-testing is desirable.
153
Chapter 3 – Lateral Load-Transfer Curves for Soil and Rock
154
Chapter 4
Special Analyses
4-1 Introduction
LPile has several options for making special analyses. This chapter provides explanations
about the various options and guidance for using the optional features for making special
analyses.
155
Chapter 4 – Special Analyses
Figure 4-2 Variation of Top Deflection vs. Depth for Example Problem
156
Chapter 4 – Special Analyses
200
150
Shear Force, kN
100
50
0
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02 0.022 0.024
Top Deflection, m
Figure 4-4 Variation of Top Deflection vs. Pile Length for Example
When examining the results in a graph of top deflection vs. pile length, the design
engineer may find that the top deflection at full length is too large and that some change in the
157
Chapter 4 – Special Analyses
dimensions of the pile are required. The manner in which this decision is made depends on the
shape of the curves in the graph.
If the right-hand portions of the curves are flat or nearly flat, it is not possible to reduce
pile-top deflection by lengthening the pile. The only available option is to increase the diameter
of the pile or to increase the number of piles, so that the average load per pile is reduced.
If the right-hand portions of the curves are inclined, it is possible to reduce the pile-top
deflection by lengthening the pile. However, there are situations where other factors may need to
be considered. One common condition is when the pile-top deflection is acceptable as long as the
pile tip is sufficiently embedded in a strong layer of soil or rock. In this case, the designer must
decide how reliably the depth of the strong layer can be predicted. In such a case, the designer
may wish to specify the length for a drilled foundation to be long enough to penetrate into the
strong layer after considering the variability of the depth of the strong layer and add a
requirement to notify the design engineer if the strong layer is not encountered in the field after
drilling to the full depth. In the case of a driven pile foundation, the design engineer can set the
pile length to be long enough to reach a specified driving resistance that is based a pile driving
analysis that is based on the presence of the strong layer.
158
Chapter 4 – Special Analyses
p ps
y
y−ys
ys Epy
d4y d2y
EI + Q − E py ( y − ys ) + W = 0 ...................................(3-137)
dx 4 dx 2
It should be noted that it is often difficult to determine the soil displacement profile for
use in the LPile analysis. Occasionally, it is possible to install slope inclinometer casings at a
project site to measure soil displacements as they develop. In other cases, the soil displacement
profile may be developed using the finite element method.
159
Chapter 4 – Special Analyses
3. Apply the shear and moment pile head loading condition to all load cases.
4. For the first load case, apply either a small lateral shear force of 100 lbs (or 0.5 kN) or the
required lateral shear force for which buckling capacity is needed, a moment of zero, and
an axial thrust force of zero.
5. Increase the axial thrust force in even increments for the subsequent load cases.
6. Perform the first analysis. If the analysis fails with the pile exceeding the lateral
deflection limit, the pile has buckled. If the analysis ends normally, the pile has not
buckled, the ranges of axial thrust loads was too small to cause buckling
7. Examine the output report of the run ending with the excessive lateral deflection error.
Determine the load case number of the last successful analysis. Delete all loads cases
with axial thrust forces that are too high.
8. If desired, additional load cases with axial thrust increasing in smaller increments may be
added to refine the load at which the pile buckles.
9. Plot the values of specified axial thrust versus the computed lateral deflection.
An example buckling study was performed. The pile head is at the elevation of the
ground surface. The soil profile is sand from 0 to 2 meters (API sand, γ′ = 18 kN/m3, φ′ = 30
degrees, and k = 13,550 kN/m3), soft clay from 2 to 8.5 meters (γ′ = 7.19 kN/m3, c = 1 kPa, ε50 =
0.06), and sand below 8.5 meters (API sand, γ′ = 10 kN/m3, φ′ = 40 degrees, k = 60,000 kN/m3).
The pile has a diameter of 0.15 meters, a length of 18 meters, a cross-sectional area of 0.0177
m2, a moment of inertia of 1.678 × 10-7, and a Young’s modulus of 200 GPa. Two pile buckling
curves are plotted in Figure 3-6. For one curve, the specified shear force is 0.1 kN and buckling
failure occurs for thrust values above 218 kN. For the second curve, the specified shear force is
1.0 kN and buckling failure occurs for thrust values above 121 kN.
160
Chapter 4 – Special Analyses
250
200
V = 0.1 kN
Axial Thrust, kN V = 1.0 kN
150
100
50
0
0 0.002 0.004 0.006 0.008 0.01
Lateral Deflection, meters
Figure 4-6 Examples of Pile Buckling Curves for Different Shear Force Values
These curves illustrate that the axial buckling capacity is a function of the specified
lateral shear force used in the analysis and that the buckling capacity is reduced as the lateral
shear force is increased. Thus, it is important to use a specified lateral shear force if it is known,
since a range of computed buckling capacities is possible.
The following is an example of an incorrect buckling analysis. In this analysis, the soil
and pile properties are the same as used in the example above. The shear force is specified as 5.0
kN (larger than the 0.1 and 1.0 kN thrust values used in the prior example).
In the incorrect analysis, the analysis used a range of axial thrust forces that was too large
and the computed lateral deflections were on both positive and negative as shown in Figure 3-7.
