TI 818-02

3 August 1998

Technical Instructions

Design of Deep Foundations

Headquarters
U.S. Army Corps of Engineers
Engineering Division
Directorate of Military Programs
Washington, DC 20314-1000
CEMP-E TI 818-02
3 August 1998

TECHNICAL INSTRUCTIONS

Design of Deep Foundations

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Use of the copyrighted material apart from this document must have the permission of the copyright holder.

Approved for public release; distribution is unlimited.

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No. Date Location

This Technical Instruction supersedes EI 02C097, dated 1 July 1997.

(EI 02C097 text is included in this Technical Instruction and may carry EI 02C097 identification.)
CEMP-E TI 818-02
3 August 1998

FOREWORD

These technical instructions (TI) provide design and construction criteria and apply to
all U.S. Army Corps of Engineers (USACE) commands having military construction
responsibilities. TI will be used for all Army projects and for projects executed for other
military services or work for other customers where appropriate.

TI are living documents and will be periodically reviewed, updated, and made available
to users as part of the HQUSACE responsibility for technical criteria and policy for new
military construction. CEMP-ET is responsible for administration of the TI system;
technical content of TI is the responsibility of the HQUSACE element of the discipline
involved. Recommended changes to TI, with rationale for the changes, should be sent
to HQUSACE, ATTN: CEMP-ET, 20 Massachusetts Ave., NW, Washington, DC
20314-1000.

TI are effective upon issuance. TI are distributed only in electronic media through the
TECHINFO Internet site http://www.hnd.usace.army.mil/techinfo/index.htm and the
Construction Criteria Base (CCB) system maintained by the National Institute of
Building Sciences at Internet sitehttp://www.nibs.org/ccb/. Hard copies of these
instructions produced by the user from the electronic media should be checked against
the current electronic version prior to use to assure that the latest instructions are used.

FOR THE DIRECTOR OF MILITARY PROGRAMS:

KISUK CHEUNG, P.E.

Chief, Engineering and Construction Division
Directorate of Military Programs
 DEPARTMENT OF THE ARMY EI 02C097
U.S. Army Corps of Engineers
CEMP-E Washington, DC 20314-1000

Engineering Instructions 01 July 1997

No. 02C097

DESIGN OF DEEP FOUNDATIONS

Table of Contents
(Click on chapter titles to view topics.)

Subject Paragraph Page Subject Paragraph Page

Chapter 1 Chapter 5
Introduction Pile Groups
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1-1 Design Considerations . . . . . . . . . . . . . . . 1 5-1
Applicability . . . . . . . . . . . . . . . . . . . . . . . . 2 1-1 Factors Influencing Pile Group
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 1-1 Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . 2 5-1
References . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1-1 Design for Vertical Loads . . . . . . . . . . . . . 3 5-3
General Design Methodology . . . . . . . . . 5 1-1 Design for Lateral Loads . . . . . . . . . . . . . 4 5-9
Types of Deep Foundations . . . . . . . . . . . 6 1-4 Computer Assisted Analysis . . . . . . . . . . 5 5-19
Selection of Deep Foundations . . . . . . . . . 7 1-7
Site and Soil Investigations . . . . . . . . . . . 8 1-12 Chapter 6
Verification of Design
Chapter 2 Foundation Quality . . . . . . . . . . . . . . . . . . 1 6-1
Design Stresses Driven Piles . . . . . . . . . . . . . . . . . . . . . . . . 2 6-1
Constraints . . . . . . . . . . . . . . . . . . . . . . . . . 1 2-1 Drilled Shafts . . . . . . . . . . . . . . . . . . . . . . . 3 6-6
Factored Loads . . . . . . . . . . . . . . . . . . . . . 2 2-1 Load Tests . . . . . . . . . . . . . . . . . . . . . . . . . 4 6-11
Structural Design of Driven Piles . . . . . . 3 2-4
Structural Design of Drilled Shafts . . . . . 4 2-12 Appendix A
References and Bibliography . . . . . . . . . A-1 A-1
Chapter 3
Vertical Loads Appendix B
Design Philosophy . . . . . . . . . . . . . . . . . . . 1 3-1 Pipe Piles . . . . . . . . . . . . . . . . . . . . . . . . . B-1 B-1
Driven Piles . . . . . . . . . . . . . . . . . . . . . . . . 2 3-6
Drilled Shafts . . . . . . . . . . . . . . . . . . . . . . . 3 3-20 Appendix C
Computer Program AXILTR . . . . . . . . . . C-1 C-1
Chapter 4
Lateral Loads Appendix D
Description of the Problem . . . . . . . . . . . . 1 4-1 Modification of p-y curves for
Nonlinear Pile and p-y Model for Battered Piles . . . . . . . . . . . . . . . . . . . . D-1 D-1
Soil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 4-1
Development of p-y Curve for
Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4-4
Analytical Method . . . . . . . . . . . . . . . . . . . 4 4-16
Status of the Technology . . . . . . . . . . . . . 5 4-36

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List of Figures

Figure Page Figure Page

1-1. Timber pile splice and boot . . . . . . . . . . . . . . . 1-5 4-1. Model of pile under lateral loading
1-2. Concrete pile splice and boot . . . . . . . . . . . . . . 1-6 with p-y curves . . . . . . . . . . . . . . . . . . . . . . . 4-2
1-3. Steel pile splices . . . . . . . . . . . . . . . . . . . . . . . . 1-6 4-2. Distribution of unit stresses against a
1-4. Drilled shaft details . . . . . . . . . . . . . . . . . . . . . . 1-9 pile before and after lateral
1-5. Axial-load deflection relationship . . . . . . . . 1-10 deflection . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3
1-6. Driven pile applications . . . . . . . . . . . . . . . . 1-13 4-3. Pipe pile and soil elements . . . . . . . . . . . . . . . 4-4
1-7. Load resistance of drilled shaft in 4-4. Conceptual p-y curve . . . . . . . . . . . . . . . . . . . 4-4
various soils . . . . . . . . . . . . . . . . . . . . . . . . 1-15 4-5. Wedge-type failure of surface soil . . . . . . . . . 4-5
1-8. Variation of Kcu for clay with respect 4-6. Potential failure surfaces generated
to undrained shear strength and over- by pipe at several diameters below
consolidation ratio . . . . . . . . . . . . . . . . . . . . 1-20 ground surface . . . . . . . . . . . . . . . . . . . . . . . 4-6
2-1. Eccentric load on a pile group . . . . . . . . . . . . . 2-3 4-7. Characteristics shape of the p-y
2-2. Limits to pile driving stresses . . . . . . . . . . . . . . 2-5 curves for soft clay below the
3-1. Loading support of deep foundations . . . . . . . . 3-2 water table . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6
3-2. Distribution of skin friction and the 4-8. Characteristic shape of p-y curve for
associated load resistance . . . . . . . . . . . . . . . . 3-4 static loading in stiff clay below the
3-3. Critical depth ratio . . . . . . . . . . . . . . . . . . . . . . 3-5 water table . . . . . . . . . . . . . . . . . . . . . . . . . . 4-9
3-4. Limiting base resistance for Meyerhof 4-9. Values of empirical parameters As and Ac . . 4-10
and Nordlund methods . . . . . . . . . . . . . . . . . . 3-6 4-10. Characteristic shape of p-y curve for
3-5. Illustration of input parameters for cyclic loading in stiff clay below the
equation 3-7a . . . . . . . . . . . . . . . . . . . . . . . . . 3-9 water table . . . . . . . . . . . . . . . . . . . . . . . . . 4-11
3-6. Variation of coefficient " f and bearing 4-11. Characteristic shape of p-y curve for
capacity factor Nq with respect to Nr . . . . . 3-11 static loading in stiff clay above the
3-7. Variation of the coefficient K with water table . . . . . . . . . . . . . . . . . . . . . . . . . 4-12
respect to Nr . . . . . . . . . . . . . . . . . . . . . . . . 3-12 4-12. Characteristic shape of p-y curve for
3-8. Ratio * /N for given displacement cyclic loading in stiff clay above the
volume V . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-13 water table . . . . . . . . . . . . . . . . . . . . . . . . . 4-13
3-9. Correction factor Cf with respect 4-13. Characteristic shape of a family of p-y
to * /Nr . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-14 curves for static and cyclic loading in
3-10. Estimating pile tip capacity from CPT sand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-14
data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-16 4-14. Values of coefficients Ac and As . . . . . . . . . 4-16
3-11. Lambda correlation factor for clay . . . . . . . . 3-17 4-15. Nondimensional coefficient B for soil
3-12. Sleeve friction factor for clays . . . . . . . . . . . 3-18 resistance versus depth . . . . . . . . . . . . . . . . 4-16
3-13. Lateral earth pressure and friction angle 4-16. Form of variation of soil modulus
factor $ f . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18 with depth . . . . . . . . . . . . . . . . . . . . . . . . . . 4-19
3-14. Sleeve friction factors for sands . . . . . . . . . . 3-19 4-17. Pile deflection produced by lateral
3-15. Driven steel pipe pile . . . . . . . . . . . . . . . . . . 3-21 load at mudline . . . . . . . . . . . . . . . . . . . . . . 4-21
3-16. Settlement influence factor Isock . . . . . . . . . . . 3-29 4-18. Pile deflection produced by moment
3-17. Modulus reduction ratio Emass /Ecore . . . . . . . . 3-29 applied at mudline . . . . . . . . . . . . . . . . . . . 4-22
3-18. Elastic modulus of intact rock . . . . . . . . . . . . 3-31 4-19. Slope of pile caused by lateral load
3-19. Pullout force in underreamed drilled at mudline . . . . . . . . . . . . . . . . . . . . . . . . . . 4-24
shaft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-33 4-20. Slope of pile caused by moment
3-20. Deep foundation resisting uplift thrust . . . . . 3-34 applied at mudline . . . . . . . . . . . . . . . . . . . 4-25
3-21. Deep foundation resisting downdrag . . . . . . 3-35 4-21. Bending moment produced by lateral
3-22. Load-transfer curves used in AXILTR . . . . . 3-36 load at mudline . . . . . . . . . . . . . . . . . . . . . . 4-26
3-23. General load-transfer curves for clay . . . . . . 3-40 4-22. Bending moment produced by
3-24. General load-transfer functions for sand . . . 3-41 moment applied at mudline . . . . . . . . . . . . 4-27

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List of Figures

Figure Page Figure Page

4-23. Shear produced by lateral load at 5-8. Axial load versus settlement for
mudline . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-28 reinforced concrete pile . . . . . . . . . . . . . . . . 5-15
4-24. Shear produced by moment applied at 5-9. Pile loading-Case 4 . . . . . . . . . . . . . . . . . . . . 5-17
mudline . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-29 5-10. Plan and elevation of foundation
4-25. Deflection of pile fixed against rotation analyzed in example problem . . . . . . . . . . . . 5-20
at mudline . . . . . . . . . . . . . . . . . . . . . . . . . . 4-30 6-1. Schematic of wave equation model . . . . . . . . 6-3
4-26. Soil-response curves . . . . . . . . . . . . . . . . . . . 4-32 6-2. Schematic of field pile driving analyzer
4-27. Graphical solution for relative stiffness equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-5
factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-34 6-3. Example results of CAPWAPC
4-28. Comparison of deflection and bending analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-7
moment from nondimensional and 6-4. Typical Osterberg cell load test . . . . . . . . . . . 6-14
computer solutions . . . . . . . . . . . . . . . . . . . 4-37 C-1. Schematic diagram of soil and pile
5-1. Groups of deep foundations . . . . . . . . . . . . . . . 5-2 elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-5
5-2. Stress zones in soil supporting piles . . . . . . . . . 5-4 C-2. Plotted output for pullout and uplift
5-3. Typical pile-supported bent . . . . . . . . . . . . . 5-10 problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-9
5-4. Simplified structure showing coordinate C-3. Plotted output for downdrag problem . . . . . . C-11
systems and sign conventions . . . . . . . . . . . 5-12 D-1. Modification of p-y curves for battered
5-5. Set of pile resistance functions for a piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-2
given pile . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-13
5-6. Sketch of a pile-supported retaining
wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-14
5-7. Interaction diagram of reinforced
concrete pile . . . . . . . . . . . . . . . . . . . . . . . . 5-15

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List of Tables

Table Page Table Page

1-1. General Design Methodology 4-4. Nondimensional Coefficients for p-y

for Deep Foundations . . . . . . . . . . . . . . . . . . . 1-2 Curves for Sand . . . . . . . . . . . . . . . . . . . . . 4-15
1-2. Types of Deep Foundations . . . . . . . . . . . . . . . 1-4 4-5. Representative Values of k (lb/cu in.)
1-3. Standard H-piles: Dimensions and for Sand . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-17
Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-8 4-6. Moment Coefficients at Top of Pile
1-4. Characteristics of Deep Foundations . . . . . . 1-11 for Fixed-Head Case . . . . . . . . . . . . . . . . . . 4-23
(This table is sized for 11" x 17" paper. It can be viewed on 5-1. Equivalent Mat Method of Group Pile
screen, but will not print completely on 8.5" x 11" paper.) Capacity Failure in Soft Clays . . . . . . . . . . 5-6
1-5. Drilled Shaft Applications . . . . . . . . . . . . . . 1-16 5-2. Equivalent Mat Method for Estimating
2-1. Tolerances in Drilled Shaft Consolidation Settlement of Pile
Construction . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 Groups in Clay . . . . . . . . . . . . . . . . . . . . . . . 5-7
2-2. Performance and Eccentricity Factors . . . . . . . 2-3 5-3. Values of Loading Employed in
2-3. Allowable Stresses for Fully Supported Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-16
Piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6 5-4. Computed Movements of Origin of
2-4. Allowable Concrete Stresses, Prestressed Global Coordinate System . . . . . . . . . . . . . 5-16
Concrete Piles . . . . . . . . . . . . . . . . . . . . . . . . . 2-7 5-5. Computed Movements and Loads at
2-5. Cast-in-Place and Mandrel-driven Piles, Pile Heads . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18
Allowable Concrete Stresses . . . . . . . . . . . . . 2-8 6-1. Procedure for Verifying Design and
2-6. Allowable Stresses for Pressure-treated Structural Integrity of Driven Piles . . . . . . 6-2
Round Timber Piles for Normal Loads 6-2. Recommended Soil Parameters for Wave
in Hydraulic Structures . . . . . . . . . . . . . . . . . . 2-8 Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-4
2-7. Minimum Requirements for Drilled 6-3. Specifications for Bentonite Slurry . . . . . . . 6-9
Shaft Design . . . . . . . . . . . . . . . . . . . . . . . . . . 2-9 6-4. Methods of Estimating Ultimate Pile
3-1. Vertical Load Analysis . . . . . . . . . . . . . . . . . . . 3-3 Capacity from Load Test Data . . . . . . . . . . 6-15
3-2. Factors of Safety for Bearing Capacity . . . . . . . 3-7 B-1. Dimensions and Properties for Design
3-3. General Design Procedure of a Driven of Pipe Piles . . . . . . . . . . . . . . . . . . . . . . . . B-2
Pile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-8 C-1. Input Data . . . . . . . . . . . . . . . . . . . . . . . . . . . C-1
3-4. Qu by the Nordlund Method . . . . . . . . . . . . . 3-15 C-2. Description of Input Parameters . . . . . . . . . C-2
3-5. Adhesion Factors for Cohesive Soil . . . . . . . 3-18 C-3. Output Data . . . . . . . . . . . . . . . . . . . . . . . . . C-6
3-6. Calculations of Vertical Loads in a C-4. Listing of Data Input for Expansive Soil,
Single Pile . . . . . . . . . . . . . . . . . . . . . . . . . . 3-22 File DATLTR.TXT . . . . . . . . . . . . . . . . . . C-10
3-7. Design of a Drilled Shaft . . . . . . . . . . . . . . . 3-27 C-5. Listing of Output for Pullout and Uplift
3-8. Adhesion Factors for Drilled Shafts in Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . C-13
Cohesive Soil . . . . . . . . . . . . . . . . . . . . . . . 3-28 C-6. Listing of Data Input for Settling Soil . . . . . C-16
3-9. Dimensionless Pressuremeter C-7. Listing of Output for Downdrag
Coefficient . . . . . . . . . . . . . . . . . . . . . . . . . . 3-30 Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . C-16
3-10. Empirical Tip Coefficient Cb . . . . . . . . . . . . 3-38
3-11. Application of Drilled Shaft Design . . . . . . . 3-42
4-1. Representative Values of g 50 . . . . . . . . . . . . . . 4-5
4-2. Representative Values of k for Stiff
Clays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7
4-3. Representative Values of g 50 for Stiff
Clays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8

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Chapter 1 (1) Some guidance for selection of pile driving

equipment and construction of driven piles is provided in
Introduction TM 5-849-1, “Pile Driving Equipment.”

