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1 Laterally Loaded Piles 1 Soil Response Modelled by p-y Curves In order to properly analyze a laterally loaded pile foundation in soil/rock, a nonlinear relationship needs to be applied that provides soil resistance as a function of pile deflection. The drawing in Figure 1-1a shows a cylindrical pile under lateral loading. Unloaded, there is a uniform distribution of unit stresses normal to the wall of the pile as shown in Figure 1-1b. When the pile deflects a distance of y1 at a depth of z1, the distribution of stresses looks similar to Figure 1-1c with a resisting force of p1: the stresses will have decreased on the backside of the pile and increased on the front, where some unit stresses contain both normal and shearing components as the displaced soil tries to move around the pile. Figure 1-1: Unit stress distribution in a laterally loaded pile When it comes to this type of analysis, the main parameter to take from the soil is a reaction modulus. It is defined as the resistance from the soil at a point along the depth of the pile divided by the horizontal deflection of the pile at that point. RSPile defines this reaction modulus (Epy) using the secant of the p-y curve, as shown in Figure 1-2. p-y curves are developed at specific depths, indicating the soil reaction modulus is both a function of pile deflection (y) and the depth below the ground surface (z). More information will be given on the p-y curves used in a later section. Figure 1-2: Generic p-y curve defining soil reaction modulus

2 2 Governing Differential Equation The differential equation for a beam-column, as derived by Hetenyi (1946), must be solved for implementation of the p-y method. The conventional form of the differential equation is given by Equation 1: d 4 y E p I p dx 4 + P d 2 y x dx 2 + E pyy W = 0 Equation 1 Where y = Lateral deflection of the pile E p I p = Bending stiffness of pile P x = Axial load on pile head E py = Soil reaction modulus based on p-y curves W = Distributed load down some length of the pile Further formulas needed are given by Equations 2 4: d 3 y E p I p dx 3 + P dy x dx = V Equation 2 E p I p d 2 y dx 2 = M Equation 3 dy dx = S Equation 4 Where V = Shear in the pile M = Bending moment of the pile S = Slope of the curve defined by the axis of the pile In the case where the pile is loaded by laterally moving soil, the soil reaction is determined by the relative soil and pile movement. This requires a change to the third term of Equation 1 given by Equation 5: The modified form of the differential equation now becomes E py (y y soil ) Equation 5 d 4 y E p I p dx 4 + P d 2 y x dx 2 + E py(y y soil ) W = 0 Equation 6 where soil reaction modulus (E py ) is found from the p-y curve using the relative pile soil movement (y y soil ) instead of only the pile deflection (y).

3 Using a spring-mass model in which springs represent material stiffness, numerical techniques can be employed to conduct the load-deflection analysis (Figure 2-1). A moment, shear, axial, and soil movement load are also shown. p Lateral component of moving soil Soil Lateral Resistance (p) p y-y soil y-y soil p y-y soil Pile Bending Stiffness (EI) p Sliding Surface y-y soil p y p y Figure 2-1: Spring mass model used to compute lateral response of loaded piles 3 Finite Difference Method The finite difference form of the differential equation formulates it in numerical terms and allows a solution to be achieved by iteration. This provides the benefit of having the bending stiffness (E p I p ) varied down the length of the pile, and the soil reaction (E py ) varied with pile deflection and depth down the pile, required for the p-y method. With the method used, the pile is discretized into n segments of length h, as shown in Figure 3-1. Nodes along the pile are separated by these segments, which start from 0 at the pile head to n at the pile toe with two imaginary nodes above and below the pile head and toe, respectively. These imaginary nodes are only used to obtain solutions. The assumption made that the axial load (P x ) is constant with depth is not usually true. However, in most cases the maximum bending moment occurs at a relatively short distance below the ground surface at a point where the constant value, P x, still holds true. The value of P x also has little effect on the deflection and bending moment (aside from cases of buckling) and therefore it is concluded that this assumption is generally valid, especially for relatively small values of P x.