In a correct buckling analysis, the computed lateral deflections should always have the same
sign. In the correct analysis, also shown in Figure 3-7, the axial thrust values were increased in
smaller increments and non-convergence due to excessive lateral deflections occurred at a thrust
levels higher than 39 kN.
161
Chapter 4 – Special Analyses
500
450
400
Correct
350
Axial Thrust, kN Incorrect
300
250
200
150
100
50
0
-0.05 0 0.05 0.1 0.15
Lateral Deflection, meters
162
Chapter 4 – Special Analyses
163
Chapter 5
Computation of Nonlinear Bending Stiffness
and Moment Capacity
5-1 Introduction
5-1-1 Application
The designer of deep foundations under lateral loading must make computations to
ascertain that three factors of performance are within tolerable limits: combined axial and
bending stress, shear stress, and pile-head deflection. The flexural rigidity, EI, of the deep
foundation (bending stiffness) is an important parameter that influences the computations (Reese
and Wang, 1988; Isenhower, 1994).
In general, flexural rigidity of reinforced concrete varies nonlinearly with the level of
applied bending moment, and to employ a constant value of EI in the p-y analysis for a concrete
pile will result in some degree of inaccuracy in the computations.
The response of a pile is nonlinear with respect to load because the soil has nonlinear
stress-strain characteristics. Consequently, the load and resistance factor design (LRFD) method
is recommended when evaluating piles as structural members. This requires evaluation of the
nominal (i.e. unfactored) bending moment of the deep foundation.
Special features in LPile have been developed to compute the nominal-moment capacity
of a reinforced-concrete drilled shaft, prestressed concrete pile, or steel-pipe pile and to compute
the bending stiffness of such piles as a function of applied moment or bending curvature. The
designer can utilize this information to make a correct judgment in the selection of a
representative EI value in accordance with the loading range and can compute the ultimate lateral
load for a given cross-section.
5-1-2 Assumptions
The program computes the behavior of a beam or beam-column. It is of interest to note
that the EI of the concrete member will undergo a significant change in EI when tensile cracking
occurs. In the coding used herein, the assumption is made that the tensile strength of concrete is
minimal and that cracking will be closely spaced when it appears. Actually, such cracks will
initially be spaced at some distance apart and the change in the EI will not be so drastic. In
respect to the cracking of concrete, therefore, the EI for a beam will change more gradually than
is given by the coding.
The nominal bending moment of a reinforced-concrete section in compression is
computed at a compression-control strain limit in concrete of 0.003 and is not affected by the
crack spacing. The ultimate bending moment for steel, because of the large amount of
164
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
deformation of steel when stressed about the proportional limit, is taken at a maximum strain of
0.015 which is five times that of concrete.
For reinforced-concrete sections in tension, the nominal moment capacity of a section is
computed at a compression-control strain limit of 0.003 or a maximum tension in the steel
reinforcement of 0.005.
f’c
0.15 f’c
Ec
ε0 0.0038
fr
The following equations are used to compute concrete stress. The value of concrete
compressive strength, f′c, in these equations is specified by the engineer.
⎡ ε ⎛ ε ⎞2 ⎤
f c = f c′ ⎢2 − ⎜⎜ ⎟⎟ ⎥ for 0 ≤ ε ≤ ε 0 .......................................(5-1)
⎢⎣ ε 0 ⎝ ε 0 ⎠ ⎥⎦
⎛ ε − ε0 ⎞
f c = f c′ − 0.15 f c′ ⎜⎜ ⎟⎟ for ε 0 ≤ ε ≤ 0.0038 ............................(5-2)
⎝ 0.0038 − ε 0 ⎠
165
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
The modulus of rupture, fr, is the tensile strength of concrete in bending. The modulus of
rupture for drilled shafts and bored piles is computed using
f c′
ε 0 = 1 .7 ............................................................(5-6)
Ec
The stress-strain (σ-ε) curve for steel is shown in Figure 5-2. There is no practical limit to
plastic deformation in tension or compression. The stress-strain curves for tension and
compression are assumed to be identical in shape.
The yield strength of the steel, fy, is selected according to the material being used, and the
following equations apply.
fy
εy = ...............................................................(5-7)
Es
166
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
σ
fy
ε
εy
167
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
13. Elastic-plastic shapes with rectangular, round, tubular, strong H-sections, or weak H-
sections.
The computed output consists of a set of values for bending moment M versus bending
stiffness EI for different axial loads ranging from zero to the axial-load capacity for the column.
Δ
εx = ...............................................................(5-8)
dx
where:
Δ = deformation at any distance from the neutral axis, and
dx = length of the element along the neutral axis.
168
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
dθ
a
dx b
d
η
M
c Δ
Figure 5-3 Element of Beam Subjected to Pure Bending
ρ η
= ...............................................................(5-9)
dx Δ
where:
η = distance from the neutral axis, and
ρ = radius of curvature.
Equation 5-10 is obtained from Equations 5-8 and 5-9, as follows:
Δ η dx 1 η
εx = = = .................................................(5-10)
dx ρ dx ρ
σ x = Eε x ...........................................................(5-11)
where:
169
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
Eη
σx = ............................................................(5-12)
ρ
Mη
σx = ...........................................................(5-13)
I
where:
M = applied moment, and
I = moment of inertia of the section.