1. Purpose (2) Guidance for construction of drilled shafts is

available in FHWA-HI-88-042, “Drilled Shafts:
This publication presents data, principles, and methods for Construction Procedures and Design Methods” and
use in planning, design, and construction of deep foundations. Association of Drilled Shaft Contractors (ADSC)
Deep foundations are literally braced (supported) column Publication, “Drilled Shaft Inspector's Manual.”
elements transmitting structure loads down to the subgrade
supporting medium. 4. References
2. Applicability Appendix A contains a list of references used in this
publication.
These instructions are applicable to all HQUSACE elements
and USACE comands. 5. General Design Methodology
3. Scope A single drilled shaft or a group of driven piles is typically
designed to support a column load. The number of driven
General information with respect to the selection and design piles in a group is determined by dividing the column load
of deep foundations is addressed herein. Single and groups of by the design load of a single pile. The piles should be
driven piles and drilled shafts under axial and lateral static arranged in the group to provide a spacing of about three to
loads are treated. Some example problems and the most four times the pile diameter B up to 6B. The diameter of the
widely accepted computer methods are introduced. This piles may be increased to reduce the size of the pile cap if
publication is not intended for hydraulic structures; however, appropriate. Table 1-1 describes a general design
it does provide the following: methodology. Other design methodology aspects are the
following:
a. Guidance is provided to assist the efficient planning,
design, and quality verification of the deep foundation. a. Load factor design. This publication applies load
factors for design (LFD) of the structural capacity of deep
b. Guidance is not specifically provided for design of sheet foundations. The sum of the factored loads shall not exceed
piles used as retaining walls to resist lateral forces or for the the structural resistance and the soil resistance. The LFD,
design of stone columns. Other foundation structures may be the structural resistance, and the soil resistance are all
designed as discussed below: related to the load factors as follows:
(1) Shallow foundations will be designed using TM 5-818- (1) Definition. The LFD may be defined as a concept
1, “Soils and Geology; Procedures for Foundation Design of which recognizes that the different types i of loads Qi that are
Buildings and Other Structures (Except Hydraulic applied to a structure have varied probabilities of occurence.
Structures).” Examples of types of loads applied to a structure include the
live load QLL, dead load QDL, wind load QWL, and earthquake
(2) Refer to Foundations (Pile Buck Inc. 1992) and Pile load QEL. The probability of occurrence of each load is
Foundations in Engineering Practice (Prakash and Sharma accounted for by multiplying each Qi by a load factor Fi >
1989) for guidance on design of deep foundations subject to 1.0. The value of Fi depends on the uncertainty of the load.
dynamic load.
(2) Structural resistance. The sum of the factored loads
c. Guidance for construction of deep foundations is shall be less than the design strength
provided only in minor detail. For construction of deep
foundations, the following references are offered:

1-1
EI 02C097
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6. Types of Deep Foundations (Table 1-2). Large displacement and small displacement
piles are fabricated prior to installation and driven into the
Deep foundations are classified with respect to displacements ground, while nondisplacement piles are constructed in situ
as large displacement, small displacement, and and often are called drilled shafts. Augered cast concrete
nondisplacement, depending on the degree to which installation shafts are also identified as drilled shafts in this publication.
disturbs the soil supporting the foundation

Table 1-2
Types of Deep Foundations

a. Large displacement piles. Driven piles are classified by

the materials from which the pile is constructed, i.e., timber,
concrete, or filled or unfilled steel pipe.

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 EI 02C097
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(1) Timber piles. These are generally used for

comparatively light axial and lateral loads where foundation
conditions indicate that piles will not be damaged by driving or
exposed to marine borers. Overdriving is the greatest cause of
damage to timber piles. Pile driving is often decided by a
judgment that depends on the pile, soil condition, and driving
equipment. Overdriving typically occurs when the dynamic
stresses on the pile head exceed the ultimate strength of the
pile. Timber piles can broom at the pile tip or head, split, or
break when overdriven. Such piles have an indefinite life
when constantly submerged or where cut off below the
groundwater level. Some factors that might affect the
performance of timber piles are the following:

(a) Splicing of timber piles is expensive and time-

consuming and should be avoided. The full bending resistance
of timber pile splices may be obtained by a concrete cover
(Figure 1-1a) (Pile Buck Inc. 1992). Other transition splicers
are available to connect timber with cast concrete or pipe piles.

(b) Tips of timber piles can be protected by a metal boot

(Figure 1-1b).

(c) Timber piles are normally treated with creosote to

prevent decay and environmental attack.

(d) American Society for Testing and Materials

(ASTM) D 25 provides physical specifications of round timber
piles. Refer to Federal Specifications TT-W-00571J, “Wood
Preservation: Treating Practices,” for other details.

(2) Precast concrete piles. These piles include

conventionally reinforced concrete piles and prestressed
Figure 1-1. Timber pile splice and boot
concrete piles. Reinforced concrete piles are constructed with
an internal reinforcement cage consisting of several
longitudinal bars and lateral ties, individual hoops, or a spiral.
Prestressed concrete piles are constructed using steel rods or (b) Special steel points can be attached to precast precast
wire strands under tension as reinforcement. Since the piles during casting of the piles and include steel H-pile tips or
concrete is under continuous compression, transverse cracks cast steel shoes (Figure 1-2).
tend to remain closed; thus, prestressed piles are usually more
durable than conventionally reinforced piles. Influential (3) Raymond step-tapered piles. These consist of a
factors for precast concrete piles include splices and steel corrugated steel shell driven into the ground using a mandrel.
points. The shell consists of sections with variable diameters that
increase from the tip to the pile head. A mandrel is a heavy,
(a) Various splices are available to connect concrete rigid steel tube shaped to fit inside the shell. The mandrel is
piles. The splice will provide the tensile strength required withdrawn after the shell is driven and the shell filled with
during driving when the resistance to driving is low. Figure 1- concrete. Raymond step-tapered piles are predecessors of
2a illustrates the cement-dowel splice. Refer to “Foundations” drilled shafts and are still popular in the southern United
(Pile Buck Inc. 1992) for additional splices. States.

(4) Steel piles. These are generally H-piles and pipe piles.
Pipe piles may be driven either “open-end” or “closed-end.”
Steel piles are vulnerable to corrosion, particularly in
saltwater; however, experience indicates they are not

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Figure 1-3. Steel pile splices

Figure 1-2. Concrete pile splice and boot

may not be suitable when tolerance is small with respect to
location and where absolute plumbness is required. Table 1-3
significantly affected by corrosion in undisturbed soil. lists commonly available H-piles together with properties and
Schematics of H-piles and pipe piles are presented in dimensions.
Figure 1-3.
(b) Steel pipe piles. Commonly used steel pipe piles are
(a) Steel H-piles. This type can carry larger loads, both listed in Appendix B together with properties and dimensions.
axially and in bending, than timber piles and can withstand Steel pipe piles are generally filled with concrete after driving
rough handling. H-piles can be driven into dense soil, coarse to increase the structural capacity. If the soil inside the pipe is
gravel, and soft rock with minimum damage, and cause removed during driving, open-end piles in cohesionless soil
minimal displacement of the surrounding soil while being will cause less soil displacement and compaction, and in
driven. Hardened and reinforced pile tips should be used cohesive soils will cause less heaving of adjacent ground and
where large boulders, dense gravel, or hard debris may damage nearby piles. If the soil inside the pipe is not removed during
the pile. Splices are commonly made with full penetration butt driving, the pipe becomes plugged and acts as a closed-end
welds or patented splicers (Figure 1-3a). H-piles can bend displacement pile. Criteria are presently unavailable for
during driving and drift from planned location. Thus, H-piles computing the depth at which a driven, open-end pile will plug.
In cases where the foundation contains boulders, soft rock, or

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other obstructions, the open-end pile permits inspection after (4) Pressure-grouted shafts. A special type of
removal of the plug material and ensures that the load will be nondisplacement deep foundation is the uncased auger-placed
transferred directly to the load-bearing stratum. Splices are grout shaft. This shaft is constructed by advancing a
commonly made by full penetration butt welds or fillet wells continuous-flight, hollow-stem auger to the required depth and
(Figure 1-3b) or patented splicers. filling the hole bored by the concrete grout under pressure as
the auger is withdrawn. Careful inspection is required during
(5) Compaction piles. These are sometimes driven with installation, and shaft continuity should be verified by a
the objective of increasing the density of loose, cohesionless combination of load tests and nondestructive testing as
soils and reducing settlement. Piles with a heavy taper are described in Chapter 6.
often most effective in deriving their support from friction.
7. Selection of Deep Foundations
b. Nondisplacement piles. This pile consists of a drilled
shaft with a concrete cylinder cast into a borehole. Normally, Deep foundations provide an efficient foundation system for
the drilled shaft does not cause major displacement of the soils that do not have a shallow, stable bearing stratum.
adjacent ground surface. The hole is usually bored with a short Selection of a deep foundation requires knowledge of its
flight or bucket auger. Loss of ground could occur if the characteristics and capacity.
diameter of the hole is decreased because of inward
displacement of soft soil or if there is caving of soil from the a. Characteristics. Information adequate for reaching
hole perimeter. Such unstable boreholes require stabilization preliminary conclusions about types of driven piles or drilled
by the use of slurry or slurry and casing. Drilled shafts are not shafts to be selected for a project is given in Table 1-4. This
subject to handling or driving stresses and therefore may be table lists major types of deep foundations with respect to
designed only for stresses under the applied service loads. capacity, application, relative dimensions, and advantages and
Nondisplacement may be categorized as follows: disadvantages. Refer to Foundations (Pile Buck Inc. 1992) for
additional information. Information in the table provides
(1) Uncased shafts. Figure 1-4 illustrates a typical general guidelines in the selection of a type of deep foundation.
uncased drilled shaft with an enlarged base. The base is not Relevant codes and standards should be consulted with respect
perfectly flat because the shaft is drilled first, then the belling to allowable stresses. A cost analysis should also be performed
tool rotates in the shaft. Uncased shafts may be constructed in that includes installation, locally available practices, time
firm, stiff soils where loss of ground is not significant. delays, cost of load testing program, cost of a pile cap, and
Examples of uncased shaft are given in the American Concrete other elements that depend on different types of deep
Institute (ACI) Manual of Concrete Practice (1986). Other foundations.
terms used to describe the drilled shaft are “pier” or “caisson.”
Large shafts greater then 36 inches in diameter are often called b. Capacity. Deep foundations transmit structural loads to
caissons. The term “pile” is commonly associated with driven deep strata that are capable of sustaining the applied loads.
deep foundations of relatively small diameter or cross section. Accurate predictions of load capacity and settlement are not
always possible. Adequate safety factors are therefore used to
(2) Cased shafts. A cased shaft is made by inserting a avoid excessive movement that would be detrimental to the
shell or casing into almost any type of bored hole that requires structure that is supported and to avoid excessive stress in the
stabilization before placing concrete. Boreholes are caused foundation. Driven piles or drilled shafts are often used to
where soil is weak and loose, and loss of ground into the resist vertical inclined, lateral, or uplift forces and overturning
excavation is significant. The bottom of the casing should be moments which cannot otherwise be resisted by shallow
pushed several inches into an impervious stratum to seal the footings. These foundations derive their support from skin
hole and allow removal of the drilling fluid prior to completion friction along the embedded length and by end bearing at the
of the excavation and concrete placement. If an impervious tip (base). Both factors contribute to the total ultimate pile
stratum does not exist to push the casing into, the concrete can capacity, but one or the other is usually dominant depending on
be placed by tremie to displace the drilling fluid. the size, load, and soil characteristics. The capacity of deep
foundation is influenced by several factors:
(3) Drilling fluid shafts. Shafts can be installed in wet
sands using drilling fluid, with or without casing. This (1) Design limits. The limiting design criterion is
procedure of installing drilled shafts can be used as an normally influenced by settlement in soft and moderately stiff
alternative to the uncased and cased shafts discussed soil, and bearing capacity in hard soil or dense sand, and by
previously. pile or shaft structural capacity in rock.

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Table 1-3
Standard H-piles; Dimensions and Properties (AISC 1969)

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Figure 1-4. Drilled shaft details (1 in. = 25.4 mm)

(2) Skin resistance mobilization. Full skin resistance is typically mobilized length/diameter ratios less than 10. The selected shaft dimensions
within 0.5 inch of displacement, while end bearing may not be fully mobilize d should minimize the volume of concrete required and maximiz e
until displacements exceed 10 to 20 percent of the base diameter or underream for constuction efficiency. The lateral load capacity of driven piles may be
drilled shafts, unless the tip is supported by stiff clay, dense sand, or rock. Figure increased by increasing the number of piles
1-5 illustrates an example of the vertical axial load displacement behavior ofa
single pile or drilled shaft. The load-displacement behavior and displacements that
correspond to ultimateload are site specific and depend on the results of analyses.
These analyses are given in Chapter 3.

(3) Lateral loads. Lateral load capacity of a pile or drilled shaft is directly
related to the diameter, thus increasing the diameter increases the load-carryin g
capacity. For a drilled shaft that sustains no axial load, the cost of construction
may be optimized by theselection of rigid shaftswithout underreams and with

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and battering piles in a pile group. Batter piles are efficient ni

resistinglateral loads but significantly reduce ductility of the pile group
in the lateral direction, resulting in a brittle failure. Vertical piles ,
though less efficient in resisting lateral loads, are also less stiff and do
not fail suddenly. These conflicting characteristics need to be balanced
in design, and they are considered critical where seismic or dynami c
lateral loads are involved.

c. Applications. Driven pile groups are typicallyused by the

Corps of Engineers to support locks, dry docks, and other facilitie s
constructed in river systems, lakes, lagoons, and other offshore
applications. Drilled shafts typically support many permanent onshore
structures such as administrative buildings, warehouses, dormitories, and
clinics. Drilled shafts are divided into two groups: displacement and
nondisplacement.

(1) Displacement. Driven pile foundations are usually preferable

in loose, cohesionless, and soft soils, especially where excavation s
cannot support fluid concrete and where the depth of the bearin g
stratum is uncertain. Groundwater conditions can be a deciding factor
in the selection of driven piles rather than drilled shafts. Uncase d
shafts are generally excluded from consideration where artesian pressures
are present. Often more than one type of driven pile may meet al l
requirements for a particular structure. Driven piles according to their
application are presented in Figure 1-6.