4 y h h h h y m-2 y m-1 y m y m+1 y m+2 x Figure 3-1: Pile segment discretization into pile elements and soil elements The imaginary nodes above and below the pile head are used to define boundary conditions. Five different boundary equations have been derived for the pile head: shear (V), moment (M), slope (S), rotational stiffness ( M ), and deflection (Y). Since only two equations can be defined at each S end of the pile, the engineer has the ability to define the two that best fit the problem. The two boundary conditions that are employed at the toe of the pile are based on moment and shear. The case where there is a moment at the pile toe is uncommon and not currently treated by this procedure. Therefore moment is set to zero at the toe. Assuming information can be developed that will allow the user to define toe shear stress (V) as a function of pile toe deflection (y), the shear can be defined based on this user defined function. Error is involved in using this method when there is a change in bending stiffness down the length of the pile (i.e. tapered or plastic piles): The value of E p I P is made to correspond with the central term for y (y m ) in Figure 3-1. This error however, is thought to be small. The assumptions made for lateral loading analysis by solving the differential equation using finite difference method are as follows: 1. The pile is geometrically straight, 2. Eccentric loads are not considered, 3. Transverse deflections of the pile are small, 4. Deflections due to shearing stresses are small. 4 Pile Bending Stiffness For elastic piles, the stiffness of each pile node (E p I P ) is calculated by multiplying the elastic modulus by the moment of inertia of the pile. In analyzing a plastic pile, the yield stress of the steel is required from the user. Currently, plastic analyses can be performed on uniform cylindrical, rectangular, and pipe piles. The analysis is done by performing a balance of forces (tension and compression) in n slices of the pile cross section parallel to the bending axis. This is

5 done at many different values of bending curvature (φ). When the forces in the slices balance around the neutral axis, the moment can be computed. Equation 7 and 8 are used in order to find the bending stiffness based on the moment and curvature. ℇ = φη Equation 7 EI = M φ Equation 8 Where ℇ = Bending Strain φ = Bending curvature η = Distance from the neutral axis M = Bending moment of the pile The stiffness of the pile is then checked against the moment value at the node for each iteration. The relation between moment and stiffness will look like Figure 4-1. As shown, the stiffness remains in the elastic range until yielding occurs, usually at a fairly high moment value. Pile Stiffness, EI 5 Soil Models Moment, M Figure 4-1: Pile segment discretization into pile elements and soil elements Recommendations are presented for obtaining p-y curves for clay, sand, and weak rock. All are based on the analysis of the results of full scale experiments with instrumented piles. Selection of soil models (p-y curves) to be used for a particular analysis is the most important problem to be solved by the engineer. Some guidance and specific suggestions are presented in the text, Single Piles and Pile Groups Under Lateral Loading, 2 nd Edition, by L. Reese and W. Van Impe. This book also provided the tables presented in the different types of soil that follow. A list of the variables used in the equations that follow can be found below: b = diameter of the pile (m) z = depth below ground surface (m) γ = effective unit weight (kn/m 3 ) J = factor determined experimentally by Matlock equal to 0.5 c u = undrained shear strength at depth z (kpa)

6 c a = average undrained shear strength over the depth z (kpa) φ = friction angle of sand 5.1 p-y curves for soft clay with free water (Matlock, 1970) To complete the analysis for soft clay, the user must obtain the best estimate of the undrained shear strength and the submerged unit weight. Additionally, the user will need the strain corresponding to one-half the maximum principal stress difference ℇ50. Some typical values of ℇ50 are given in Table 5-1 according to undrained shear strength. Table 5-1: Representative values of ℇ50 for normally consolidated clays Consistency of Clay Average undrained shear strength (kpa)* ℇ50 Soft < Medium Stiff *Peck et al.1974, pg. 20. The development of the p-y curve for soft clay is presented in Figure 5-1. Figure 5-1: p-y curve for Soft Clay p ult is calculated using the smaller of the values given by the equations below. p ult = [3 + γ c u z + J b z] c ub p ult = 9c u b Equation 9 Equation 10

7 5.2 p-y curves for stiff clay with free water (Reese, et al., 1975) The analysis of stiff clay with free water requires the same inputs as soft clay as well as the value ks with some representative values presented in Table 5-3. Typical values of ℇ50 according to undrained shear strength can be found in Table 5-2. Table 5-2: Representative values of ℇ50 for overconsolidated clays Average undrained shear strength (kpa)* ℇ Table 5-3: Representative values of kpy for overconsolidated clays Average undrained shear strength (kpa)* kpy (static) MN/m kpy (cyclic) MN/m *The average shear strength should be computed from the shear strength of the soil to a depth of 5 pile diameters. It should be defined as half the total maximum principal stress difference in an unconsolidated undrained triaxial test. The development of the p-y curve for submerged stiff clay is presented in Figure 5-2. As is a coefficient based on the depth to diameter ratio according to Figure 5-3, and the variable ks mentioned above is used to define the initial straight line portion of the p-y curve. Figure 5-2: p-y curve for Stiff Clay with water