Mη Eη
= ..........................................................(5-14)
I ρ
M 1
= .............................................................(5-15)
EI ρ
1 dθ
= = φ .........................................................(5-16)
ρ dx
For convenience here, the symbol φ is substituted for the curvature 1/ρ. The following equation
is developed from this substitution and Equations 5-15 and 5-16
170
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
M
EI = ............................................................(5-17)
φ
εx = φ η .............................................................(5-18)
where Ag is the gross cross-sectional area of the section, As is the cross-sectional area of the
longitudinal steel, f′c is the specified compressive strength of concrete and fy is the specified yield
strength of the longitudinal reinforcing steel.
Common design practice in North America and Europe is to restrict the steel
reinforcement to be between 1 and 8 percent of the gross cross-sectional area for drilled shafts
without permanent casing. Usually, reinforcement percentages higher than 3.5 to 4 percent are
171
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
attainable only by a combination of bundling of bars and by reducing the maximum aggregate
size to be small enough to pass through the reinforcement cage. LPile has features that help the
user to identify the combinations of reinforcement details that satisfy requirement for
constructability.
For prestressed concrete piles, the equations for the nominal axial structural capacity
differ depending on the cross-sectional shape and the level of prestressing. As for uncased
reinforced concrete sections, the concrete stress at failure is assumed to be 0.85 f′c. With axial
loading, the effective prestress in the section is lowered. At a compressive strain of 0.003, only
about 60 percent of the prestressing remains in the member. Thus, the nominal strength can be
computed as
172
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
0.510 m
0.076 m
0.203 m
0.760 m 0.203 m
0.203 m
0.076 m
The results from the solution of the problem by LPile are shown in Table 5-1. The first
block of lines include an echo-print of the input, plus several quantities computed from the input
data, including the computed squash load capacity (9,093.096 kN), which is the load at which a
short column would fail. The next portion of the output presents results of computations for
various values of curvature, starting with a value of 0.0000492 rad/m and increasing φ by even
increments.3
The fifth column of the output shows the value of the position of the neutral axis, as
measured from the compression side of the member. Other columns in the output, for each value
of φ, give the bending moment, the EI, and the maximum compressive strain in the concrete. For
the validation that follows, only one line of output was selected.
5-3-1-1 Computations Using Equations of Section 5-2
An examination of the output in Table 5-1 finds that the maximum compressive strain
was 0.0030056 for a value of φ of 0.0176673 rad/m. This maximum strain is close to 0.003, the
value selected for computation of the nominal bending moment capacity, and that line of output
was selected for the basis of the following hand computations.
5-3-1-2 Check of Position of the Neutral Axis
In Table 5-1, the neutral axis is 0.1701205 m from the top of the section. The computer
found this value by iteration by balancing the computed axial thrust force against the specified
axial thrust. For the hand computations, the computed axial thrust for this neutral axis position
will be checked against the specified axial thrust. In the hand computations, the value of the
depth to the neutral axis was rounded to 0.1701 m for convenience.
3
LPile uses an algorithm to compute the initial increment of curvature that is based on the depth of the pile section. This algorithm is designed to
obtain initial values of curvature small enough to capture the uncracked behavior for all pile sizes.
173
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
Number of Sections = 1
Section No. 1:
Concrete Properties:
Bending Bending Bending Depth to Max Comp Max Tens Max Concrete Max Steel Run
Curvature Moment Stiffness N Axis Strain Strain Stress Stress Msg
rad/m kN-m kN-m2 m m/m m/m kPa kPa
------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ---
0.0000492 28.3173948 575409. 1.9085538 0.0000939 0.0000565 2674.0029283 18743.
0.0000984 56.6333321 575395. 1.1451716 0.0001127 0.0000379 3188.4483827 22462.
.
. (deleted lines)
174
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
.
0.0004429 253.1619332 571583. 0.5542915 0.0002455 -0.0000911 6671.6631466 48751.
0.0004921 280.6180646 570216. 0.5375669 0.0002646 -0.0001095 7149.3433542 52522.
0.0005413 280.6180646 518378. 0.4727569 0.0002559 -0.0001555 6926.7437852 50760. C
0.0005906 280.6180646 475180. 0.4548249 0.0002686 -0.0001802 7241.7196541 53257. C
.
. (deleted lines)
.
0.0038878 651.6508321 167614. 0.2450564 0.0009527 -0.0020020 20619. -397341. C
0.0039862 663.0531399 166336. 0.2440064 0.0009727 -0.0020569 20904. -408237. C
0.0040846 674.4235902 165112. 0.2430210 0.0009927 -0.0021117 21183. -413686. CY
0.0041831 685.7618089 163937. 0.2420960 0.0010127 -0.0021664 21458. -413686. CY
.
. (deleted lines)
.
0.0176673 907.1915259 51349. 0.1701205 0.0030056 -0.0104216 27596. 413686. CY
.
. (deleted lines)
.