Figure 1-5. Axial-load deflection relationship (a) Figures 1-6a and 1-6b illustratepiles classified according to their
behavior as end-bearing or friction piles. A pile embedded a significan t
length into stiff clays, silts, and dense sands without significant end bearing
resistance is usually a friction pile. A pile driven through relatively weak or
compressible soil to an underlying stronger soil or rock is usually na
end-bearing pile.

(b) Piles designed primarily to resist upward forces are uplift or tension
piles (Figure 1-6c), and the resistance to the upward force is by a combination
of side (skin) friction and self weight of the pile.

(c) Lateral forces are resisted either by vertical piles in bending (Figure
1-6d) or by batter piles or groups of vertical and batter piles (Figure 1-6e).

(d) Piles are used to transfer loads from above water structures to below
the scour depth (Figure 1-6f). Piles are also used to support structures that
may be endangered by future adjacent excavations (Figure1-6g). In order to
prevent undesirable movements of structures on shrink/swell soils, a pil e
anchored as shown in Figure 1-6h can be used.

(2) Nondisplacement. Drilled shafts are especially suitable fo r

supporting large column loads of multistory structures and bridge abutments
or piers. They are suitable for resisting large axial loads and lateral load s
applied to the shaft butt (top or head) resulting fromwind forces; these are
also used for resisting uplift thrust applied to the shaft perimeter through soil-
shaft interface friction and from heave of expansive soil. Figure 1- 7
illustrates example load ranges for drilled shafts in different soils. The loads
shown are for guidance only and can vary widely from site to site .
Cylindrical shaftsare usually preferred to underreamed ones because of ease

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in construction and ease in inspection. Table 1-5 provides further details of (a) Drilled shafts maysecure much or all of their vertical load capacity
the applications, advantages, and disadvantages of drilled shafts. Othe r from frictional side resistance (Figure1-7a). An enlarged base using a bell or
aspects of drilled shafts include: underream may also increase the vertical load capacity, provide uplif t
resistance to pullout loads, an resist uplift thrust from

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Table 1-4
Characteristics of Deep Foundations

Material Maximum Load Optimum Load

Maximum Optimum Diameter Maximum Allowable Maximum Allowable Specifications tons tons
Pile Type Length, ft Length, ft Width, in. Normal Stresses, psi Bending Stresses, psi Standards Advantages Disadvantages Remarks

Driven Piles 150 40-100 Easy to inspect, easy to Difficult to splice, Best suited for
Cast-in-place 150 30-80 Butt: 12-18 Steel shell: 9,000 Compression : 0.40 f'c ACI Manual of cut, resistant to displacement pile, medium-length friction
concrete placed Concrete: 0.25 f'c Tension: 0 Concrete Practice deterioration, high lateral vulnerable to damage from pile
without mandrel capacity, capable of being hard driving
re-driven, cave-in
prevented by shell

Cast-in-place concrete Tapered: 40 Tapered: 15-35 Tip: 8, Butt: # 23 Steel: 9,000, Compression: 0.40 f'c ACI Manual of 75 30-60 Easy to inspect, easy to Not possible to re-drive, Best suited for
driven with mandrel Step tapered: 120 Step tapered: 40-60 Step tapered: # 17 $ 1 in. thick Tension: 0 Concrete Practice cut, easy to handle, difficult to splice, medium-length friction
Concrete: 0.25 f'c resistant to decay, high displacement pile, pile
skin friction in sand, vulnerable to collapse while
resistant to damage from adjacent piles are driven
hard driving

Rammed concrete 60 --- 17-26 0.25 f'c --- ACI Manual of 300 60-100 Low initial cost, large Hard to inspect, Best suited where
Concrete Practice bearing area, resistant to displacement pile, not layer of dense sand is
deterioration, resistant to possible to form base in near ground surface
damage from hard driving clay

Composite 180 60-120 Depends on materials Controlled by weakest --- See Note 200 30-80 Resistant to deterioration, Hard to inspect, difficult in Usual combinations
materials resistant to damage from forming joint are: cast-in-place
driving, high axial concrete over timber or
capacity, long lengths at H-steel or pipe pile
low initial cost

Auger Cast 60 24 --- 0.25 f'c --- ACI Manual of 40 --- No displacement, low Construction difficult when Best suited where
Concrete Shafts Concrete Practice noise level, low vibration, soils unfavorable, low small loads are to be
low initial cost capacities, difficult to supported
inspect

Drilled Shafts 200 Shaft: # 120 --- 0.25 f'c --- ACI 318 Soil: 3,000 200-400 Fast construction, high Field inspection of Best suited for large
Underreams: # 240 Rock: 7,000 load capacity, no noise or construction critical, careful axial lateral loads and
vibration, no inspection necessary for small, isolated loads
displacement, possible to casing method where soil conditions
drill through obstruction, are favorable
can eliminate caps

Note: Creosote and creosote treatment: “Standards for Creosoted-Wood Foundation Piles,” C1-C12, American Wood-Preservers Institute (1977-1979)
Concrete: ACI Manual of Concrete Practice
Timber: ASTM Annual Book of Standards, Vol 04.09, D 2899, D 3200
Steel: ASTM Annual Book of Standards, Vol 01.01, Vol 01.04, A 252

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heave of expansive soil. Shafts subject to pullout loads or local labor rates, fuel, tools, supplies, cost and freight of pile
uplift thrust must have sufficient reinforcement steel to materials, driving resistance, handling, cutoffs, caps, splicing,
absorb the tension load in the shaft and sufficient skin and jetting. Jetting is the injection of water under pressure,
friction and underream resistance to prevent shaft uplift usually from jets located on opposite sides of the pile, to
movements. preexcavate a hole and to assist pile penetration. Costs are also
influenced by downtime for maintenance and repairs,
(b) The shaft may pass through relatively soft, insurance, overhead, and profit margin. An economic study
compressible deposits and develop vertical load capacity should be made to determine the cost/capacity ratio of the
from end bearing on hard or dense granular soil (Fig. 1-7b) various types of piles. Consideration should be given to
or rock (Fig. 1-7c). End-bearing capacity should be including alternative designs in contract documents where
sufficient to support vertical loads supplied by the structure practical.
as well as any downdrag forces on the shaft perimeter caused
by negative skin friction from consolidating soil (Fig. 1-7b). (2) Drilled shafts. Drilled shafts are usually cost effective
in soil above the water table and installation in cohesive soil,
(c) Single drilled shafts may be constructed with large dense sand, rock, or other bearing soil overlaid by cohesive soil
diameters, typically 10 feet or more, and can extend to that will not cave when the hole is bored. Drilled shafts,
depths of 200 feet or more. Drilled shafts can be made to particularly auger-placed, pressure-grouted shafts, are often
support large loads and are seldom constructed in closely most economical if the hole can be bored without slurry or
spaced groups. casing.

(d) Drilled shafts tend to be preferred compared with f. Length.The length of the deep foundation is generally
driven piles as the soil becomes harder. Pile driving dependent on topography and soil conditions of the site.
becomes difficult in these cases, and the driving vibration
can adversely affect nearby structures. Also, many onshore (1) Driven piles. Pile length is controlled by soil
areas have noise control ordinances which prohibit 24-hour conditions and location of a suitable bearing stratum,
pile driving (a cost impact). availability and suitability of driving equipment, total pile
weight, and cost. Piles exceeding 300 feet have been installed
(e) Good information on rock is required when drilled offshore. Piles up to 150 feet are technically and economically
shafts are supported by rock. Drilled shafts placed in acceptable for onshore installation.
weathered rock or that show lesser capacity than expected
may require shaft bases to be placed deeper than anticipated. (2) Drilled shafts. Shaft length depends on the depth to a
This may cause significant cost overruns. suitable bearing stratum. This length is limited by the
capability of the drilling equipment and the ability to keep the
d. Location and topography. Location and topo-graphy hole open for placement of the reinforcement steel cage and
strongly influence selection of the foundation. Local practice concrete.
is usually an excellent guide. Driven piles are often
undesirable in congested urban locations because of noise, 8. Site and Soil Investigations
inadequate clearance for pile driving, and the potential for
damage caused by vibration, soil densification, and ground The foundation selected depends on functional requirements of
heave. Prefabricated piles may also be undesirable if storage the structure and results of the site investigation. Site
space is not available. Other variables may restrict the investigation is required to complete foundation selection and
utilization of deep foundation: design and to select the most efficient construction method.
The first phase of the investigation is examination of site
(1) Access roads with limited bridge capacity and head conditions that can influence foundation performance and
room may restrict certain piles and certain construction construction methodology. The seond phase is to evaluate
equipment. characteristics of the soil profile to determine the design and
the construction method. These phases are accomplished bythe
(2) The cost of transporting construction equip-ment to following:
the site may be significant for small, isolated structures and
may justify piles that can be installed using light, locally a. Feasibility study. A reconnaissance study should be
available equipment. performed to determine the requiriements of a deep

e. Economy.

(1) Driven piles. Costs will depend on driving rig rental,

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Figure 1-6. Driven pile applications (Continued)

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Figure 1-6. (Concluded)

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Figure 1-7. Load resistance of drilled shafts in various soils

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Table 1-5
Drilled Shaft Applications, Advantages, and Disadvantages

Applications

Support of high column loads with shaft tips socketed in hard bedrock.

Support of moderate column loads with underreams seated on dense sand and gravel.

Support of light structures on friction shafts in firm, nonexpansive, cohesive soil.

Support of slopes with stability problems.

Resists uplift thrust from heave of expansive soil, downdrag forces from settling soil, and pullout forces.

Provides anchorage to lateral overturning forces.

Rigid limitations on allowable structural deformations.

Significant lateral variations in soils.

Advantages

Personnel, equipment, and materials for construction usually readily available; rapid construction due to mobile equipment; noise level of
equipment less than some other construction methods; low headroom needed; shafts not affected by handling or driving stresses.

Excavation possible for a wide variety of soil conditions; boring tools can break obstructions that prevent penetration of driven piles;
excavated soil examined to check against design assumption; careful inspection of excavated hole usually possible.

In situ bearing tests may be made in large-diameter boreholes; small-diameter penetration tests may be made in small boreholes.

Supports high overturning moment and lateral loads when socketed into rock.

Avoids high driving difficulties associated with pile driving.

Provides lateral support for slopes with stability problems.

Heave and settlement are negligible for properly designed drilled shafts.

Soil disturbance, consolidation, and heave due to remolding are minimal compared with pile driving.

Single shafts can carry large loads; underreams may be made in favorable soil to increase end-bearing capacity and resistance to uplift
thrust or pullout forces.

Changes in geometry (diameter, penetration, underream) can be made during construction if required by soil conditions.

Pile caps unnecessary.

Disadvantages

Inadequate knowledge of design methods and construction problems may lead to improper design; reasonable estimates of performance
require adequate construction control.

Careful design and construction required to avoid defective shafts; careful inspection necessary during inspection of concrete after
placement difficult.

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Table 1-5 (Concluded)

Disadvantages (Concluded)

Construction techniques sometimes sensitive to subsurface conditions; susceptible to “necking” in squeezing ground; caving or loss of
ground in fissured or cohesionless soil.

Construction may be more difficult below groundwater level; concrete placement below slurry requires careful placement using tremie or
pumping artesian water pressure can require weighting additives to drilling fluids to maintain stability; extraction of casing is sensitive to
concrete workability, rebar cage placement must be done in a careful, controlled manner to avoid problems; underreams generally should
be avoided below groundwater unless “watertight” formation is utilized for construction of underreams.

End-bearing capacity on cohesionless soil often low from disturbance using conventional drilling techniques.

Enlarged bases cannot be formed in cohesionless soil.

Heave beneath base of shaft may aggravate soil movement beneath slab-on-grade.

Failures difficult and expensive to correct.

foundation designs, and the scope of in situ soil and foundation (3) Local experience. The use of local design and
load tests. Required cost estimates and schedules to conduct the construction experience can avoid potential problems with certain
soil investigation, load tests, and construction should be prepared types of foundations and can provide data on successfully
and updated as the project progresses. constructed foundations. Prior experience with and applications
of deep foundations in the same general area should be
b. Site conditions. Examination of the site includes history, determined. Local building codes should be consulted, and
geology, visual inspection of the site and adjacent area, and local successful experience with recent innovations should be
design and construction experience. Maps may provide data on investigated.
wooded areas, ponds, streams, depressions, and evidence of
earlier construction that can influence soil moisture and (4) Potential problems with driven piles. The site
groundwater level. Existence of former solid waste disposal sites investigation should consider sensitivity of existing structures and
within the construction area should be checked. Some forms of utilities to ground movement caused by ground vibration and
solid waste, i.e., old car bodies and boulders, make installation of surface heave of driven piles. The condition of existing structures
deep foundations difficult or result in unacceptable lateral prior to construction should be documented with sketches and
deviation of driven piles. Guidance on determining potential photographs.
problems of deep foundations in expansive clay is given in TM 5-
818-7, “Foundations in Expansive Soils.” Special attention should c. Soil investigation. A detailed study of the subsurface soil
be payed to the following aspects of site investigation: should be made as outlined in TM 5-818-1. The scope of this
investigation depends on the nature and complexity of the soil, and
(1) Visual study. A visual reconnaissance should check for size, functional intent, and cost of the structure. Results of the soil
desiccation cracks and nature of the surface soil. Structural investigation are used to select the appropriate soil parameters for
damage in nearby structures which may have resulted from design as applied in Chapters 2 through 5. These parameters are
excessive settlement of compressible soil or heave of expansive frequently the consolidated-drained friction angle N for
soil should be recorded. The visual study should also determine cohesionless soil, undrained shear strength Cu for cohesive soil,
ways to provide proper drainage of the site and allow the soil elastic modulus Es for undrained loading, soil dry unit weight,
performance of earthwork that may be required for construction. and the groundwater table elevation. Refer to TM 5-818-1 for
guidance on evaluating these parameters.Consolidation and
(2) Accessibility. Accessibility to the site and equipment potential heave characteristics may also be required for clay soils
mobility also influence selection of construction methods. Some of and the needed parameters may be evaluated following procedures
these restrictions are on access, location of utility lines and paved presented in TM 5-818-7. Other tests associated with soil
roads, location of obstructing structures and trees, and investigation are:
topographic and trafficability features of the site.

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Figure 1-8. Variation Kcu for clay with respect to undrained shear strength and
overconsolidation ratio

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Table 2-2
Performance and Eccentricity Factors (Barker et al. 1991) (Copyright permission, National Cooperative Highway Research Program)

Type of Pile Performance Factor, pf Eccentricity Factor, Fe

Prestressed concrete Spiral columns: 0.75 Spiral columns: 0.85

Tied columns: 0.70 Tied columns: 0.80

Precast concrete Spiral columns: 0.75 Spiral columns: 0.85

Tied columns: 0.70 Tied columns: 0.80

Steel H-piles 0.85 0.78

Steel pipe 0.85 0.87

Timber 1.20* 0.82

Drilled shafts Spiral columns: 0.75 Spiral columns: 0.85

Tied columns: 0.70 Tied columns: 0.80

Note: pf is greater than unity for timber piles because the average load factor for vertical loads is greater than the FS.

