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Numerical Analysis of Rock-Socketed Piles under Combined Vertical-Lateral

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Article in Procedia Engineering · December 2017

DOI: 10.1016/j.proeng.2017.05.244

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Procedia Engineering 191 (2017) 776 – 784

Symposium of the International Society for Rock Mechanics

Numerical Analysis of Rock-Socketed Piles under Combined

Vertical-Lateral Loading
A.P. Singha, T. Bhandarib, R. Ayothiramana*, K. Seshagiri Raoa
a
Department of Civil Engineering, IIT Delhi, New Delhi-110016, India
b
Engineer SMEC (India) Pvt. Ltd., Gurgaon-122016, India

Abstract

This paper presents the results of numerical analysis carried out using PLAXIS 3D on behaviour of rock-socketed pile subjected
to independent and combined loading. The numerical procedure adopted in the analysis was validated by comparing the load test
results reported in the literature. After validation of the numerical analyses, the parametric analysis were performed on the rock-
socketed pile subjected to independent loading and combined loading for different rock conditions, soil cover depths and
socketing lengths. From the results of parametric study, it is found that the vertical and lateral load capacities under combined
loading are not significantly affected, when the soil cover depth is high. However, if the soil cover depth is low, then
the behaviour of rock-socketed pile under combined loading is found to be significantly different, compared to its behaviour
under independent loading. It is also seen that the rock conditions and socketing length have profound effect on pile behaviour
under combined loading.
© 2017
© 2017Published
The Authors. Published
by Elsevier by Elsevier
Ltd. This Ltd.
is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the organizing committee of EUROCK 2017.
Peer-review under responsibility of the organizing committee of EUROCK 2017
Keywords: Rock socketed pile; Rock; Numerical model; Vertical load; Lateral load; Combined loading

1. Introduction

In the present construction activities, large diameter bored piles are being used to carry heavy loads from super
structures. These heavy loads are essentially to be taken to bed rock level and socketed into rock, when top soil is
weak. In the piling specifications, socketing in solid/hard rock is usually specified for termination criteria. But, in

* Corresponding author. Tel.: +91-11-2659-1188; fax: +91-11-2658-1117.

E-mail address: araman@civil.iitd.ac.in

1877-7058 © 2017 Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the organizing committee of EUROCK 2017
doi:10.1016/j.proeng.2017.05.244
 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784 777

many cases, the depth at which hard rock strata is available is very large such that the termination of pile upto
that level becomes uneconomical. Therefore, the capacity of pile needs to be increased by utilizing the shaft
resistance provided by the soft rocks. Many researchers [1–9] have studied the load transfer process in rock-socketed
piles through model and field tests and theoretical analysis.
Many designers prefer to design drilled shafts to take load in side shear only rather than combined side shear and
end bearing because the amount of movement required to mobilize side shear is relatively small, while that required
to mobilize end bearing is relatively large [10]. Both empirical and analytical methods have been used to predict
the ultimate unit side shear of rock sockets [5]. Empirical methods are generally based on full-scale load tests in
which the ultimate unit side shear is back-calculated from instrumentation. The ultimate unit side shear (fmax) is then
related to the unconfined compressive strength of the soil/rock (qu) using empirical constants, usually denoted α, β
and c as

fmax = αβ(qu)c (1)