0.0239665 913.9027316 38132. 0.1658249 0.0039742 -0.0142403 27600. 413686. CY
--------------------------------------------------------------------------------
Summary of Results for Nominal (Unfactored) Moment Capacity for Section 1
--------------------------------------------------------------------------------
Note note that the values of moment capacity in the table above are not
factored by a strength reduction factor (phi-factor).
In ACI 318-08, the value of the strength reduction factor depends on whether the
transverse reinforcing steel bars are spirals or tied hoops.
Similarly,
ε2 = −0.001915
ε3 = −0.005501
ε4 = −0.009088
In order to obtain the forces in the steel at each level, it is necessary to know if the steel is
in the elastic or plastic range. Thus, it is required to compute the value of yield strain εy using
Equation 5-7.
175
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
fy 413,000
εy = = = 0.002065 ..........................................(5-22)
Es 2 ×108
This computation shows that the bars in rows 1 and 2 are in the elastic range and the bars in the
other two rows are in the plastic range. Thus, the forces in each row of bars are:
The second value in the parentheses is the distance from the neutral axis to the mid-height of the
first slice. Similarly, the strains at the centers of the other slices are:
ε2 = 0.002554
ε3 = 0.002254
ε4 = 0.001954
ε5 = 0.001653
ε6 = 0.001353
ε7 = 0.001052
ε8 = 0.000751
ε9 = 0.000451
ε10 = 0.000150
176
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
The forces in the concrete are computed by employing Figure 5-4 and Equations 5-1
through 5-7. The first step is to compute the value of ε0 from Equation 5-6 and to see the strains
are lower or greater than the strain for the peak stress.
⎛ 27,600 ⎞
ε 0 = 1.7⎜⎜ ⎟ = 0.001870
⎟
⎝ 151, 000 27 , 600 ⎠
The strain in the top two slices show that stress can be found by use of the second branch
of the compressive portion of the curve in Figure 5-1 and the stress in the other slices can be
computed using Equation 5-1. From Figure 5-4, the following quantity is computed
Then, the following equation can by used to compute the stress along the descending section of
the stress-strain curve corresponding to ε1 and ε2.
⎛ ε − 0.001870 ⎞
f c = 27,600 − 4,140⎜ ⎟
⎝ 0.0038 − 0.001870 ⎠
The strains in the other slices are less then ε0 so the stresses in the concrete are on the
ascending section of the stress-strain curve. The stresses in these slices can be computed by
Equation 5-1.
⎡ ⎛ ε ⎞ ⎛ ε ⎞ ⎤
2
f c 3 = 27,600⎢2⎜ ⎟−⎜ ⎟ ⎥
⎣⎢ ⎝ 0.001870 ⎠ ⎝ 0.001870 ⎠ ⎦⎥
177
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
The forces in each slice of the concrete due to the compressive stresses are computed by
multiplying the area of the slice by the computed stress. All of the slices have the area of 0.00740
m2 (0.0145 m × 0.51 m). Thus, the computed forces in the slices are:
Fc1 = 221.13 kN
Fc2 = 226.72 kN
Fc3 = 232.32 kN
Fc4 = 237.91 kN
Fc5 = 236.23 kN
Fc6 = 221.10 kN
Fc7 = 193.61 kN
Fc8 = 153.75 kN
Fc9 = 101.53 kN
Fc10 = 36.93 kN
There is a small section of concrete in tension. The depth of the tensile section is
determined by the strains up to the strain developed at the modulus of rupture (Equation 5-3).
In this zone, it is assumed that the stress-stain curve in tension is defined by the average concrete
modulus (Equation 5-5).
The modulus of elasticity of concrete, Ec, is computed using
178
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
− 3,273
εr = = −0.0001305
25,086,000
ε r − 0.0001305
h= = = −0.07384 m
φ 0.0176673
The force in tension is the product of average tensile stress is and the area in tension and is
⎛ε E ⎞
Ft = ⎜ r c ⎟ (0.07384 )(0.510 ) = −6.16 kN
⎝ 2 ⎠
A reduction in the computed concrete force is needed because the top row of steel bars is
in compression zone. The compressive force computed in concrete for the area occupied by the
steel bars must be subtracted from the computed value. The compressive strain at the location of
the top row of bars is 0.001447, the area of the bars is 0.0015 m2, the concrete stress is 27,289
kPa, and the force is 40.93 kN.
Thus, the total force carried in the concrete is sum of the computed compressive forces
plus the tensile concrete force minus the correction for the area of concrete occupied by the top
row of reinforce is 1814.10 kN.
5-3-1-5 Computation of Balance of Axial Thrust Forces
The summation of the internal forces yields the following expression for the sum of axial
thrust forces:
Taking into account the applied axial load in compression of 900 kN, the section is out of
balance by only 0.15 kN (33.7 lbs).
This hand computation confirms the validity of the computations made by LPile. The
selection of a thickness of the increments of concrete of 0.01701 m is thicker than that used in
LPile. LPile uses 100 slices of the full section depth in its computations, so the slice thickness
used by LPile is 0.0076 m for this example problem. Also, some error was introduced by the
179
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
reduced precision in the hand computations, whereas LPile uses 64-bit precision in all
computations.