Figure 2-1. Eccentric load on a pile group

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Figure 2-2. Limits to pile driving stresses

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Table 2-7
Minimum Requirements for Drilled Shaft Design

(Sheet 1 of 3)

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Table 2-7 (Continued)

(Sheet 2 of 3)

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Table 2-7 (Concluded)

(Sheet 3 of 3)

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4. Structural Design of Drilled Shafts bending moments are usually negligible near the pile bottom.
Chapter 4 discusses procedures for calculating the
Most drilled shaft foundations will be subject to lateral loads, distribution of bending moments to determine where steel
bending moments, and shear stresses in addition to will be placed in the pile.
compressive stresses from vertical loads. Eccentrically
vertical applied loads can generate additional bending (2) Load factors are applied to the design live and dead
moments. loads to ensure adequate safety against structural failure of
the shaft. An example is worked out in Table 2-7c for FDL =
a. Eccentricity. If bending moments and shears are not 1.35 and FLL = 2.25 for a shaft supporting a bridge column.
specified, the minimum eccentricity should be the larger of
2 inches or 0.1Bs, where Bs is the shaft diameter, when tied (3) The minimum reinforcement steel, normally
cages of reinforcement steel are used and 1 inch or 0.05Bs recommended, is 1 percent of the total cross-sectional area of
when spiral cages are used. The minimum eccentricity drilled shaft expected to be exposed along their length by
should be the maximum permitted deviation of the shaft out scour or excavation. Reinforcement steel should be full
of its plan alignment that does not require special length for shafts constructed in expansive soil and for shafts
computations to calculate the needed reinforcement if larger requiring casing while the hole is excavated. Shaft diameter
eccentricities are allowed. should be increased if the reinforcement steel required to
resist bending such that adequate voids through the
b. Design example. Table 2-7 describes evaluation of reinforcement cage will be provided to accommodate the
the shaft cross section and percent reinforcement steel maximum aggregate size of the concrete.
required for adequate shaft strength under design loads.
(4) The maximum applied axial load should also include
(1) The maximum bending moment, Mmax, is required to maximum downdrag forces for a shaft in compressible soil
determine the amount of reinforcement steel to resist and the maximum uplift thrust for a shaft in expansive soil.
bending. The maximum factored vertical working load, Qw, Uplift thrust may develop before the full structural load is
and the estimate of the maximum applied lateral load, Tmax, applied to the shaft. Under such conditions, smaller amounts
are used to calculate Mmax . The full amount of reinforcing of reinforcement may be used if justified on the basis of
steel is not required near the bottom of the pile because relevant and appropriate computations.

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Chapter 4 1 load. As shown later, the computational procedure allows the

Lateral Loads detrmination of the axial load at which the pile will buckle.

1. Description of the Problem c. Soil representation. The soil around the pile is
replaced by a set of mechanisms indicating that the soil
a. Design philosophy. Deep foundations must often resistance p is a nonlinear function of pile deflection y. The
support substantial lateral loads as well as axial loads. While mechanisms, and the corresponding curves that represent their
axially loaded, deep foundation elements may be adequately behavior, are widely spaced but are considered to be very close
designed by simple statis methods, design methodology for lateral in the analysis. As may be seen in Figure 4-1, the p-y curves are
loads is more complex. The solution must ensure that fully nonlinear with respect to distance x along the pile and pile
equilibrium and soil-structure-interation compatability are deflection y. The curve for x = x1 is drawn to indicate that the
satisfied. Nonlinear soil response complicates the solution. pile may deflect a finite distance with no soil resistance. The
Batter piles are included in pile groups to improve the lateral curve at x = x2 is drawn to show that the soil is deflection-
capacity when vertical piles alone are not sufficient to support the softening. There is no reasonable limit to the variations that can
loads. be employed in representing the response of the soil to the lateral
deflection of a pile.
b. Cause of lateral loads. Some causes of lateral loads are
wind forces on towers, buildings, bridges and large signs, the d. The p-y curve method. The p-y method is extremely
centripetal force from vehicular traffic on curved highway versatile and provides a practical means for design. The method
bridges, force of water flowing against the substructure of was suggested over 30 years ago (McCelland and Focht 1958).
bridges, lateral seismic forces from earthquakes, and backfill Two developments during the 1950's made the method possible:
loads behind walls. the digital computer for solving the problem of the nonlinear,
fourth-order differential equation for the beam-column; and the
c. Factors influencing behavior. The behavior of laterally remote-reading strain gauge for use in obtaining soil-response
loaded deep foundations depends on stiffness of the pile and soil, (p-y) curves from field experiments. The method has been used
mobilization of resistance in the surrounding soil, boundary by the petroleum industry in the design of pile-supported
conditions (fixity at ends of deep foundation elements), and platforms and extended to the design of onshore foundations as,
duration and frequency of loading. for example by publications of the Federal Highway
Administration (USA) (Reese 1984).
2. Nonlinear Pile and p-y Model for Soil.
(1) Definition of p and y. The definition of the quantities
a. General concept. The model shown in Figure 4-1 is p and y as used here is necessary because other approaches have
emphasized in this document. The loading on the pile is general been used. The sketch in Figure 4-2a shows a uniform
for the two-dimensional case (no torsion or out-of-plane distribution of unit stresses normal to the wall of a cylindrical
bending). The horizontal lines across the pile are intended to pile. This distribution is correct for the case of a pile that has
show that it is made up of different sections; for example, steel been installed without bending. If the pile is caused to deflect a
pipe could be used with the wall thickness varied along the distance y (exaggerated in the sketch for clarity), the distribution
length. The difference-equation method is employed for the of unit stresses would be similar to that shown in Figure 4-2b.
solution of the beam-column equation to allow the different The stresses would have decreased on the back side of the pile
values of bending stiffness to be addressed. Also, it is possible, and increased on the front side. Both normal and a shearing
but not frequently necessary, to vary the bending stiffness with stress component may developed along the perimeter of the
bending moment that is computed during interation cross section. Integration of the unit stresses will result in the
quanity p which acts opposite in direction to y. The dimensions
b. Axial load. An axial load is indicated and is considered of p are load per unit length along the pile. The definitions of p
in the solution with respect to its effect on bending and not in and y that are presented are convenient in the solution of the
regard to computing the required length to support a given axial differential equation and are consistent with the quantities used
in the solution of the ordinary beam equation.

1
Portions of this chapter were abstracted from the writings (2) Nature of soil response. The manner in which the soil
of Dr. L. C. Reese and his colleagues, with the permission responds to the lateral deflection of a pile can be examined by
of Dr. Reese. examined by considering the pipe pile shown

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Figure 4-1. Model of pile under lateral loading with p-y curves

in Figure 4-3. Two slices of soil are indicated; the element A

is near the ground surface and the element B is several (a) Ultimate resistance to lateral movement. With regard
diameters below the ground surface. Consideration will be to the ultimate resistance at element A in Figure 4-3, Figure 4-5
given here to the manner in which those two elements of soil shows a wedge of soil that is moved up and away from a pile.
react as the pile deflects under an applied lateral load. Figure 4- The ground surface is represented by the plane ABCD, and soil
4 shows a p-y curve that is conceptual in nature. The curve is in contact with the pile is represented by the surface CDEF. If
plotted in the first quadrant for convenience and only one branch the pile is moved in the direction indicated, failure of the soil in
is shown. The curve properly belongs in the second and fourth shear will occur on the planes ADE, BCF, and AEFB. The
quadrants because the soil response acts in opposition to the horizontal force Fp against the pile can be computed by summing
deflection. The branch of the p-y curves 0-a is representative of the horizontal components of the forces on the sliding surfaces,
the elastic action of the soil; the deflection at point a may be taking into account ote gravity force on the wedge of soil. For a
small. The branch a-b is the transition portion of the curve. At given value of H, it is assumed that the value of the horizontal
point b the ultimate soil resistance is reached. The following force on the pile is
paragraphs will deal with the ultimate soil resistance.

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Figure 4-17. Pile deflection produced by lateral load at mudline

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Figure 4-18. Pile deflection produced by moment applied at mudline

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Figure 4-19. Slope of pile caused by lateral load at mudline

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Figure 4-20. Slope of pile caused by moment applied at mudline

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Figure 4-21. Bending moment produced by lateral load at mudline

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Figure 4-22. Bending moment produced by moment applied at mudline

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Figure 4-23. Shear produced by lateral load at mudline

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Figure 4-24. Shear produced by moment applied at mudline

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Figure 4-25. Deflection of pile fixed against rotation at mudline

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Figure 4-26. Soil-response curves

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Figure 4-27. Graphical solution for relative stiffness factor

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The following table shows the computation of the values of certain that the two methods could not have been brought
deflection and bending moment as a function of depth, using into perfect agreement. An examination of Figure 4-27a
the above equations. The same problem was solved by shows that is impossible to fit a straight line through the
computer and results from both methods are plotted in plotted values of Es versus depth; therefore, Es = kx will not
Figure 4-28. As may be seen, the shapes of both sets of yield a perfect solution to the problem, as demonstrated in
curves are similar, the maximum moment from the hand Figure 4-28. However, even with imperfect fitting in
method and from computer agree fairly well, but the Figure 4-27a and with the crude convergence shown in
computed deflection at the top of the pile is about one-half Figure 4-27b, the computed values of maximum bending
the value from the nondimensional method. One can moment from the hand solution and from computer agreed
conclude that a closed convergence may have yielded a remarkably well. The effect of the axial loading on the
smaller value of the relative stiffness factor to obtain a deflection and bending moment was investigated with the
slightly better agreement between the two methods, but it is computer by assuming that the pile had an axial load of

Depth (in.) z Ay y (in.) AM M (in. lb/106)

0 0.0 2.43 2.29 0.0 0

17 0.2 2.11 1.99 0.198 0.499

34 0.4 1.80 1.70 0.379 0.955

50 0.6 1.50 1.41 0.532 1.341

67 0.8 1.22 1.15 0.649 1.636

84 1.0 0.962 0.91 0.727 1.832

101 1.2 0.738 0.70 0.767 1.933

118 1.4 0.544 0.51 0.772 1.945

151 1.8 0.247 0.23 0.696 1.754

210 2.5 -0.020 -0.02 0.422 1.063

252 3.0 -0.075 -0.07 0.225 0.567

294 3.5 -0.074 -0.07 0.081 0.204

336 4.0 -0.050 -0.05 0.0 0

100 kips. The results showed that the groundline deflection results, not shown here, yielded an ultimate load of 52 kips.
increased about 0.036 inches, and the maximum bending The deflection corresponding to that load was about
moment increased about 0.058 × 106 in-lb; thus, the axial 3.2 inches.
load caused an increase of only about 3 percent in the values
computed with no axial load. However, the ability to use an (7) Apply global factor of safety (step 7). The selection
axial load in the computations becomes important when a of the factor of safety to be used in a particular design is a
portion of a pile extends above the groundline. The function of many parameters. In connection with a particular
computation of the buckling load can only be done properly design, an excellent procedure is to perform computations
with a computer code. with upper-bound and lower- bound values of the principal
factors that affect a solution. A comparison of the results
(6) Repeat solutions for loads to obtain failure moment may suggest in a particular design that can be employed with
(step 6). As shown in the statement about the dimensions of safety. Alternatively, the difference in the results of such
the pile, the ultimate bending moment was incremented to computations may suggest the performance of further tests
find the lateral load Pt that would develop that moment. The of the soil or the performance of full-scale field tests at the

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construction site. tests, when properly interpreted, can lead to better ideas
about the response of the soil. However, it is unlikely that
5. Status of the Technology there will be much changein the basic method of analysis.
The solution of the difference equations by numerical
The methods of analysis presented herein will be improved techniques, employing curves at discrete locations along a
in time by the development of better methods of pile to represent the response of the soil or distributed
characterizing soil and by upgrading the computer code. In loading, is an effective method. The finite element method
this latter case, the codes are being constantly refined to may come into more use in time but, at present, information
make them more versatile, applicable to a wider range of on the characterization of the soil by that method is
problems, and easier to use. From time to time tests are inadequate.
being performed in the field with instrumented piles. These

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Figure 4-28. Comparison of deflection and bending moment from

nondimensional and computer solutions

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Chapter 5 b. Batter. Battered piles are used in groups of at least two or

Pile Groups more piles to increase capacity and loading resistance. The angle of
inclination should rarely exceed 20 degrees from the vertical for
1. Design Considerations normal construction and should never exceed 26½ degrees.
Battered piles should be avoided where significant negative skin
This chapter provides several hand calculation methods for a quick friction and downdrag forces may occur. Batter piles should be
estimate of the capacity and movement characteristics of a selected avoided where the structure’s foundation must respond with
group of driven piles or drilled shafts for given soil conditions. A ductility to unusually large loads or where large seismic loads can be
computer assisted method such as described in Chapter 5, transferred to the structure through the foundation.
paragraph 4, is recommended for a detailed solution of the
performance of driven pile groups. Recommended factors of safety c. Fixity. The fixity of the pile head into the pile cap influences
for pile groups are also given in Table 3-2. Calculation of the the loading capacity of the pile group. Fixing the pile rather than
distribution of loads in a pile group is considered in paragraph 2b, pinning into the pile cap usually increases the lateral stiffness of the
Chapter 2. group, and the moment. A group of fixed piles can therefore support
about twice the lateral load at identical deflections as the pinned
a. Driven piles. Driven piles are normally placed in groups group. A fixed connection between the pile and cap is also able to
with spacings less than 6B where B is the width or diameter of an transfer significant bending moment through the connection. The
individual pile. The pile group is often joined at the ground surface minimum vertical embedment distance of the top of the pile into the
by a concrete slab such as a pile cap, Figure 5-1a. If pile spacing cap required for achieving a fixed connection is 2B where B is the
within the optimum range, the load capacity of groups of driven piles pile diameter or width.
in cohesionless soils can often be greater than the sum of the
capacitites of isolated piles, because driving can compact sands and d. Stiffness of pile cap. The stiffness of the pile cap will
can increase skin friction and end-bearing resistance. influence the distribution of structural loads to the individual piles.
The thickness of the pile cap must be at least four times the width of
b. Drilled shafts. Drilled shafts are often not placed in closely an individual pile to cause a significant influence on the stiffness of
spaced groups, Figure 5-1b, because these foundations can be the foundation (Fleming et al. 1985). A ridgid cap can be assumed
constructed with large diameters and can extend to great depths. if the stiffness of the cap is 10 or more times greater than the stiffness
Exceptions include using drilled shafts as retaining walls or to of the individual piles, as generally true for massive concrete caps.
improve the soil by replacing existing soil with multiple drilled A rigid cap can usually be assumed for gravity type hydraulic
shafts. Boreholes prepared for construction of drilled shafts reduce structures.
effective stresses in soil adjacent to the sides and bases of shafts
already in place. The load capacity of drilled shafts in cohesionless e. Nature of loading. Static, cyclic, dynamic, and transient
soils spaced less than 6B may therefore be less than the sum of the loads affect the ability of the pile group to resist the applied forces.
capacities of the individual shafts. For end-bearing drilled shafts, Cyclic, vibratory, or repeated static loads cause greater
spacing of less than 6B can be used without significant reduction in displacements than a sustained static load of the same magitude.
load capacity. Displacements can double in some cases.