Relationships for relating the ultimate side shear to the unconfined compressive strength of the rock follow two
major expression i.e. simple linear expression and power function. Whether the relation between fmax and qu is better
represented by a power function or a linear function depends mainly on the range of qu considered. The linear
function proposed by Carter and Kulhawy [11] is only applicable for qu between 1.7 and 2 MPa, whereas the power
function applies over a wider range. Zhang [9] concluded that extensive studies of load test data by Williams and
Pells [12] and Kulhawy and Phoon [13] indicated that the power-curve relationship is closer to the real case. O.Neill
et al. [11] concluded that a unique value of α does not exist and more parameters than just qu are required to make
accurate predictions of fmax. Williams and his colleagues [12, 14] developed a semi-empirical method where α
reflects variations in the intact strength of the rock and β is an adjustment factor to account for seams of softer
material in the rock.
A range of analytical tools are available to foundation designers to consider rock sockets under lateral and
moment loading. Several analytical methods falling into two general categories: continuum methods [7, 15] and
Subgrade reaction approach [16, 17] have been proposed that attempt to model laterally loaded rock-socketed drilled
shaft response. Carter and Kulhawy [15] presented a method to determine the rock capacity by using cohesion and
friction angle of rock treating rock mass as a homogeneous and elasto-plastic material, without considering
secondary structures of rock mass, such as cracks and fractures. Reese [18] considered the secondary structure of
rock mass by using a rock strength reduction factor which can be determined from Rock Quality Designation
(RQD). Zhang et al. [9] proposed a method to estimate the ultimate reaction of rock masses per unit shaft length
using Hoek-Brown rock strength criterion, in which the effects of RQD and other secondary rock structures were
included. To et al. [19] proposed a method to estimate the lateral load capacity of drilled shafts in jointed rock. Yang
[20] identified two modes of failure i.e. planner wedge failure mode for rock mass at or near ground surface, and
strength controlled failure mode for rock at great depth based on stress and deformation fields around the shaft.
A common application of rock-socketed piles is found in foundations that experience both vertical, lateral and
uplift loading simultaneously. Therefore it is important to study the behaviour of rock-socketed piles under
the combined action of vertical and lateral loads. Although there are some studies reported on pile behaviour under
combined loading in soils, such studies on the response of rock-socketed piles under the combined loading is
scarcely reported. The current design practice for piles is to consider the vertical and lateral loads independently.
Thus, there is a great need for addressing this problem through research. This paper presents the results of numerical
analysis carried out using PLAXIS 3D on effect of combined loading in behaviour of rock-socketed piles.

2. Validation problems

2.1. Validation for vertical loading

Four case studies of vertical load tests on rock-socketed pile were selected for validation, but the results of case
study is presented herein (BTP2, reported by [21]).The details of site conditions of a case study and the properties
used in the analysis are presented in Table 1. The load-settlement curve predicted from the Finite Element (FE)
778 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784

analysis is compared with the reported measured load-settlement curve as shown in Fig. 1a. It is seen from the figure
that there is close agreement between the predicted and measured pile behaviour, thus confirming the efficacy of
procedure of numerical analysis of rock-socketed pile under vertical loading.

Table 1. Site conditions and properties of case study (BTP2).

Material Depth (m) E (MPa) Rinter C (kPa) Φ (o) ν γdry(kN/m3) γsat(kN/m3)

Highly Weathered Sandstone 0–6.9 95 1 23.095 30 0.25 22 23

Moderately Weathered Sandstone 6.9–9.9 115 1 48.090 31 0.25 24 25

Slightly Weathered Sandstone 9.9–20 120 1 49.88 32 0.25 25 26

Pile 0–9.9 26000 1 - - 0.2 24 -

Fig. 1. Predicted and measured load-settlement curve under (a) Vertical load and (b) Lateral load.

2.2 Validation for lateral loading

One case study was selected for validation in which the pile was tested under lateral loading (JEF-152-1.3 site, as
reported by [17]). The pile was embedded in mudstone. The test site was located in Jefferson County, Ohio.
The details of site conditions and properties of soil, rock and pile used in the analysis are given in Table 2. The load-
deflection curve predicted from the FE analysis is compared with the reported measured load-deflection curve as
shown in Fig. 1b. It is seen from the figure that there the predicted deflection behaviour fairly matches with
the measured pile deflection.

Table 2. Site conditions and properties of case study (JEF-152-1.3 Site).