5-3-1-6 Computation of Bending Moment and EI
Bending moment is computed by summing the products of the slice forces about the
centroid of the section. The axial thrust load does not cause a moment because it is applied with
no eccentricity. The moments in the steel bars and concrete can be added together because the
bending strains are compatible in the two materials.
The moments due to forces in the steel bars are computed by multiplying the forces in the
steel bars times the distances from the centroid of the section. The values of moment in the steel
bars are:
The moments due to forces in the concrete are computed by multiplying the forces in the
concrete times the distances from the centroid of the section. The values of moments in the
concrete slices are:
180
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
As mentioned above, the summation of the moments in the steel bars and concrete is
possible because the bending strains in the two materials are compatible, i.e. the bending strains
are consistent with the positions of the steel bars and concrete slices.
5-3-1-7 Computation of Bending Stiffness Using Approximate Method
The drawing in Figure 5-5 shows the information used in computing the nominal moment
capacity. The forces in the steel were computed by multiplying the stress developed in the steel
by the area, for either of two or three bars in a row at each row position.
0.1701 m
0.076 m
501.51 kN
0.203 m
382.95 kN
0.760 m 0.203 m
413 kN
0.203 m
619.5 kN
0.076 m
Figure 5-5 Free Body Diagram Used for Computing Nominal Moment Capacity of Reinforced
Concrete Section
M 905.71 kN - m
EI = = = 51.265.02 kN - m 2
φ 0.01701205 rad/m
181
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
Table 5-2 Comparison of Results from Hand Computation vs. Computer Solution
The rectangular section used for above example solution was chosen because the
geometric shapes of the slices are easy to visualize and their areas and centroid positions are easy
to compute. In reality, the algorithms used in LPile for the geometrical computation are much
more powerful because of the circular and non-circular shapes considered in the computations.
For example, when a large number of slices are used in computations, individual bars are divided
by the slice boundaries. So, in the computations by LPile, the areas and centroidal positions of
the circular segments of bars are computed. In addition, the areas of bars and strands in a slice
are subtracted from the area of concrete in a slice.
The two following graphs are examples of the output from LPile for curves of moment
versus curvature and ending stiffness versus bending moment. These graphs are examples of the
output from the presentation graphics utility that is part of LPile. Both of these graphs were
exported as enhanced Windows metafiles, which were then pasted into this document.
1,000
950
900
850
800
750
700
650
Moment, kN-m
600
550
500
450
400
350
300
250
200
150
100
50
0
0.0 0.005 0.01 0.015 0.02
Curvature, radians/m
182
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
600,000
550,000
500,000
450,000
400,000
350,000
EI, kN-m²
300,000
250,000
200,000
150,000
100,000
50,000
0
0 100 200 300 400 500 600 700 800 900
Bending Moment, kN-m
9,000
8,500
8,000
7,500
Unfactored Axial Thrust Force, kN
7,000
6,500
6,000
5,500
5,000
4,500
4,000
3,500
3,000
2,500
2,000
1,500
1,000
500
0
0 200 400 600 800 1,000 1,200
Unfactored Bending Moment, kN-m
183
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
0.838 m 0.7817 m
Figure 5-9 Example Pipe Section for Computation of Plastic Moment Capacity
184
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
8,000
7,500
7,000
6,500
6,000
5,500
5,000
Moment, kN-m
4,500
4,000
3,500
3,000
2,500
2,000
1,500
1,000
500
0
0.0 0.001 0.002 0.003 0.004 0.005 0.006 0.007 0.008 0.009 0.01 0.011 0.012 0.013 0.014 0.015
Curvature, radians/m
The expression for the plastic moment capacity Mp is the product of the yield stress fy and
plastic modulus Z.
M p = f y Z ..........................................................(5-23)
Referring to the dimensions shown in Figure 5-9, the plastic modulus Z of the pipe is
Z=
(d 3
o − di3 )
= 1.847 × 10− 2 m 3
6
185
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
( )( )
M p = 4.14 × 105 kPa 1.847 m 3 = 7,647 kN - m
As expected, the value of Mp computed from the plastic modulus is slightly larger than
the 7,488 kN-m from the computed solution at a strain of 0.0149 rad/m. However, the close
agreement and the slight over-estimation provide confidence that the computer code computes
the plastic moment capacity accurately.
Another check on the accuracy of the computations is to examine the computed bending
stiffness in the elastic range. From elastic theory, the bending stiffness for the example problem
is
π (d o4 − di4 )
EI = E
64
(
= 2 × 10 kPa
8
) (
π (0.838 m )4 − (0.7817 m )4
64
)
= 1,175,726 kN - m 2
The value computed by LPile is 1,175,686 kN-m2. The error in bending stiffness for the
computed solution is 0.0035 percent, which is amazingly accurate for a numerical computation.
Please note that the fifth through seventh digits in the above values are shown to be able to
illustrate the comparison and are not indicative of the precision possible in normal computations.
Often, engineers use specified material strengths that are usually exceeded in reality.
The reason that the bending stiffness value computed by LPile is slightly smaller than the
full plastic yield value is that the stresses and strains near the neutral axis remain in the elastic
range. The stress distribution for a curvature of 0.015 rad/m is shown in Figure 5-11.