2. Factors Influencing Pile Group Behavior f. Driving. The apparent stiffness of a pile in a group may be
greater than that of an isolated pile driven in cohesionless soil
Piles are normally constructed in groups of vertical, batter, or a because the density of the soil within and around a pile group can be
combination of vertical and batter piles. The distribution of loads increased by driving. The pile group as a whole may not reflect this
applied to a pile group are transferred nonlinearly and increased stiffness because the soil around and outside the group
indeterminately to the soil. Interaction effects between adjacent may not be favorably affected by driving and displacements larger
piles in a group lead to complex solutions. Factors considered than anticipated may occur.
below affect the resistance of the pile group to movement and load
transfer through the pile group to the soil. g. Sheet pile cutoffs. Sheet pile cutoffs enclosing a pile group
may change the stress distribution in the soil and influence the
a. Soil modulus. The elastic soil modulus Es and the lateral group load capacity. The length of the cutoff should be
modulus of subgrade reaction E1s relate lateral, axial, and rotational determined from a flow net or other seepage analysis. The
resistance of the pile-soil medium to displacements. Water table net pressure acting on the cutoff is the sum of the
depth and seepage pressures affect the modulus of cohesionless soil. unbalanced earth and water pressures caused by the
The modulus of submerged sands should be reduced by the ratio of
the submerged unit weight divided by the soil unit weight.

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Figure 5-1. Groups of deep foundations

cutoff. Steel pile cutoffs should be considered in the analysis as h. Interaction effects. Deep foundations where spacings
not totally impervious. Flexible steel sheet piles should cause between individual piles are less than six times the pile width B
negligible load to be transferred to the soil. Rigid cutoffs, such cause interaction effects between adjacent piles from
as a concrete cutoff, will transfer the unbalanced earth and water
pressures to the structure and shall be accounted for in the
analysis of the pile group.

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Table 5-1
Equivalent Mat Method of Group Pile Capacity Failure in Soft Clays

where n = number of piles in the group

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Figure 5-4. Simplified structure showing coordinate systems and sign

conventions

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Figure 5-5. Set of pile resistance functions for a given pile

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with no fine particles. The surface of the backfill is treated was further assumed that the pile heads were free to rotate.
to facilitate a runoff, and weep holes are provided so that As noted earlier, the factor of safety must be in the loading.
water will not collect behind the wall. The forces P1 , P2 , Therefore, the loadings shown in Table 5-3 were used in the
Ps , and wP (shown in Figure 5-6) were computed as preliminary computations. Table 5-4 shows the movements
follows: 21.4, 4.6, 18.4, and 22.5 kips, respectively. The of the origin of the global coordinate system when
resolution of the loads at the origin of the global coordinate equation 5-19 through 5-21 were solved simultaneously.
system resulted in the following service loads: Pv = 46 kips, The loadings were such that the pile response was almost
Ph = 21 kips, and M = 40 foot-kips (some rounding was linear so that only a small number of iterations were
done). The moment of inertia of the gross section of the pile
was used in the analysis. The flexural rigidity EI of the piles
was computed to be 5.56 × 109 pounds per square inch.
Computer Program PMEIX was run and an interaction
diagram for the pile was obtained. That diagram is shown
in Figure 5-7. A field load test was performed at the site
and the ultimate axial capacity of a pile was found to be 176
kips. An analysis was made to develop a curve showing
axial load versus settlement. The curve is shown in
Figure 5-8. The subsurface soils at the site

Figure 5-8. Axial load versus settlement for

reinforced concrete pile

required to achieve converenge. The computed pile-head

movements, loads, and moments are shown in Table 5-5.

(6) Verify results. The computed loading on the piles is

shown in Figure 5-9 for Case 4. The following check is
made to see that the equilibrium equations are satisfied.
Figure 5-7. Interaction diagram of reinforced concrete pile

E Fv ’ 24.2 % 97.2 cos 14 &14.3 sin 14

consist of silty clay. The water content averaged 20 percent
in the top 10 feet and averaged 44 percent below 10 feet. ’ 24.2 % 94.3 & 3.5 ’ 115.0 kips OK
The water table was reported to be at a depth of 10 feet EFh ’ 15.2 % 14.3 cos 14 % 97.2 sin 14
from the soil surface. There was a considerable range in the
undrained shear strength of the clay and an average value of ’ 15.2 % 13.9 % 23.6 ’ 52.7 kips OK
3 kips per square foot was used in the analysis. A value of EM ’ & (24.2 ) (1.5 ) % ( 97.2 cos 14) ( 1.5)
the submerged unit weight of 46 pounds per cubic foot as
& (14.3 sin 14) (1.5 )
employed and the value of g50 was estimated to be 0.005. In
making the computations, the assumption was made that all ’ & 36.3 % 141.4 & 5.2
of the load was carried by piles with none of the load taken ’ 99.9 ft&kips OK
by passive earth pressure or by the base of the footing. It

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Table 5-3
Values of Loading Employed in Analyses

Case Loads, kips moment, ft-kips Comment

Pv Ph

1 46 21 40 service load

2 69 31.5 60 1.5 times service load

3 92 42 80 2 times service load

4 115 52.5 100 2.5 times service load

Note: Pv /Ph = 2.19

Table 5-4
Computed Movements of Origin of Global Coordinate System

Case Vertical movement v Horizontal movement h Rotation

in. in. rad

1 0.004 0.08 9 × 10-5

2 0.005 0.12 1.4 × 10-4

3 0.008 0.16 1.6 × 10-4

4 0.012 0.203 8.4 × 10-5

Thus, the retaining wall is in equilibrium. A further check been employed to take into account the effect of a single
can be made to see that the conditions of compatibility are pile on others in the group. Solutions have been developed
Figure 5-8, an axial load of 97.2 kips results in an axial (Poulos 1971; Banerjee and Davies 1979) that assume a
deflection of about 0.054 inch, a value in reasonable linear response of the pile-soil system. While such
satisfied. One check can be made at once. Referring to methods are instructive, there is ample evidence to show
agreement with the value in Table 5-5. Further checks on that soils cannot generally be characterized as linear,
compatibility can be made by using the pile-head loadings homogeneous, elastic materials. Bogard and Matlock
and Computer Program COM622 to see if the computed (1983) present a method in which the p-y curve for a
deflections under lateral load are consistent with the values single pile is modified to take into account the group effect.
tabulated in Table 5-5. No firm conclusions can be made Excellent agreement was obtained between their computed
concerning the adequacy of the particular design without results and results from field experiments (Matlock et al.
further study. If the assumptions made in performing the 1980). Two approaches to the analysis of a group of
analyses are appropriate, the results of the analyses show closely spaced piles nder lateral load are given in the
the foundation to be capable of supporting the load. As a following paragraphs. One method is closely akin to the
matter of fact, the piles could probably support a wall of use of efficiency formulas, and the other method is based
greater height. on the assumption that the soil within the pile group moves
laterally the same amount as do the piles.
c. Closely spaced piles. The theory of elasticity has

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The deflection and stress are for a single pile. If a single obtaining reliable estimates of the performance of pile
pile is analyzed with a load of 50 kips, the groudline groups. Several computer programs can assist the analysis
deflection was 0.355 inch and the bending stress was 23.1 and design of groups.
kips per square inch. Therefore, the solution with the
imaginary large-diameter single pile was more critical. a. CPGA. Program CPGA provides a three-
dimensional stiffness analysis of a group of vertical and/or
5. Computer Assisted Analysis battered piles assuming linear elastic pile-soil interaction,
a rigid pile cap, and a rigid base (WES Technical Report
A computer assisted analysis is a reasonable alternative for ITL-89-3). Maxtrix methods are used to incorporate
position and batter of piles as well as piles of different
sizes and materials. Computer program CPGG displays
the geometry and results of program CPGA.

b. STRUDL. A finite element computer program such

as STRUDL or SAP should be used to analyze the
performance of a group of piles with a flexible base.

c. CPGC. Computer program CPGC develops the

interaction diagrams and data required to investigate the
structural capacity of prestressed concrete piles (WES
Instruction Report ITL-90-2).

d. CPGD. Computer program (Smith and Mlakar

1987) extends the rigid cap analysis of program CPGA to
provide a simplified and realistic approach for seismic
analysis of pile foundations. Program CPGD (in
development stage at WES) includes viscous damping and
response-spectrum loading to determine pile forces and
moments.

Figure 5-10. Plan and evaluation of foundation

analyzed in example problem

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Chapter 6 of construction at locations specified by the design engineer or

Verification of Design at suspicious locations to confirm the capability of the driven
piles to support the structure. PDA should also be performed
1. Foundation Quality during the driving of indicator piles and some static load tests
performed to calibrate wave equation analyses. Table 6-1
Construction can cause defects in driven piles or drilled shafts. illustrates an example procedure for verifying pile design.
Unfortunately, an installed deep foundation is mostly below the Analyses by wave equation and pile driving are presented.
ground surface and cannot be seen. The quality of the
foundation should be verified to ensure adequate structural a. Wave equation analysis. The penetration resistance in
integrity, to carry the required load without a bearing capacity blows/feet (or blows/inch) measured when the pile tip has been
failure, to limit displacements of the structure to within driven to the required depth can be used to calculate the ultimate
acceptable levels, and to avoid unnecessary overdesign of the bearing capacity and verify design. Wave equation analyses can
foundation. This chapter describes methods commonly used to relate penetration resistance to the static ultimate bearing
verify the capability of the foundation to support a structure. capacity.
These methods are nondestructive and usually permit the tested
piles or drilled shafts to be used as part of the foundation. (1) Computer program GRLWEAP. A wave equation
analysis is recommended, except for the simplest projects when
a. Indicators of problem with driven piles. Piles driven into adequate experience and data already exist, for estimating the
soils with variable stratification that show driving records behavior of pile driving and confirming pile performance. This
containing erratic data, which cannot be explained by the analysis may be accomplished using program GRLWEAP
construction method, indicate possible pile damage. Failure to (Goble et al. 1988), Wave Equation Analysis of Pile Driving,
reach the prescribed tip elevation or penetration rate also licensed to WES. Program GRLWEAP and user’s manual with
indicates pile damage. Other indicators include drifting of the applications are available to offices of the Corps of Engineers.
pile off location, erratic driving unexplained by the soil GRLWEAP models the pile driving and soil system by a series
stratification, and a sudden decrease in driving resistance or of elements supported by linear elastic springs and dashpots with
interference with nearby piles as indicated by sound or assumed parameters, Figure 6-1. Each dashpot and spring
vibration. A pile can also be damaged during extraction. represent a pile or soil element. Information required to use this
program includes indentification of the hammer (or ram) and
b. Indicators of problems with drilled shafts. Most hammer cushion used, description of the pile, and soil input
problems with drilled shafts are related to construction parameters. Hammer selection is simplified by using the
deficiencies rather than design. Such problems result from hammer data file that contains all the required information for
inadequate information of the subsurface soil and groundwater numerous types of hammers. A simple guide for selection of
conditions provided to the contractor, inadequate clean-out soil input parameters to model the soil resistance force is
including the presence of water in the excavation prior to provided as follows:
concrete placement, inadequate reinforcement, and other
complications during concrete placement. Drilled shaft failures (a) The soil resistance force consists of two components, one
may result from neglecting vertical dimensional changes in depends on pile displacement, and theother depends on pile
shrinking and swelling soil as those described in TM 5-818-7. velocity. Pile displacement dependent resistance models static
soil behavior, and it is assumed to increase linearly up to a
2. Driven Piles limiting deformation, which is the quake. Deformation beyond
the quake requires no additional force. The pile velocity
Piles can be bent or sheared during installation and can cause a component models depend on soil damping charactertistics
reduction in pile capacity. Piles can also undergo excessive where the relationship between soil resistance and velocity is
tensile stresses during driving, specifically when soil layers have linear and the slope of such relationship is the damping constant.
variable density or strength or when there is no significant end Quake and damping constants are required for both skin friction
bearing resistance. Field test procedures such as standard and end-bearing components. Table 6-2 gives recommended
penetration tests, pile driving analysis (PDA) with the wave soil parameters, which should be altered depending on local
equation, restrikes, and pile load tests can determine the ability experience. The distribution of soil resistance between skin
of the pile to carry design loads. Refer to paragraph 4, Chapter friction and end bearing, which depend on the pile and soil
6, for guidance on load tests. Typically 2 to 5 percent of the bearing strata, is also required. End-bearing piles may have
production piles should be driven as indicator piles, at the start all of the soil resistance in end

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Table 6-1
Procedure for Verifying Design and Structural Integrity of Driven Piles

Step Procedure

1 Complete an initial wave equation analysis selecting soil damping constants Jc , quakes u , distribution of soil
resistance between skin friction and end bearing and the ultimate bearing capacity Qu . Use the proposed pile and
driving system. Adjust driving criteria as needed to reduce pile stresses and to optimize pile driving.

2 Drive indicator piles, typically 2 to 5 percent of the production piles, at locations specified by the design engineer using
driving criteria determined by the wave equation analysis. Complete additional wave equation analysis using actual
hammer performance and adjust for changes in soil strength such as from freeze or relaxation. Drive to various
depths and determine penetration resistances with the PDA using the Case method to determine the static ultimate
bearing capacity Qu .

3 Restrike the piles after a minimum waiting period, usually 1 day, using the PDA and Case methods to determine actual
bearing capacity that includes soil freeze and relaxation.

4 Perform CAPWAPC analysis to calibrate the wave equation analysis and to verify field test results. Determine Qu ,
hammer efficiency, pile driving stresses and structural integrity, and an estimate of the load-displacement behavior.

5 Perform static load tests to confirm the dynamic test results, particularly on large projects where savings can be made
in foundation costs by use of lower factors of safety. Dynamic tests may also be inconclusive if the soil resistance
cannot be fully mobilized by restriking or by large strain blows such as in high capacity soil, intact shale, or rock. Static
load tests can be significantly reduced for sites where dynamic test results are reliable.

6 Additional piles should be dynamically tested during driving or restruck throughout pile installation as required by
changes in soil conditions, load requirements, piles, or changes in pile driving.

7 Each site is unique and often has unforeseen problems. Changes may be required in the testing program, type and
length of pile, and driving equipment. Waivers to driving indicator piles and load testing requirements or approval for
deviations from these procedures must be obtained from HQUSACE/CEMP-ET.

bearing, while friction piles may have all of the soil resistance in skin Government personnel using clearly defined data provided by the
friction. contractor.

(b) A bearing-capacity graph is commonly determined to relate (2) Analysis prior to pile installation. A wave equation analysis
the ultimate bearing capacity with the penetration resistance in should be performed prior to pile driving as a guide to select
blow/feet (or blows/inch). The penetration resistance measured at properly sized driving equipment and piles to ensure that the piles
the pile tip is compared with the bearing-capacity graph to can be driven to final grade without exceeding the allowable pile
determine how close it is to the ultimate bearing capacity. The driving stresses.
contractor can then determine when the pile has been driven
sufficiently to develop the required capacity. (3) Analysis during pile installation. Soil, pile, and driving
equipment parameters used for design should be checked to closely
(c) Wave equation analysis also determines the stresses that correspond with actual values observed in the field during
develop in the pile. These stresses may be plotted versus the installation. Sound judgment and experience are required to
penetration resistance or the ultimate pile capacity to assist the estimate the proper input parameters for wave equation analysis.
contractor to optimize pile driving. The driving force can be
adjusted by the contractor to maintain pile tensile and compressive (a) Hammer efficiencies provided by the manufacturer may
stresses within allowable limits. overestimate energy actually absorbed by the pile in the field and

(d) GRLWEAP is a user friendly program and can provide

results within a short time if the engineer is familiar with details of
the pile driving operation. The analysis should be performed by

6-2
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Figure 6-1. Schematic of wave equation model

may lead to an overestimate of the bearing capacity. Significant error may lose strength during driving which can cause remolding and
in estimating ahmmer efficiency is also possible for driving batter increasing pore water pressure. Densification of sands during driving
piles. A bracket analysis is recommended for diesel hammers with contribute to a buildup of pore pressure. Strength regain is increased
variable strokes. Results of the PDA and ststic with variable with time, after the soil freeze or setup. Coral sands may have
strokes. Results of the PDA and static load tests described below and exceptionally low penetration resistance during driving, but a
proper inspection can be used to make sure that design parameters reduction in pore pressure after driving and cementation that
are realistic and that the driven piles will have adequate capacity. increases with time over a period of several weeks to months can
contribute substantially to pile capacity. Significant cementation
(b) Results of wave equation analysis may not be applicable if may not occur in several weeks.
soil freeze (setup) occurs. Saturated sensitive clays and loose sands

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(c) Penetration resistance is dense, final submerged sand, penetration resistance occurs with time after driving. Driving
inorganic silts or stiff, fissured, friable shale, or clay stone can equipment and piles shall be selected with sufficient capacity to
dramatically increase during driving, apparently from dilation and overcome driving resistance or driving periodically delayed to allow
reduced pore water pressure. A “relaxation” (decrease) in pore water pressures to increse.