Material Depth(m) E(MPa) Rinter C(kPa) Φ(o) ν γdry(kN/m3) γsat(kN/m3)

Soil 0–7.92 4 0.1 3 25 0.3 16 18

Rock (Red Mudstone) 7.92–30 91.7 1 200 29.7 0.35 23 24

Pile 0–12.5 29690 1 - - 0.2 24 -

 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784 779

3. Piles under combined vertical–lateral loading

To analyze combined loading, one needs to first analyze the behaviour of pile under independent loading. There
are various influencing parameters viz., socket length, soil cover, pile length on combined loading, i.e., effect of
vertical load on lateral load carrying capacity and effect of lateral load on axial load carrying capacity of pile have
been analyzed with the use of finite element software, PLAXIS 3D.For all the cases, a two layer model of soil-rock
is considered as shown in Fig. 2, in which the top layer is soil cover and bottom layer is rock. The soil and rock are
modeled as Mohr-Coulomb material and the concrete pile is modeled as linear-elastic non-porous material.
The properties of soil and rock used in the analysis are summarized in Table 3. All analyses were carried out
considering the water table at ground surface and drained analyses for soil and rock was attempted. The boundaries
for the model were taken as 20 times the diameter of pile in x and z-direction and 2 times the length of pile in y-
direction.

Fig. 2. Typical FE model.

Table 3. Material properties used in FE model.

Depth E c ϕ γdry γsat
Material Rinter ν
(m) (MPa) (kPa) (o) (kN/m3) (kN/m3)
Soil (Sand) Lo 15 0.67 0.1 30 0.3 16 18

Rock (Soft) Ls 2000 0.67 100 40 0.35 22 24

Pile Lo+Ls 29580 1 - - 0.2 24 -

4. Discussion of results

4.1. Independent vertical loading

The typical load settlement curve for various socketing lengths with a soil cover of 5 m is presented in Fig. 3. It
seen from the figure that the increase in the load carrying capacity of the pile with increase in socket length is not
significant, especially when soil cover depth increases. Typical load versus settlement at pile head and pile toe is
shown in Fig. 4.
780 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784

Fig. 3. Vertical load-settlement curve. Fig.4. Load-settlement at head and toe of pile.

The difference between the settlement of pile head and pile toe approximately represents the elastic compression
of pile material. It is that when the socket length increases the elastic compression of the pile also increases due to
increased total length of the pile as shown in Fig. 4. Load carrying capacities were determined for each case using
the method suggested by Indian Standard (IS 14953[22]) code of practice and from the load settlement curves
obtained by numerical analysis in PLAXIS 3D. Side shear resistance offered by soil was also considered while
predicting the ultimate capacity of the pile by IS method. For estimating ultimate capacity from load settlement
curve, a limiting settlement of 12 mm was considered. Comparison of vertical load carrying capacity is presented in
Table 4.

Table 4. Load carrying capacity in compression.

IS 14593[22] PLAXIS 3D
Ls/D
Qu Se Si S Q1 Q12mm
(kN) (mm) (mm) (mm) (kN) (kN)
3 6635 4.36 3.09 7.45 7600 11500
5 8679 5.71 4.04 9.75 10900 13000
10 13945 9.17 6.49 15.66 15950 14200
Table 4 should be read with the notations as:
Qu= Ultimate capacity of pile in compression
Se= elastic compression of pile material
Si= immediate settlement of pile
S= total settlement of pile
Q1= load corresponding to total settlement
Q12mm= load corresponding to 12 mm settlement

4.2. Independent lateral loading

The typical load deflection curve predicted for rock socketed pile under independent lateral loading is shown in
Fig. 5.
 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784 781

Fig. 5. Load-deflection curve for soil cover (a) effect of socket length and (b) effect of soil cover.

It is observed from the figure that the lateral load capacity is affected by the length of soil cover rather than
the socket length. A sharp increase in lateral load carrying capacity is observed for soil cover of 5 m as the depth of
fixity lies in the embedment in rock. But, as the soil cover increases, the lateral capacity is governed by soil rather
than rock. Analysis was carried out with constant total length of pile of 22 m, but with different socket length.
Lateral load carrying capacities were determined for each case using the method suggested by IS 14953:1998 and
from the load deflection curves obtained by numerical analysis in PLAXIS 3D. Comparison of results is presented in
Table 5. It is seen from the tale that lateral pile capacity obtained from FE analysis fairly matches with the values
estimated by IS code procedure.The deflection versus depth profiles were also generated using PLAXIS 3D and
a typical deflection profile of pile is shown in Fig. 6.