Approximately, the middle third of this section is in the elastic range.
186
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
414,000 kPa
0.138 m
0.838 m 0.7817 m
φ = 0.015 rad/m
187
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
The value usually ranges from 600 to 1,200 psi (4,140 to 8,280 kPa), but accurate values can
only be found from the manufacturer of the piles. The value of prestress will vary by
manufacturer from region to region and will also vary with the shape, size, and compressive of
the concrete. For most commercially obtained prestressed piles, Fps can be estimated by
assuming some level of initial prestressing in the concrete. Given a value of Fps the program
solves the statically indeterminate problem of balancing the prestressing forces in the concrete
and reinforcement using the nonlinear stress-strain relationships selected for both concrete and
reinforcing steel.
The stress-strain relationships used in prestressed concrete is defined using the stress-
strain curves of concrete recommended by the Design Handbook of the Prestressed Concrete
Institute (PCI), as shown in Figure 5-12 and in equation form in Equations 5-24 to 5-27.
270
270 ksi
250
250 ksi
Minimum yield strength = 243 ksi at 1%
Elongation for 270 ksi (ASTM A 416)
230
Minimum yield strength = 225 ksi at 1%
Stress, ksi
210
190
170
150
0 0.005 0.01 0.015 0.02 0.025 0.03
Strain, in/in
Figure 5-12 Stress-Strain Curves of Prestressing Strands Recommended by
PCI Design Handbook, 5th Edition.
188
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
0.04
ε ps > 0.0076; f ps = 250 − (ksi) ................................(5-25)
ε ps − 0.0064
0.04
ε ps > 0.0086 : f ps = 270 − (ksi) .................................(5-27)
ε ps − 0.007
PCI does not have any recommendations for grade 300 strands, which are not widely
available. The above equations were used as a model to develop a stress-strain relationship for
grade 300 strands. The equations are:
0.0835
ε ps > 0.0088846 : f ps = 300 − (ksi) .............................(5-29)
ε ps − 0.0071
Fps = σ c Ac ...........................................................(5-30)
where σc is the prestress in the concrete and Ac is the cross-sectional area of the concrete.
The user should check the output report from the program to see if the computed level of
prestressed force in the concrete at the initial stage is in the desired range. The computation
procedures for stresses of concrete for a specific curvature of the cross section are the same as
that for ordinary concrete, described in a previous section, except the current state of stresses of
concrete and strands should take into account the initial stress conditions. The stress levels for
189
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
both concrete and strands under loading conditions should be checked to ensure that the stresses
are in the desired range.
Elementary considerations show that a distance from the end of a pile is necessary for the
full transfer of stresses from reinforcing steel to concrete. The development length of the strand
is not computed in LPile. Usually the zone of development is about 50 × the axial strand
diameter from the end of the pile.
Typical cross sections of prestressed piles are square solid, square hollow, octagonal
solid, octagonal hollow, round solid, or round hollow, are shown in Figure 5-13.
5-4 Discussion
Use of the mechanistic method of analysis of moment-curvature relations by hand is
relatively straightforward for cases of simple cross sections. Use of this method becomes
significantly more laborious when using geometrical values for complex cross sections and
nonlinear stress-strain relationships of concrete and steel or when including the effect of
prestressing in the case of prestressed concrete piles. Thus, use of a computer program is a
necessary feature of the method of analysis presented here.
A new user to the program may wish to practice using LPile by repeating the solutions
for the example problems. When LPile is employed for any problem being addressed by the user,
some procedure should be employed to obtain an approximate solution of the section properties
in order to verify the results and to detect gross input errors.
190
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
191
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
192
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
Thickness Compact
Flange
Weight Area, A Depth, d Ixx Iyy Section
Width, b
Criteria
Section
lb/ft in2 in Flange, tf Web, tw in4 in4 F'y
in
kg/m cm2 mm in. in. cm4 cm4 ksi
mm
mm mm MPa
193
Chapter 5 – Computation of Nonlinear Bending Stiffness and Moment Capacity
194
Chapter 6
Use of Vertical Piles in Stabilizing a Slope
6-1 Introduction
The computation of slope stability is a problem often faced by geotechnical engineers.
Numerous methods have been presented for making the necessary analyses; one of the first of
these available as a computer solution was the simplified method of slices developed by Bishop
(1955). Over the years, there have been additional developments for analyzing slope stability.
For example, the method of Morgenstern and Price (1965) was the first method of analysis that
was capable of solving all equations of equilibrium for a limit analysis of slope stability. The
widely used computer programs UTexas4, Slope/W, and Slide implement modern developments
in computation of slope stability. In view of advances in methods of analysis, the availability of
computer programs, and numerous comparisons of results of analysis and observed slope
failures, many engineers will obtain approximately identical factors of safety for a particular
problem of slope stability. This chapter is written with the assumption that the user is familiar
with the theory of slope stability computations and has a computer program available for use.
In spite of the ability to make reasonable computations, there are occasions when
engineering judgment may indicate the need to increase the factor of safety for a particular slope.
There are a large number of methods for accomplishing such a purpose. For example, the factor
of safety may be increased by flattening the slope, if possible, or by providing subsurface
drainage to lower the water table in the slope.