Table 6-2
Recommended Soil Parameters for Wave Equation (Copyright permission, Goble, Rausche, Likins and Associates, Inc. 1988)

Damping Constants Jc , seconds/ft (seconds/m) Quake u , inches (mm)

Soil Skin Tip Skin Tip1

Cohesionless 0.05 (0.16) 0.15 (0.50) 0.10 (2.54) Bb / 120

Cohesive 0.30 (0.90) 0.15 (0.50) 0.10 (2.54) Bb / 120

1
Selected tip quake should not be less than 0.05 inch. Bb is the effective tip (base) diameter; pipe piles should be plugged.

(d) The pile shall be driven to a driving resistance that (1) PDA equipment. PDA can be performed routinely in the
exceeds the ultimate pile capacity determined from results of field following a schematic arrangement shown in Figure 6-2.
wave equation analysis or penetration resistance when The system includes two strain transducers and two
relaxation is not considered. Driving stresses in the pile shall not accelerometers bolted to the pile near its top, which feed data to
exceed allowable stress limits. Piles driven into soils with freeze the pile driving analyzer equipment. The oscilloscope monitors
or relaxation effects should be restruck at a later time such as one signals from the transducers and accelerometers to indicate data
or more days after driving to measure a more realistic quality and to check for pile damage. The tape recorder stores
penetration resistance for design verification. the data, while an optional plotter can plot data. Digital
computations of the data are controlled with a Motorola 68000
(e) Analysis of the bearing capacity and performance of the microprocessor with output fed to a printer built into the pile
pile by wave equation analysis can be contested by the driving analyzer. The printer also documents input and output
contractor and resolved at the contractor’s expense through selections.
resubmittals performed and sealed by a registered engineer. The
resubmittal should include field verification using driving and (a) The strain transducers consist of four resistance foil
load tests, and any other methods approved by the Government gauges attached in a full bridge.
design engineer.
(b) The piezoelectric accelerometers measure pile motion
b. Pile driving analysis. Improvements in electronic and consist of a quartz crystal that produces a voltage
instruments permit the measurement of data for evaluating proportional to the pressure caused by the accelerating pile
hammer and driving system performance, pile driving stresses, mass.
structural integrity, and ultimate pile capacity. The required data
may be measured and pile performance evaluated in fractions of (c) Data can be sent from the pile driving analyzer to other
a second after each hammer blow using pile driving analyzer equipment such as a plotter, oscilloscope, strip chart recorder,
equipments. PDA is also useful when restriking piles after some modem for transmitting data to a distant office or analysis center,
time following pile installation to determine the effects of freeze and a computer. The computer can be used to analyze pile
or relaxation on pile performance. The Case method (Pile Buck, performance by the Case and CAPWAPC methods.
Inc. 1988) developed at Case Institute of Technology (now Case
Western Reserve University) is the most widely used technique. (2) Case Method. This method uses the force F (t) and
The CAPWAPC analytical method is also applied with results acceleration ä (t) measured at the pile top as a function of time
of the PDA to calibrate the wave equation analysis and to lead to during a hammer blow. The velocity v (t) is obtained by
reliable estimates of the ultimate static pile capacity provided soil integrating the acceleration. The PDA and its transducers were
freeze, relaxation, or long-term changes in soil characteristics are developed to obtain these data for the Case method.
considered. The CAPWAPC method quakes and damping
factors, and therefore, confirms input data required for the wave
equation analysis.

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t1 is often selected as the time at the first maximum velocity. R is

the sum of the static soil (displacement dependent), Qu and the
dynamic (velocity dependent) D components are of the capacity.

(b) Static soil capacity Qu can be calculated from R by

Qu ’ R & Jc (2 Zp Vtop & R) (6-2)

where Vtop is the velocity of the wave measured at the pile top at
time t1. Approximate damping constants Jc have already been
determined for soils as given in Table 6-2 by comparing Case
method calculations of static capacity with results of load tests.
J c can be fine tuned to actual soil conditions if load test results
are available.

(c) Proper calculation of Qu requires that the displacement

obtained by integration of the velocity at time t1, v(t1), exceeds
the quake (soil compression) required for full mobilization of
soil r esistance. Selection of time t1 corresponding to the first
maximum velocity is usually sufficient.

(d) A correction for ealy skin friction unloading causing a

negative velocity may be required for long piles with high skin
friction. The upper shaft friction may unload if the pile top is
moving upward before the full resistance is mobilized. A proper
correction can be made by adding the skin friction resistance that
was unloaded to the mobilized soil resistance.

(e) Proper calculation to static resistance requires that freeze

or relaxation effects are not present. Piles may be restruck after
a waiting period such as 1 day or more to allow dissipation of
pore water pressures.

(f) The driving force must be sufficient to cause the soil to

fail; otherwise, ultimate capacity is only partially mobilized and
the full soil resistance will not be measured.

(3) CAPWAPC method. This is an analytical method that

combines field measured data with wave equation analysis to
calculate the static ultimate bearing capacity and distribution of
the soil resistance. Distribution of soil resistance, Qu , and the
pile load-displacement behavior calculated by the CAPWAPC
method may be used to evaluate the damping constant Jc ,
quakes and soil resistances required in the Case method, and to
confirm the determination of Qu calculated using the Case
method. The CAPWAPC method is often used as a supplement
to load tests and may replace some load tests.

(a) The CAPWAPC method is begun using a complete set

of assumed input parameters to perform a wave equation
analysis. The hammer model, which is used to calculate the pile
velocity at the top, is replaced by a velocity that is imposed at the
top pile element. The imposed velocity is made equal to the

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velocity determined by integration of the acceleration. The provided to the contractor to optimize selection of driving
CAPWAPC method calculates the force required to give the equipment and cushions, to optimize pile driving, to reduce pile
imposed velocity. This calculated force is compared with the stresses, to reduce construction cost, and to improve construction
force measured at the pile top. The soil input parameters are quality. The foundation will be of higher quality, and structural
subsequently adjusted until the calculated and measured forces integrity is more thoroughly confirmed with the PDA method
and calculated and measured velocities agree as closely as because more piles can be tested by restriking the pile than can
practical such as illustrated in Figure 6-3. The CAPWAPC be tested by applying actual static loads. PDA can also be used
method may also be started by using a force imposed at the pile to simulate pile load test to failure, but the pile can still be used
top rather than an imposed velocity. The velocity is calculated as part of the foundation, while actual piles loaded to failure may
and then compared with the velocity measured at the pile top. not be suitable foundation elements.
The CAPWAPC method is applicable for simulating static and
dynamic tests. 3. Drilled Shafts

(b) A simulated static load test may be performed using the Drilled shafts should be constructed adequately and certified by
pile and soil models determined from results of a CAPWAPC the inspector. Large shafts supporting major structures are
analysis. The pile is incrementally loaded, and the force and sometimes tested to ensure compliance with plans and
displacements at the top of the pile are computed to determine specifications. Sonic techniques may be used to ascertain
the load-displacement behavior. Actual static load test results homogeneity of the foundation. Sonic wave propagation with
can be simulated within 10 to 15 percent of computed results if receiver embedded in the concrete is the most reliable method
the available static resistance is fully mobilized and time for detecting voids or other defects. Striking a drilled shaft as ina
dependent soil strength changes such as soil freeze or relaxation large strain test with PDA and wave equation analysis is
are negligible. recommended for analysis of the ultimate pile capacity and load-
displacement behavior as decribed above for driven piles. A
(c) Dynamic tests with PDA and the CAPWAPC method large strain test may be conducted by dropping a heavy load onto
provide detailed information that can be used with load factor the head of the shaft using a crane. Static load tests are
design and statistical procedures to reduce factors of safety and commonly performed on selected shafts or test shafts of large
reduce foundation cost. The detailed information on hammer construction projects to verify shaft performance and efficiency
performance, driving system, and the pile material can be of the design.

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Figure 6-3. Example results of CAPWAPC analysis

a. Performance control. Continuous monitoring is essential to various strata, location and nature of the bearing stratum, and
ensure that the boreholes are properly prepared to minimize loss of any seepage. The observer should also determine if the soil
soil friction and end-bearing capacity and that the concrete mix is profile is substantially different from the one assumed for the
placed to achieve a continuous adequate shaft. Complete details of design based on knowledge of the plans, specifications, and
a drilled shaft construction control and an example of quality control previous geotechnical analysis. The design engineer should
forms may be found in FHWA-HI-88-042, “Drilled Shafts: be at the construction site during boring of the first holes to
Construction Procedures and Design Methods” and ADSC verify assumptions regarding the subsurface soil profile and
(1989) report, “Drilled Shaft Inspector’s Manual.” periodically thereafter to check on requirements for any
Construction and quality control include the following: design modifications.

(1) Borehole excavation. Soil classification provided by (a) Excavation details such as changes in the advance
all available boring logs in the construction area should be rate of the boring tool and changes in the soil cutting,
correlated with the visual description of soil or rock removed groundwater observations, and bottom heave should be
from the excavation. Any observed groundwater levels recorded. These details can be used to modify excavation
should also be recorded. Characteristics to be observed and procedure and improve efficiency in the event of problems
determined include determined include location of the as well as to provide a complete record for later reference.

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Other important data include type of excavation (e.g., dry, (d) The bottom of the excavation should be checked
cased, or slurry), time of initiation and completion of the before placement of the reinforcement cage and concrete to
boring, estimates of location of changes in the soil strata, and ensure that all loose soil is removed, water has not collected
description of each soil stratum. Determine any evidence of on the bottom of open boreholes, and the soil is in the correct
pervious lenses and groundwater, problems encountered bearing stratum. Depth of water in an open borehole should
during excavating (e.g., caving, squeezing, seepage, cobbles, be less than 2 inches. Casing should be clean, smooth, and
or boulders), and the location of the bearing stratum. A undeformed.
small diameter test boring from the excavation bottom can
be made and an undisturbed sample recovered to test the (2) Placement of reinforcement. The reinforcement cage
bearing soil. should be assembled prior to placement in the excavation
with the specified grade, size, and number of bars. The cage
(b) The excavation should be checked for proper length, should be supported with the specified horizontal stirrups or
diameter, and underream dimensions. Any lateral deviations spirals either tied or welded in place as required to hold bars
from the plan location and unintentional inclination or batter in place and prevent misalignment during concrete
should be noted on the report and checked to be within the placement and removal of casing. The minimum spacing
required tolerance. Provided that all safety precautions have between bars should be checked to ensure compliance with
been satisified, the underream diameter can be checked by specifications for adequate flow of concrete through the
placing the underream tool at the bottom of the excavation cage. The cage should be checked for placement in the
and comparing the travel of the kelly when the underreamer specified position and adequately restrained from lateral
is extended to the travel when it is retracted in the barrel of movement during concrete placement.
the underream tool. Electronic calipers may be used if the
excavation was made with slurry or the hole cannot be (3) Concrete placement. The properties of the concrete
entered for visual inspection. Extreme safety precautions mix and placement method must be closely monitored to
must be taken if an inspector enters an excavation to ensure avoid defects in the shaft. A record of the type of cement,
no fall-in of material, and he should be provided with mix proportions, admixtures, quantities, and time loaded on
adequate air supply, communications and lifeline, and the truck should be provided on the delivery ticket issued by
hoisting equipment. In the event of entry, a liner or casing the concrete supplier. The lapse of time since excavation of
should be in place to protect against fall-in. Fresh air may be the borehole and method of concrete placement, including
pumped through hoses extending to the bottom. Minimum details of the tremie used to place the concrete, should be
diameter of casing for personal inspection is 2 feet. An recorded. Concrete slump should be greater than 6 inches
alternative to downhole inspection is to utilize ADSC drilled and the amount of concrete placed in the excavation for each
shaft inspectors manuals. truck should be recorded. A plot of the expected quantity
calculated from the excavation dimensions and the actual
(c) Slurry used during excavation should be tested for quantity should be prepared to indicate the amount and
compliance with mix specifications after the slurry is mixed location of the concrete overrun or underrun. Excessive
and prior to placing in the excavation. These tests are overruns or any underruns observed during concrete
described in Table 6-3 and should be performed by the placement will require an investigation of the cause. Any
Government and reported to construction management and unusual occurrence that affects shaft integrity should be
the designer. described.

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Table 6-3
Specifications for Bentonite Slurry

Supplied During Excavation

Property Test Method

Density Not less than necessary to bore Mud density – Constant volume sample cup with lid connected to a balance
shaft and less than 70 lb/cu ft gravity arm is filled with slurry so when placing the lid some
slurry is forced out of a hole in the lid. Tap the edge of the cup
to break up any entrained air or gas. Wipe excess slurry from
the cup and lid. Place the balance arm into the fulcrum and
move the rider on the balance arm to balance the assembly.
Read the specific gravity from the scale on the balance.

Viscosity 30 to 50 sec Marsh funnel – Place a finger over the bottom chute of the funnel and fill the
funnel with slurry through a screen at the top of the funnel until
the slurry level reaches the bottom of the screen (1 quart
capacity). The slurry is allowed to flow from the funnel through
the chute and number of seconds required to drain the funnel
is recorded. Time measured is the viscosity.

Shear strength 0.03 psf to 0.2 psf (1.4 to 10 Shearometer – The initial strength is determined by filling a container about 3
N/m2) inches in diameter to the bottom line on a scale with freely
agitated slurry. The scale is vertically mounted in the
container. A thin metal tube is lowered over the scale and
released. The tube is allowed to settle for 1 minute and the
shear strength recorded on the scale reading at the top of tube
. The 10-minute gel strength is determined in a similar
manner except that 10 minutes is allowed to pass before the
tube is lowered over the scale.

pH 9.5 to 12 Indicator paper - A pH electric meter of pH paper may be used.