8 p c is calculated using the smaller of the values given by the equations below. p c = 2c a b + γ bz c a z p c = 11c u b Equation 11 Equation 12 Figure 5-3: Values of constants As and Ac (Reese & Van Impe, 2011) 5.3 p-y curves for stiff clay without free water (Welch & Reese, 1972) The input parameters for stiff clay without free water are the same as for soft clay, but the soil unit weight will not be submerged and the value for ℇ50, should you not have an available stressstrain curve, should be 0.01 or as given in Table 5-2. The larger value is more conservative. The development of the p-y curve for dry stiff clay is presented in Figure 5-4. Figure 5-4: p-y curve for Stiff Clay without water

9 p ult is calculated using the smaller of the values given by the equations below. p ult = [3 + γ c a z + J b z] c ab p ult = 9c u b Equation 13 Equation p-y curves for sand above and below water (Reese, et al., 1974) To achieve a p-y curve for sand, the user must obtain values for the friction angle, soil unit weight (buoyant unit weight for sand below; and total unit weight for sand above the water table). The value kpy is also required and some values are given in Table 5-4 and Table 5-5. Table 5-4: Representative values of kpy for submerged sand Relative Density Loose Medium Dense Recommended kpy (MN/m 3 ) Table 5-5: Representative values of kpy for sand above the water table (Static and Cyclic) Relative Density Loose Medium Dense Recommended kpy (MN/m 3 ) The development of the p-y curve for sand is presented in Figure 5-5. The variable kpy mentioned above is used to define the initial straight line portion of the p-y curve. The soil resistance, pk, and pile deflection, yk, are calculated from pm, pu, ym, and yu. If yk is greater than yu then the p-y curve is linear from the origin to yu, pu. Figure 5-5: p-y curve for Sand p u and p m are calculated using the smaller of the values given by p s in the equations below, multiplied by coefficients A and B from Figure 5-6.

10 α = φ 2, β = 45 + φ 2, K 0 = 0.4, K a = tan 2 (45 φ 2 ) p s = γz [ K 0z tan φ sin β tan(β φ) cos α + tan β (b + z tan β tan α) tan(β φ) + K 0 z tan β (tan φ sin β tan α) K a b] p s = K a bγz(tan 8 β 1) + K 0 bγz tan φ tan 4 β Equation 15 Equation 16 p u = A s p s, p m = B s p s Figure 5-6: Coefficients for soil resistance versus depth (Reese & Van Impe, 2011) 5.5 p-y curves for weak rock (Reese & Nyman, 1978) For the design of piles under lateral loading in rock, special emphasis in necessary in the coring of the rock. Designers must address the potential weakness of the rock in a case by case manner, therefore reliance on the method presented is limited. When it comes to intermediate materials (rock and strong soil), designers may wish to compare analysis performed by stiff clay and this method. It is noted that bending stiffness of the pile must reflect non-linear behavior in order to predict loadings at failure. The input parameters required for this method are, uniaxial compressive strength, reaction modulus of rock, the rock quality designation (percent of recovery), and a strain factor krm ranging from to krm can be taken as the compression strain at fifty percent of the uniaxial compressive strength.

11 The development of the p-y curve for weak rock is presented in Figure 5-7. The ultimate resistance for rock, pur, is calculated from the input parameters. The linear portion of the curve with slope Kir defines the curve until intersection with the curved portion defined in the figure. Figure 5-7: p-y curve for Weak Rock p ur is calculated using the smaller of the values given by the equations below. α r = 1 ( 2 RQD% 3 100% ) p ur = α r q ur b ( z r b ) p ur = 5.2α r q ur b Equation 17 Equation 18 6 Layered Soil Profile: Method of Georgiadis The method of Georgiadis is based on the determination of the equivalent depth of every soil layer existing below the top layer. Since p-y curves are developed based on the depth into the soil, this is very important. To find the equivalent depth (z2) of the layer existing below the top, the integrals of the ultimate soil resistance over depth are equated for the two layers with z1 as the depth of the top layer. The values of pult are computed from the soil properties as noted above. z 1 F 1 = p ult1 dz F 1 = 0 z 2 0 p ult2 dz Equation 19 The p-y curves of the second layer are computed starting at z2 (actual depth, z1) moving down as you would until another layer is hit in terms of actual depth. This concept can be carried down for the rest of the existing layers the pile is in