The method proposed in this chapter presents the engineer with additional option that
might prove useful in some cases. Piles have been used in the past to increase the stability of a
slope, but without an analysis to judge their effectiveness. Thus, a method of analysis to
investigate the benefits of using piles for this purpose is a useful tool for engineers.
195
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
superseded by a more accurate one, additional soil borings or construction may reveal a weak
stratum that was not found earlier, or changes in environmental conditions could have caused a
weakening of the soils in the slope. The use of drilled shaft foundations to strengthen the slope
might then be considered.
Available right-of-water in urban areas may be limited or extremely expensive with the
result that the design of a slope with an adequate factor of safety against sliding is impossible. A
cost study could reveal whether or not it would be preferable to install a retaining wall or to
strengthen the slope with drilled shafts.
196
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
about 5 meters (16.4 ft) below the ground surface. A total of 100 steel pipe piles, 319 mm (12.6
in.) in diameter were installed in the slide over a period of three years. Computations indicated
that the presence of the piles increased the factor of safety against sliding by about 0.18, which
was sufficient to prevent further movement. Strain gages were installed on five of the piles and
these piles were recovered after some time. At least two of the piles were fractured due to
excessive bending moment.
Hassiotis and Chameau (1984) and Oakland and Chameau (1986) present brief
descriptions of a large number of cases where piles have been used to stabilize slopes. The
authors present a detailed discussion of the use of piles and drilled piers in the stabilization of
slopes.
M
hp
Figure 6-2 Forces from Soil Acting Against a Pile in a Sliding Slope, (a) Pile, Slope, and Slip
Surface Geometry, (b) Distribution of Mobilized Forces, (c) Free-body Diagram of Pile Below
the Slip Surface
The principles of limit equilibrium are usually employed in slope stability analysis. The
influence of stabilizing piles on the factor of safety against sliding is illustrated in Figure 6-3.
The resultant of the resistance of the pile, T can be included in the analysis of slope stability.
197
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
Therefore, a consistent assumption is that the sliding soil has moved a sufficient amount that the
peak resistance from the soil has developed against the pile. If one considers the force acting on a
pile from a wedge of soil with a sloping surface, the force parallel to the soil surface is larger
than if the surface were horizontal. However, a reasonable assumption is that the peak resistance
acting perpendicular to the pile can be found from the p-y curve formations presented in Chapter
3.
R
z
Safety factor for moment equilibrium considering the same forces as above,
plus the effect of the stabilizing pile is expressed as:
F= ∑ c′LR + ∑ (P − uL )R tan φ ′ + Tz
∑WX
Where T is the average total force per unit length horizontally resisting soil
movement and z is the distance from the centroid of resisting pressure to
center of rotation.
Figure 6-3 Influence of Stabilizing Pile on Factor of Safety Against Sliding
198
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
versus depth as a distributed lateral force for depths above the sliding surface as shown in
Figure 6-2(b) and analyze the pile again using LPile.
5. Compare the maximum bending moment found in Step 4 with the nominal moment
capacity from Step 3. At this point, an adjustment of the size or geometry of the pile may
or may not be made, depending on the results of the comparison. Note that in general, the
presence of the piles may change the position of the sliding surface, which will also
change the maximum bending moment developed in the pile. However, in some cases,
the position of the sliding surface will be known because of the location of a weak soil
layer, and, in any case, it is unlikely that the position of the sliding surface will be
changed significantly by the presence of the piles.
6. Employ the resisting shear and moment in the slope stability analysis used in Step 1 and
find the new position of the sliding surface. While only one pile is shown in Figure 6-3,
one or more rows of piles are most likely to be used. In such a case, the forces due to a
single pile should be divided by the center-to-center spacing along the row of piles prior
to input to the slope stability analysis program because the two-dimensional slope
stability analysis is written assuming that the thickness of the third dimension is unity.
Some programs for slope stability analysis can use the profile of distributed loads in the
computation of the new sliding surface.
7. Change the depth of sliding, hp, to the depth of sliding employed in Step 4, obtain new
values of M and P, and repeat the analyses until agreement is found between that surface
and the resisting forces for the piles. Also, the geometry of the piles should be adjusted so
that the maximum bending moment found in the analyses is close to the ultimate moment
capacity of the piles.
8. Finally, compare the factor of safety against sliding of the slope with no piles to that with
piles in place and determine whether or not the improvement in factor of safety justifies
the use of the piles.
199
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
Computed hp
Assumed hp
200
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
1.5 × 105 kPa, a value that shows the loading on the pile from the sliding soil to be very low.
Therefore, it was concluded that the driving force from the moving soil was far from its
maximum value. The positive conclusion from this field test is that the bending-moment curve
given by Fukuoka had the general shape that would be expected.
At another site at the Higashi-tono landslide, Fukuoka described an experiment where a
number of steel-pipe piles were used in a sliding soil. Some of them were removed after a
considerable period of time and found to have failed in bending. One of them had a diameter of
318.5 mm and a wall thickness of 10.3 mm. The collapse moment for the pipe was computed to
be 241 kN-m. Assuming a triangular distribution of earth pressure on the pile from the sliding
mass of soil, which had a thickness of 5 m, the undrained shear strength that was required to
cause the pile to fail was 10.7 kPa. The author merely stated that the soil had a NSPT that was less
than 10 bpf. That value of NSPT probably reflects an undrained shear strength that encompasses
the computed strength to cause the pile to fail.