Sand 2 % maximum by volume API method - A specified amount of slurry is mixed in a marked tube. The
content mixture is vigorously shaken, and all of it is then
poured through a No. 200 mesh screen so that sand
particles are retained on the screen. The sand particles are
washed into a marked tube by fitting the large end of a funnel
down over the top of the screen holder, then inverting the
screen and funnel assembly. The tip of the funnel is fitted into
the clear measuring tube and water sprayed from a wash
bottle on the screen. The percent volume of sand is read from
the marked measuring tube after the sand has settled.

b. Nondestructive tests. Routine inspection with (1) Routine inspection tests. The most common routine
nondestructive tests (NDT) using wave propagation shall be NDT is to externally vibrate the drilled shaft by applying a
performed to check the quality of the installed drilled shafts. sudden load as from a hammer or heavy weight dropped from a
Additional special tests as indicated in the following paragraphs specified height. Signals from the wave are recorded by
are performed if defects are suspected in some drilled shafts. transducers and accelerometers installed near the top of the
Routine tests performed as part of the inspection procedure are shaft or embedded in the concrete at some location in the
typically inexpensive and require little time. Special tests to length of the shaft. Access tubes may also be installed in
determine defects, however, are often time consuming, the shaft for down-hole instrumentation to investigate the
expensive, and performed only for unusual situations. concrete between access tubes. Refer to FHWA-HI-88-042

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for further information. performed on a drilled shaft with only a single tube using
a probe that contains the receiver separated by an acoustic
(a) The PDA procedure as discussed for driven piles isolator. A single tube can be used to check the quality of
may also be used for drilled shafts, even though it cannot be concrete around the tube.
considered a routine test for NDT. The force-time and
velocity-time traces ofo the vibration recorded on the (c) A gamma-ray source can be lowered down one tube
oscilloscope caused by a dynamic load can be interpreted and a detector lowered down to the same depth in another
by an experienced technician to determine discontinuities tube to check the density of concrete between the source
and their location in the concrete. and detector. A change in the signal as the instruments are
lowered indicates a void or imperfection in the concrete.
(b) The wave pattern of large displacements caused by
dropping sufficiently large weights from some specified (3) Drilling and coring. Drilled shafts that are
height can be analyzed by the PDA procedure and suspected of having a defect may be drilled or cored to
CAPWAPC method to determine the ultimate bearing check the quality of the concrete. Drilling is to make a hole
capacity and load-displacement behavior. into the shaft without obtaining a sample. Coring is boring
and removal of concrete sample. Drilling and coring can
(c) Vibration from a hammer blow measured with indicate the nature of the concrete, but the volume of
embedded velocity transducers (geophones) can confirm concrete that is checked is relatively small and drilling or
any possible irregularities in the signal and shaft defects. coring is time consuming, costly, and sometimes
The transducers are inexpensive and any number can be misleading. The direction of drilling is difficult to control,
readily installed and sealed in epoxy-coated aluminum cases and the hole may run out the side of the shaft or might run
on the reinforcing cage with no delay in construction. The into the reinforcement steel. Experienced personnel and
embedded receivers provide a much reduced noise level proper equipment are also required to ensure that drilling
that can eliminate much of the requirement for signal is done correctly and on time.
processing.
(a) Drilling is much faster than coring, but less
(d) Forced vibrations induced by an electrodynamic information is gained. The drilling rate can infer the quality
vibrator over a load cell can be monitored by four of concrete and determine if any soil is in the shaft. A
accelerometers installed near the shaft head (Preiss, Weber, caliper can measure the diameter of the hole and determine
and Caiserman 1978). The curve of vo /Fo , where vo is the any anomalies.
maximum velocity at the head of the drilled shaft and Fo is
the applied force, is plotted. An experienced operator can (b) Coring can determine the amount of concrete
determine the quality of the concrete such as discontinuities recovery and the concrete samples examined for inclusions
and major faults if the length of the shaft is known. of soil or slurry. Compression tests can be performed to
Information below an enlarged section cannot be obtained. determine the strength of the concrete samples. The cores
can also be checked to determine the concrete to soil
(2) Access tubes and down-hole instruments. Metal or contact at the bottom of the shaft.
plastic tubes can be cast longitudinally into a drilled shaft
that has been preselected for special tests. These tubes (c) Holes bored in concrete can be checked with a
usually extend full length, are plugged at the lower end to television camera if such an instrument is available. A
keep out concrete, and are fastened to the rebar cage. portion of a borehole can also be packed to perform a fluid
Various instruments can be lowered down the access tubes pressure test to check for leaks that could be caused by
to generate and receive signals to investigate the quality of defects.
the concrete.
(d) Defects of large size such as caused by the collapse
(a) A probe that delivers a sonic signal can be inserted of the excavation prior to concrete placement or if concrete
down a tube and signal receivers inserted in other tubes. is absent in some portion of the shaft can be detected by
One tube can check the quality of concrete around the tube drilling or coring. Defects can be missed such as when the
or multiple tubes can check the concrete between the tubes. sides of a rock socket are smeared with remolded and weak
material. Coring can also detect defects that appear to be
(b) An acoustic transmitter can be inserted in a fluid- severe but are actually minor. For example, coring can
filled tube installed in a drilled shaft and a receiver inserted indicate weak concrete or poor material, or poor contact
to the same depth in an adjacent tube. This test can also be with the end bearing soil or rock in the region of the core,

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but the remaining shaft could be sound and adequately b. Limitations of proof tests. Many load tests
supported by the soil. performed today are “proof” tests, which are designed to
prove that the pile can safely hold the design load or to
c. Load tests. The only positive way to prove the determine the design load. Proof tests do not determine the
integrity of a suspected drilled shaft is to perform a load ultimate capacity so that the pile is often designed to
test. Drilled shafts are often constructed in relatively large support a higher load than necessary and can cause
sizes and load tests are often not economically feasible. foundation costs to be greater than necessary. Proof tests
Replacing a suspected drilled shaft is often more are not adequate when the soil strength may deteriorate
economical than performing the load test. with time such as from frequent cyclic loads in some soils.
Coral sands, for example, can cause cementation that can
(1) Application. Load tests as described in paragraph 4, degrade from cyclic loads.
Chapter 6, shall be performed for drilled shafts when
economically feasible such as for large projects. Results of c. Selecting and timing load tests. Load tests are
load tests can be used to reduce the FS from 3 to 2 and can always technically desirable, but not always economically
increase the economy of the foundation when performed feasible because they are expensive. These tests are most
during design. frequently performed to assist in the design of major
structures with large numbers of piles where changes in
(2) Preload. An alternative to load tests is to construct length, size, and type of pile and installation method can
the superstructure and to preload the structure to determine provide significant cost savings. The costs of load tests
the integrity of the foundation. This test must be halted should be compared with potential savings when using
immediately if one or more drilled shafts show more reduced safety factors permitted with the tests. Factors to
settlement than is anticipated. be considered before considering load test are:

4. Load Tests (1) Significance of structure. The type and significance

of a structure could offset the added cost of load tests for a
Field load tests determine the axial and lateral load capacity complex foundation when the consequences of failure
as a function of displacements for applied structural loads would be catastrophic.
to prove that the tested pile or drilled shaft can support the
design loads within tolerable settlements. Load tests are (2) Soil condition. Some subsurface investigations may
also used to verify capacity calculations and structural indicate unusual or highly variable soils that are difficult to
integrity using static equations and soil parameters. Soil define.
parameters can be determined by laboratory and in situ
tests, wave equation and pile driving analysis, and from (3) Availability of test site. Testing should not interfere
previous experience. Load tests consist of applying static with construction. Load tests should be conducted early
loads in increments and measuring the resulting pile after the site is prepared and made accessible. The
movements. Some aspects of load tests that need to be contractor must wait for results before methods and
considered are: equipment can be determined and materials can be ordered.
Advantages of completing the testing program prior to
a. Categories of load tests. Types of load tests construction include discovery of potential and resolution of
performed are proof tests, tests conducted to failure without problems, determination of the optimum installation
internal instrumentation, and tests conducted to failure with procedure, determination of the appropriate type, length and
instrumentation. Proof tests are not conducted to a bearing size of the piles. Disadvantages include increased design
capacity failure of the pile or drilled shaft but usually to time to allow for load tests and testing conditions and data
twice the design load. Tests conducted to failure without extrated from a test site used in the design may not simulate
instrumentation determine the ultimate pile capacity Qu , but actual construction conditions such as excavation,
do not indicate the separate components of capacity of end groundwater, and fill. Problems may also occur if different
bearing Qbu and skin resistance Qsu . Tests with internal contractors and/or equipment are used during construction.
instrumentation, such as strain gauges mounted on
reinforcement bars of drilled shafts or mounted inside of (4) Location. Test piles should be located near soil test
pipe piles, will determine the distribution of load carried by borings and installed piezometers.
skin friction as a function of depth and will also determine
the end-bearing capacity when conducted to failure. (5) Timing. Load tests of driven piles should be
performed after 1 or more days have elapsed to allow

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dissipation of pore water pressures and consideration of (4) Tension test. Axial tension tests may be conducted
freeze or relaxation. according to ASTM D 3689 to provide information on piles
that must function in tension or tension and compression.
d. Axail load tests. Axial compressive load tests should Residual stresses may significantly influence results. A
be conducted and recorded according to ASTM D 1143. minimum waiting period of 7 days is therefore required
The quick load test described as an option in ASTM D following installation before conducting this test, except for
1143 is recommended for most applications, but this test tests in cohesive soil where the waiting period should not
may not provide enough time for some soils or clays to be less than 14 days.
consolidate and may underestimate settlement for these
soils. The standard load test takes much longer and up to (5) Drilled shaft load test using Osterberg Cell. Load
several days to complete than the quick load test and will tests are necessary so that the design engineer knows how
measure more of the consolidation settlement of a given drilled shaft would respond to design loads. Two
compressible soils than the quick load test procedure. methods are used to load test drilled shaft: the Quick Load
However, neither the standard test nor the quick test will Test Method described in ASTM D 1143 standard, and the
measure all of the consolidation settlement. The cyclic load Osterberg Cell Method.
test will indicate the potential for deterioration in strength
with time from repeated loads. Procedures for load tests (a) Unlike the Quick Load ASTM test method which
are presented: applies the load at the top of the drilled shaft, the Osterberg
cell test method applies the load to the bottom of the shaft.
(1) Quick load test. The load is applied in increments The cell consists of inflatable cylindrical bellow with top
of 10 to 15 percent of the proposed design load with a and bottom plates slightly less than the diameter of the
constant time interval between load increments of 2 minutes shaft. The cell is connected to double pipes, with the inner
or as specified. Load is added until continuous jacking is pipe attached to the bottom and the outer pipe connected to
required to maintain the test load (plunging failure) or the the top of the cell (Figure 6-4). These two pipes are
capacity of the loading apparatus is reached, whichever separated by a hydraulic seal at the top with both pipes
comes first. extended to the top of the shaft. The outer pipe is used as
a conduit for applying fluid pressure to the previously
(2) Standard load test. Load is applied in increments of calibrated cell. The inner pipe is used as a tell-tale to
25 percent of the design load and held until the rate of measure the downward movement of the bottom of the cell.
settlement is not more than 0.01 inch/hour but not longer It is also used to grout the space between the cell and the
than 2 hours. Additional load increments are applied until ground surface and create a uniform bearing surface. Fluid
twice the design load is reached. The load is then removed used to pressurize the cell is mixed with a small amount of
in decrements of 50, 100 and 200 percent of the design water - miscible oil. The upward movement of the shaft is
load for rebound measurements. This is a proof test if no measured by dial gauge 1 placed at the top of the shaft
further testing is performed. A preferred option of the (Figure 6-4). Downward movement is measured by dial
standard load test is to reload the pile in increments of 50 gauge 2 attached to the top of the inner pipe above the
percent of the design load until the maximum load is point where it emerges from the outer pipe through the
reached. Loads may then be added at 10 percent of the hydraulic seal.
design load until plunging failure or the capacity of the
equipment is reached. This option is recommended to (b) After drilling the shaft, the Osterberg cell is welded
evaluate the ultimate pile capacity. to the bottom of the reinforcing cage, lifted by crane, and
inserted carefully into the hole. After proper installation
(3) Repeated load test. The standard load test is initially and testing, the cell is grouted by pumping a carefully
performed up to 150 percent of the design load, allowing 20 minutes monitored volume of grout through the inner pipe to fill the
between load increments. Loads are removed in decrements equal space between the cell and the bottom of the hole. When
to the load increments after 1 hour at the maximum applied load. the grout is set, concrete is pumped to fill the hole to the
Load is reapplied in increments of 50 percent of the design load desired level and the casing is pulled. After concrete has
allowing 20 minutes between increments until the previous reached the desired strength, the cell is pressurized
maximum load is reached. Additional load is then applied and internally to create an upward force on the shaft and an
removed as described in ASTM D 1143. This test is useful to equal and opposite downward force in end bearing. As
determine deterioration in pile capacity and displacements from pressure increases, the inner pipe moves downward while
cyclic loads. the outer pipe moves upward. The upward movement is a
function of the weight of the drilled shaft and the friction

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and/or adhesion mobilized between the surface concrete and stiffness used in design. The cyclic reduction factor used in
the surrounding soil. design can be verified if the test pile is loaded for
approximately 100 cycles. Some aspects of the lateral load
(c) The dial gauges are usually attached to a reference test are:
beam supported by two posts driven into the ground a
sufficient distance apart (i.e., 10 feet or two shaft diameters, (1) Monotonic and cyclic lateral load tests should be
whichever is larger) (Figure 6-4) to eliminate the influence conducted and recorded according to ASTM D 3966. Tests
of shaft movement during the test. The difference in should be conducted as close to the proposed structure as
reading between dial gauge 1 and dial gauge 2 at any possible and in similar soil.
pressure level represents the elastic compression of the
concrete. The load downward-deflection curve in end (2) Lateral load tests may be conducted by jacking one
bearing and the load upward- movement curve in skin pile against another, thus testing two adjacent piles. Loads
friction can be plotted from the test data to determine the should be carried to failure.
ultimate load of the drilled shaft. Failure may occur in end (3) Groundwater will influence the lateral load response
bearing or skin friction. At that point the test is considered of the pile and should be the same as that which will exist
complete. Osterberg cells can be constructed as large as 4 during the life of the structure.
feet in diameter to carry a load equivalent to 6,000 tons of
surface load. (4) The sequence of applying loads is important if
cyclic tests are conducted in combination with a monotonic
(6) Analysis of capacity. Table 6-4 illustrates four lateral load test. This may be done by first selecting the
methods of estimating ultimate capacity of a pile tested to load level of the cyclic test using either load or deflection
failure. Three methods should be used when possible, guidelines. The load level for the cyclic test may be the
depending on local experience and preference, to determine design load. A deflection criterion may consist of loading
a suitable range of probable ultimate capacity. The the piles to a predetermined deflection and then using that
methods given in Table 6-4 give a range of Qu from 320 to load level for the cyclic load test. Using the cyclic load
467 kips for the same test data. level, the test piles would be cyclically loaded from zero
loading to the load level of the cyclic load test. This
(7) Effects of layered soils. Layered soils may cause the procedure should be repeated for the required number of
test piles to have a different capacity than the service piles cycles. Dial gauge readings of lateral deflection of the pile
if the test piles have tips in a different stratum. head should be made at a minimum at each zero load level
Consolidation of a cohesive layer supporting the tip load and at each maximum cyclic load level. The test pile
may also cause the load to be supported by another layer. should be loaded laterally to failure after the last loading
The support of a pile could change from friction to end cycle. The last loading cycle to failure can be
bearing or the reverse depending on the strata. superimposed on the initial loading cycle to determine the
lateral load-deflection curve of the pile to failure.
e. Lateral load test. This test is used to verify the

6-14
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Figure 6-4. Typical Osterberg cell load test (from Osterberg 1995)

6-15
EI 02C097
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Table 6-4
Methods of Estimating Ultimate Pile Capacity from Load Test Data

6-16
 EI 02C097
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Table 6-4 (Concluded)

6-17
 EI 02C097
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Appendix A FHWA-RD-85-106
References and Bibliography Behavior of Piles and Pile Groups Under Lateral
Load, 1985

A-1. Required Publications FHWA-HI-88-042

Drilled Shafts: Construction Procedures and Design
Departments of the Army and the Navy Methods, 1988

NAVFAC DM-7.1 FHWA-DP-66-1

Soil Mechanics Manual on Design and Construction of Driven Pile
Foundation, 1986
TM 5-818-1
Soils and Geology; Procedures for Foundation Design of U.S. Army Engineer Waterways Experiment Station
Buildings and Other Structures (Except Hydraulic 1975. U.S. Army Engineer Waterways Experiment Station.
Structures) 1975. “Background Theory and Documentation of Five
University of Texas Soil-Structure Interaction Computer
TM 5-818-7 Programs,” Miscellaneous Paper K-75-2, Vicksburg, MS.
Foundations in Expansive Soils
U.S. Army Engineer Waterways Experiment Station
TM 5-849-1 1984. U.S. Army Engineer Waterways Experiment Station,
Pile Driving Equipment 1984 (Feb). “User’s Guide: Computer Program for Soil-
Structure Interaction Analysis of Axially Loaded Piles
1
Federal Specifications (CAXPILE),” Instruction Report K-84-4, Vicksburg, MS.