12 7 Ground Slope and Pile Batter RSPile allows the input of a ground slope and a pile batter angle. In order to incorporate this into the analysis, the effective slope (θ) is calculated from the difference between the pile batter angle and the ground slope. Sign convention is clockwise positive for both values as shown in the Sign Convention document in the Help menu. This effective slope alters the calculation of the soil resistance for both clay and sand. If there is an effective slope in clay, the ultimate soil resistance in front of the pile is, p ult = [3 + γ z + J c u b z] c 1 ub 1 + tan θ The ultimate soil resistance at the back of the pile is, p ult = [3 + γ z + J c u b z] c cos θ ub 2 cos(45 + θ) Notice the equations are the exact same as Equation 9 for soft clay with additional terms on the end. The same end terms can be applied to Equation 11 for submerged stiff clay and Equation 13 for dry stiff clay. The depth independent equations for ultimate resistance (Equations 10, 12, and 14) remain the same and the smaller of the values is still used. Note: if the effective slope is equal to 0, these equations go back to their original form. If there is an effective slope in sand, the ultimate soil resistance if the pile is deflecting down the slope is, p sa = γh [ K 0H tan φ sin β tan(β φ) cos α (4D 1 3 3D 2 tan β 1 + 1) + tan(β φ) (bd 2 + H tan β tan α D 2 2 ) + K 0 H tan β (tan φ sin β tan α)(4d 1 3 3D ) K a b] The ultimate soil resistance if the pile is deflecting up the slope is, p sa = γh [ K 0H tan φ sin β tan(β φ) cos α (4D 3 3 3D 2 tan β 3 + 1) + tan(β φ) (bd 4 + H tan β tan α D 2 4 ) + K 0 H tan β (tan φ sin β tan α)(4d 3 3 3D ) K a b] Where, H = depth below ground surface (m) K a = cos θ cos θ cos2 θ cos 2 φ D 1 =, cos θ+ cos 2 θ cos 2 φ tan β tan θ, tan β tan θ+1 D 2 = 1 D 1, D 3 = tan β tan θ, 1 tan β tan θ D 4 = 1 + D 3 These equations for ultimate soil resistance in sand replace Equation 15 when there is an effective slope. Equation 16 remains the same and the smaller of the two values is still used.

13 When modelling piles that are in a slope and/or battered, the user either has the option to use the method above by entering ground slope and batter angle, or more commonly, they can choose appropriate p-multipliers to alter the p-y curves. Suggested values are provided in Figure 7-1, however on important projects, a responsible engineer may wish to request full scale testing. Figure 7-1: Proposed factor for modifying p-y curves for battered piles (Reese & Van Impe, 2011) 8 References 1. Reese, L.C. & W.F. Van Impe Single Piles and Pile Groups Under Lateral Loading, 2 nd Edition. London: Taylor & Francis Group. 2. Peck, R.B., W.E. Hanson & T.H. Thorburn Foundation engineering, 2nd edn. New York: Wiley. 3. Matlock, H Correlations for design of laterally loaded piles in soft clay. Proceedings of the II Annual Offshore Technology Conference, Houston, Texas, (OTC 1204): Reese, L.C., W.R. Cox & F.D. Koop Field testing and analysis of laterally loaded piles in stiff clay. Proceedings of the VII Annual Offshore Technology Conference, Houston, Texas, 2(OTC 2312): Welch, R.C. & L.C. Reese Laterally loaded behavior of drilled shafts. Research Report Center for Highway Research. University of Texas, Austin. 6. Reese, L.C., W.R. Cox & F.D. Koop Field testing and analysis of laterally loaded piles in sand. Proceedings of the VI Annual Offshore Technology Conference, Houston, Texas, 2(OTC 2080):

14 7. Reese, L.C. & K.J. Nyman Field load test of instrumented drilled shafts at Islamorada, Florida. A report to Girdler Foundation and Exploration Corporation (unpublished), Clearwater, Florida. 8. Georgiadis, M Development of p-y curves for layered soils. Proceedings of the Geotechnical Practice in Offshore Engineering, ASCE: Isenhower, W.M Analysis of pile groups subjected to deep-seated soil displacements. Analysis, Design, Construction, and Testing of Deep Foundations, Austin, Texas, (OTRC):

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