Elevation, m
80
75
Fill
c = 47.9 kPa
70 γ = 19.6 kN/m3
Silt
65 c = 23.9 kPa
cresidual =12.4 kPa
γ = 17.3 kN/3m3
60 Clay
Sand
c = 36.3 kPa
γ = 19.6 kN/m3
φ = 30 to 40 deg. γ = 17.3 kN/m3
55
Figure 6-5 Soil Conditions for Analysis of Slope for Low Water
The undrained analysis for the sudden-drawdown case was made based on the Spencer's
method, and the factor of safety was found to be 1.06, a value that is in reasonable agreement
201
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
with observations. Plainly, some method of design and construction would be necessary in order
for bridge piers to be placed at the site. The method described herein was employed to select
sizes and spacing of drilled shafts that could be used to achieve stability.
A preliminary design is shown in Figure 6-6, but not shown in the figure is the distance
along the river for which the slope was to be stabilized. Drilled shafts were selected that were
915 mm (3 ft) in diameter and penetrated well below the sliding surface, as shown in the figure.
Further, as shown in the figure, it was found that the tops of the shafts had to be restrained with
grade beam anchored in stable soil. The use of the grade beam was required because of the depth
of the slide. The results of the analysis, for each of the groups perpendicular to the river, gave the
following loads at the top of the drilled shafts: Shafts 1, 2, and 3, +1,090 kN; Shaft 4, –1,310 kN;
and Shaft 5, –1,690 kN. The member connecting the tops of the 5 piles would be designed to
sustain the indicated loading. The maximum bending moment for Shaft 5 was about 6,250 kN-m,
which would require heavy reinforcement. The computed bending moments for the other drilled
shafts was much smaller.
With the piles in place and with the restraining forces of the piles against the sliding soil,
shown Figure 6-7, a second analysis was performed to find the new factor of safety against
sliding. The value that was obtained was 1.82. This result was sufficient to show that the
technique was feasible. However, in a practical design, a series of analyses would have been
performed to find the most economical geometries and spacings of the piles in the group.
Pile Row 1 2 3 4 5
5.5 m
Grade Beam
30 m
202
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
Elevation, m
80
48 kPa
48 kPa
75
70
108 kPa
108 kPa
65
71 kPa
71 kPa
60
55
6-6-3 Conclusions
The results predicted by the proposed design method are compared with results from
available full-scale experiments. The case studies yield information on the applicability of the
proposed method of analysis.
A complete analysis for the stability of slopes with drilled shafts in place is presented.
The method of analysis is considered to be practical and can be implemented by engineers by
using readily available methods of analysis. The benefits of using the method is that rationality
and convenience are indicated that have not been previously available.
203
Chapter 6 – Use of Vertical Piles in Stabilizing a Slope
204
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208
Name Index
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210
Name Index
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211
References
212
Name Index
213
References
Koch, K. J. .................................................. 4 Reese, L. C.4, 18, 50, 52, 54, 58, 61, 62, 73,
Kooijman, A. P. ........................................ 54 80, 82, 85, 86, 90, 91, 95, 101, 116, 121,
122, 127, 131, 149, 163
Koop, F. D........... 50, 52, 61, 62, 73, 90, 116
Ripperger, E. A. .................................. 49, 52
Kubo, K................................................... 152
Rojas-Gonzalez, L..................................... 16
Kulhawy, F. D......................................... 137
Rollins, K. M................................... 102, 103
Lane, J. D. ............................................... 102
Schmertmann, J. H.................................. 122
Lee, L. J................................................... 100
Seed, R. B. .............................................. 102
Liang, R................................................... 135
Sherard, J. L. ............................................. 62
Long, J. H................................ 13, 62, 63, 77
Shields, D. H. .................................... 18, 101
Malek, A. M.............................................. 11
Simpson, M............................................. 141
Marinos, P. ...................................... 139, 140
Skempton, A. W.................................. 63, 64
Matlock, H. . 4, 19, 49, 52, 67, 69, 71, 73, 86
Smith, T. D................................................ 85
McClelland, B. .............................. 18, 64, 66
Speer, D........................................... 123, 132
Meyer, B. J................................................ 85
Stevens, J. B.............................................. 85
Morgenstern, N. R................................... 194
Stokoe, K. H.............................................. 52
Morrison, C. M. ........................................ 54
Sullivan, W. R........................................... 85
Murchison, J. M. ..................................... 100
Terzaghi, K. ...................... 14, 63, 66, 85, 90
Newman, F. B. .......................................... 16
Thompson, G. R.................................. 16, 54
Nusairat, J. .............................................. 135
Timoshenko, S. P. ..................................... 39
Nyman, K. J. ........................................... 122
Vesić, A. S. ............................................... 53
O’Neill, M. W.4, 61, 62, 63, 73, 85, 100,
130 Wang, S.-T. ............. 28, 58, 62, 63, 101, 163
214
215