Table 5. Lateral load carrying capacity.

Ls/d IS 14593[22] PLAXIS

3 256.42 244.00

5 256.42 246.90

10 256.42 255.30

Fig. 6. Deflection versus Depth Profile for Ls=10D.

782 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784

4.3. Effect of vertical load on lateral response of pile

The behaviour of rock-socketed pile under the combined vertical and lateral loads was studied after applying
the load in three stages i.e., initial stresses, vertical loading and lateral loading while keeping vertical load constant.
In PLAXIS 3D the loading was simulated as given in Table 6.

Table 6 Simulation of combined vertical-lateral loading.

Load (kN)
Phase
X (Lateral) Y (Vertical)
Initial 0 0
Vertical 0 -2200
Lateral 750 -2200

The load-deflection curve obtained from the analysis combined loading is compared with that of the independent
loading as shown in Fig. 7. It is seen from the figure that when axial loading of 2200 kN was applied, there was
lateral deflection of about 1.5 mm was noticed even without lateral load. This deflection may be due to Poisson’s
ratio effect under vertical load, i.e. when large axial load was applied, the pile material not only develop axial strain
in the loading direction, but would also experience lateral strain due to Poisson’s ratio. This may results in lateral
deflection of the nodes at pile periphery. Subsequently when the lateral load was applied in increments with
the presence of vertical load, it was noticed that the lateral deflection was increasing under combined load for small
socket length (3D) of pile (Fig. 7a). But for other socket lengths, the load-deflection curves for both independent and
combined loading are almost parallel, thus the combined loading has insignificant effect. But, it is seen from Fig. 7d
that the combined loading is not significantly affecting even for Ls = 3D, if the vertical load is with safe load limits.

Fig. 7. Load-Deflection curve with combined Vertical-Lateral Loading for (a) Ls= 3D (b) Ls=5D (c)Ls=10D and (d) Ls= 3D with V = Qsafe.
 A.P. Singh et al. / Procedia Engineering 191 (2017) 776 – 784 783

4.4. Effect of lateral load on vertical response of pile

The behaviour of rock-socketed under the combined effect lateral and vertical loads was studied. To simulate
the case, loading was applied in three stages: Initial Stresses, Lateral Loading of 240 kN and then Vertical Loading
while keeping lateral load constant. The typical load–settlement curve for combined loading is shown in Fig. 8. It is
observed from Fig. 8 that that the vertical load-settlement response is not affected by the presence of lateral load, as
these load magnitude is very small and also the soil cover depth is high.

Fig. 8. Typical Load-Settlement curve with combined Vertical-Lateral Loading for Ls= 3D.

5. Summary and conclusions

Behaviour of rock-socketed pile was studied under independent vertical, lateral loads and under combined loads,
through numerical analysis. Based on the analysis, the following conclusions are drawn:
1. The total pile length is an important parameter while arriving at the load carrying capacity of pile in axial
compression. This is due to the fact that under the action of high loads for which the sockets are designed,
the elastic compression of the pile becomes significant in controlling the limiting settlement for the pile.
2. Vertical load-settlement behaviour of rock-socketed pile under the combined loading is not significantly
different from independent loading, for different socket length, but the soil cover depth affects it
significantly.
3. Lateral load-deflection behaviour of rock-socketed pile under the combined loading is affected by both
socket length and cover depth.
4. It was observed that the vertical load carrying capacity is not affected by the lateral load applied upto safe
load limits in piles with substantial soil cover. This is because the vertical load carrying capacity is
governed by the rock socket while in lateral loading only the strength of top soil cover is mobilized.

References

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