TT-W00571J U.S. Army Engineer Waterways Experiment Station

Wood Preservation: Treating Practices 1992. U.S. Army Engineer Waterways Experiment Station.
1992. “User’s Guide for Concrete Strength Investigation
2
U.S. Department of Transportation and Design (CASTR) in Accordance with ACI 318-89,”
Instruction Report ITL-87-2 (Revised), Vicksburg, MS.
FHWA-DP-66-1 (Revision 1)
Manual on Design and Constuction of Driven Pile U.S. Army Engineer Waterways Experiment Station
Foundations, April 1986 1989. U.S. Army Engineer Waterways Experiment Station.
1989. “User’s Guide: Pile Group Analysis (CPGA)
FHWA-RD-IR-77-8 Computer Program,” Technical Report ITL-89-3,
User’s Manual for the Texas Quick-Load Method for Vicksburg, MS.
Foundation Load Testing, 1977
U.S. Army Engineer Waterways Experiment Station
FHWA-TS-78-209 1990. U.S. Army Engineer Waterways Experiment Station.
Guidelines for Cone Penetration Test Performance and 1990. “User’s Guide: Pile Group/Concrete Pile Analysis
Design, 1978 Program (CPGC) Preprocessor to CPGA Program,”
Instruction Report ITL-90-2, Vicksburg, MS.
FHWA-RD-83-059
Allowable Stresses in Piles, 1983 American Association of State Highway and
Transportation Officials (AASHTO) 1989. American
Association of State Highway and Transportation Officials
(AASHTO), 14th edition, 444 North Capitol Street NW,
1
Naval Publications and Form Center, 5801 Tabor Avenue, Suite 225, Washington, DC 20001.
Philadelphia, PA 19120.
Standard Specification for Highway Bridges
2
Federal Highway Administration , Office of Standard Specification for Highway Bridges
Implementation, 6300 Georgetown Pike, McLean, Virginia
22101

A-1
EI 02C097
01 Jul 97
3
American Concrete Institute 1986 ASTM D 1586
American Concrete Institute. 1986. “Use of concrete in (1992) Penetration Test and Split-Barrel Sampling of Soils
Buildings: Design, Specifications, and Related Topics,”
Manual of Concrete Practice. Parts 3 and 4. ASTM D 2435
(1990) One-Dimensional Consolidation Properties of Soils
3
American Concrete Institute 1989
American Concrete Institute. 1989. “Building Code ASTM D 2487
Requirements for Reinforced Concrete,” ACI Report No. (1993) Classification of Soils for Engineering Purposes
318-89.
ASTM D 2899
3
American Concrete Institute 1974 (1986) Method for Establishing Design Stresses for Round
American Concrete Institute. 1974. “Recommen-dations for Timber Piles
Design, Manufacture and Installation of Concrete Piles,”
ACI Report No. 543R-74. ASTM D 3200
(1986) Establishing Recommended Design Stresses for
3
American Concrete Institute 1985 Round Timber Construction Poles
American Concrete Institute. 1985. “Ultimate Strength
Design Handbook, Volume I: Slabs, 1984; Columns,” ACI ASTM D 3441
Report No. SP 17. (1986) Deep, Quasi-Static, Cone and Friction-Cone
Penetration Tests of Soil
Association of Drilled Shaft Contractors 1989
Association of Drilled Shaft Contractors (ADSC). 1989. ASTM D 3689
“Drilled Shaft Inspector’s Manual,” First Edition, P.O. Box (1990) Individual Piles Under Static Axial Tensile Load
280379, Dallas, TX.
ASTM D 3966
American Institute of Steel Construction 1986 (1990) Piles Under Lateral Loads
American Institute of Steel Construction (AISC). 1986.
“Load and Resistance Factor Design,” First Edition, Manual ASTM D 4546
of Steel Construction, 1 E. Wacker Drive, Chicago, IL. (1990) One-Dimensional Swell or Settlement Potential of
Cohesive Soils Wood
American Institute of Steel Construction 1989
American Instiute of Steel Construction (ASIC). 1989. American Society for Testing and Materials
“Allowable Stress Design,” 9th Edition, Manual of Steel American Society for Testing and Materials (ASTM). Steel-
Construction, 1 E. Wacker Drive, Chicago, IL. Piping, Tubing, Fitting, Vol 01.01.
4
American Society for Testing and Materials American Society for Testing and Materials
American Society for Testing and Materials. “Steel-
ASTM A 252 Structural, Reinforcing, Pressure Vessel, Railway,” ASTM
(1993) Specification for Welded and Seamless Steel Pipes Vol 01.04.

ASTM D 25 American Society for Testing and Materials

(1991) Specification for Round Timber Piles American Society for Testing and Materials. “Soil and Rock;
Dimension Stone; Geosynthetics,”ASTM Vol 04.08.
ASTM D 1143
(1987) Piles Under Static Axail Compressive Load American Society for Testing and Materials
American Society for Testing and Materials. “Soil and Rock
(II): D4943-latest; Geosynthetics,” ASTM Vol 04.09.
3
American Concrete Institute (ACI), P.O. Box 19150,
Redford Station, Detroit, MI 48219
American Wood Preservers Institute 1977-1979
4
American Society for Testing and Materials (ASTM), American Wood Preservers Institute. 1977-1979.
1916 Race Street, Philadelphia, PA 19103 “Standards for Creosoted-Wood Foundation Piles,” 1945

A-2
 EI 02C097
01 Jul 97

Old Gallows Road, Suite 405, Vienna, VA, C1-C12. Board, 2101 Constitution Avenue, Washington, DC.

International Conference of Building Officials 1991 Bieniawski 1984

International Conference of Building Officials. 1991. Bieniawski, Z. T. 1984. Rock Mechanics Design in Mining
“Uniform Building Code,” 5360 South Workman Mill Road, and Tunneling, A. A. Balkema, Rotterdam/Boston.
Whittier, CA.

Pile Buck, Inc. 1988 Bogard and Matlock 1983

Pile Buck, Inc. 1988. “Testing Methods of Driven Piles,” Bogard, D., and Matlock, H. 1983 (Apr). “Procedures for
Pile Buck Annual, P.O. Box 1056, Jupiter, FL, Chapter 13, Analysis of Laterally Loaded Pile Groups in Soft Clay,”
pp 297-318. Proceedings, Geothechnical Practice in Offshore
Engineering, American Society of Civil Engineers,
Pile Buck, Inc. 1992 New York, NY.
Pile Buck, Inc. 1992. “Design of Pile Foundations,”
Foundations, P.O. Box 1056, Jupiter, FL, pp 1-69. Bowles 1968
Bowles, J. E. Foundation Analysis and Design, Appendix
Precast and Prestressed Concrete Institute 1988 A, McGraw-Hill, NY.
Precast and Prestressed Concrete Institute. 1988. “Recom- Broms 1964a
mended Practice for the Design of Prestressed Concrete Broms, B. B. 1964a. “Lateral Resistance of Piles in
Columns and Walls,” PCI Committee on Prestressed Cohesive Soils,” Journal of the Soil Mechanics and
Concrete Columns, PCI Journal, Vol 33, No. 4, pp 56-95. Foundations Division, American Society of Civil Engineers,
New York, NY,Vol 90, pp 27-63.
A-2. Related Publications
Broms 1964b
American Petroleum Institute 1987 Broms, B. B. 1964b. “Lateral Resistance of Piles in
American Petroleum Institute. 1987 (Apr). “Recommended Cohesionless Soil,” Journal of the Soil Mechanics and
Practice for Planning, Designing, and Constructing Fixed Foundations Division, American Society of Civil Engineers,
Offshore Platforms, API Recommended Practice 2A New York, NY, Vol 90, pp 123-156.
(RP 2A),” Seventeenth Edition.
Broms 1965
Awoshika and Reese 1971 Broms, B. B. 1965. “Design of Laterally Loaded Piles,”
Awoshika, K., and Reese, L. C. 1971 (Feb). “Analysis of Journal of Soil Mechanics and Foundations Division,
Foundation with Widely Spaced Batter Piles,” Research American Society of Civil Engineers, New York, NY, Vol
Report 117-3F, Project 3-5-68-117, Center for Highway 91, pp 79-99.
Research, University of Texas at Austin.
Bryant 1977
Baguelin, Jézéquel, and Shields 1978 Bryant, L. M. 1977. “Three-Dimensional Analysis of
Baguelin, F., Jézéquel, J. F., and Shields, D. H. 1978. The Framed Structures with Nonlinear Pile Foundations,”
Pressuremeter and Foundation Engineering, Trans Tech Unpublished Dissertation, University of Texas at Austin,
Publications. Austin, TX.

Banerjee and Davies 1979 Canadian Geotechnical Society 1985

Banerjee, P. K., and Davies, T. G. 1979 (May). “Analysis Canadian Geotechnical Society. 1985. “Canadian Foun-
of Some Reported Histories of Laterally Loaded Pile dation Engineering Manual,” 2nd Edition, BiTech Publishers
Groups.” Proceedings, Numerical Methods in Offshore Ltd., 801-1030 W. Georgia Street, Vancouver, B.C.
Piling, The Institute of Civil Engineers, London, pp 101-
108.

Cox, Reese, and Grubbs 1974

Barker et al. 1991 Cox, W. R., Reese, L. C., and Grubbs, B. R. 1974. “Field
Barker, R. M., et al. 1991. “Manual for the Design of Testing of Laterally Loaded Piles in Sand,” Proceedings, 6th
Bridge Foundations,” National Cooperative Highway Annual Offshore Technology Conference Paper No. OTC
Research Program Report 343, Transportation Research 2079, Houston, TX pp 459-472.

A-3
EI 02C097
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Coyle and Reese 1966 Cambridge University Engineering Department, Cambridge,

Coyle, H. M., and Reese, L. C. 1966. “Load Transfer for MA.
Axially Loaded Piles in Clay,” Proceedings, American
Society of Civil Engineers, New York, NY, Vol 92, Goble, Rausche, Likins and Associates, Inc. 1988
No.SM2, pp 1-26. Goble, Rausche, Likins and Associates, Inc. 1988. (GRL),
GRLWEAP Wave Equation Analysis of Pile Driving.
Coyle and Sulaiman 1967 Available from GRL, 4535 Emery Industrial Parkway,
Coyle, H. M., and Sulaiman, I. H. 1967. “Skin Friction for Cleveland, OH.
Steel Piles in Sand, ” Proceedings, American Society of
Civil Engineers, New York, NY, Vol 93, No. SM6, pp 261- Hansen 1963
278. Hansen, J. B. 1963. “Hyperbolic Stress-strain Response:
Cohesive Soils,” Discussion Journal of the Soil Mechanics
Davisson 1970 and Foundations Division, American Society of Civil
Davisson, M. T. 1970. “Lateral Load Capacity of Piles,” Engineers, New York, NY, Vol 89, No. SM4.
Highway Research Record, Transportation Research Board,
2101 Constitution Avenue, Washington, DC. Hetenyi 1946
Hetenyi, M. I. 1946. Beams on Elastic Foundation,
Davisson 1972 University of Michigan Press, Ann Arbor, MI.
Davisson, M. T. 1972. “High Capacity Piles,” Proceedings
Lecture Series, Innovations in Foundation Construction, Horvath and Kenney 1979
Illinois Section, American Society of Civil Engineers, New Horvath, R. G., and Kenney, T. C. 1979. “Shaft Resistance
York, NY. of Rock Socketed Drilled Piers,” Proceedings Symposium
on Deep Foundations, American Society of Civil Engineers,
Davisson and Robinson 1965 Atlantic, GA.
Davisson, M. T., and Robinson, K. E. 1965. “Bending and
Buckling of Partially Embedded Piles,” Proceedings 6th International Conference of Building Officials 1991
International Conference on Soil Mechanics and International Conference of Building Officials. 1991.
Foundation Engineering, Montreal, Canada, University of “Uniform Building Code,” Whitter, CA.
Toronto Press, 63a George Street, Toronto ONM5S1A6, pp
243-246. Jamiolkowski 1977
Jamiolkowski, M. 1977. “Design of Laterally Loaded
Deere 1968 Piles,”General Lecture, International Conference on Soil
Deere, D. V. 1968. “Geological Considerations,” Rock Mechanics and Foundation Engineering, Tokyo, Japan.
Mechanics in Engineering Practice, K. G. Stagg and O. C.
Zienkiewica, New York, NY, Chapter 1. Japanese Road Association 1976
Japanese Road Association. 1976 (May). “Road Bridge
Det norske 1977 Substructure Design Guide and Explanatory Notes,
Det norske, V. 1977. “Rules for the Design, Construction, Designing of Pile Foundations,” p 67.
and Inspection of Offshore Structure,” Veritasveien 1,
1322 HØ vik, Norway. Kraft, Focht, and Amarasinghe 1981
Kraft, L. M., Jr., Focht, J. A., and Amarasinghe, S. R. 1981.
Donald, Sloan, and Chiu 1980 “Friction Capacity of Piles Driven into Clay, ” Journal of
Donald, I. B., Sloan, S. W., and Chiu, H. K. 1980. Geotechnical Engineering Division, Vol 107, pp 1521-
“Theoretical Analyses of Rock-socketed Piles,” Proceedings 1541.
International Conference on Sturctural Foundations on
Rock, Sydney, Australia, A. A. Balkema, Rotterdam/Boston. Kraft, Ray, and Kagawa 1981
Kraft, L. M., Ray, R. P., and Kagawa, T. 1981. “Theortical
Fleming et al. 1985 t-z Curves,” Journal of the Geotechnical Engineering
Fleming, W. G. F., et al. 1985. Pile Engineering, Blackie Division, American Society of Civil Engineers, New York,
and Son, Ltd., Glasgo, Scotland. NY, Vol 107, pp 1543-1561.

George and Wood 1977 Kuthy et al. 1977

George, P., and Wood, D. 1977. Offshore Soil Mechanics, Kuthy, R. A. et al. 1977 (Apr). “Lateral Load Capacity of

A-4
 EI 02C097
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Vertical Pile Groups,” Research Report 47, Engineering Meyerhof, G. G. 1976. “Scale Effects of Ultimate Pile
Research and Development Bureau, New York State Capacity,” Journal of Geotechnical Engineering, American
Department of Transportation, Albank, NY. Society of Civil Engineering, New York, NY, Vol 109,
No. 6, pp 797-806.
Kubo 1965
Kubo, K. 1965. “Experimental Study of the Behavior of Nordlund 1963
Laterally Loaded Piles,” Proceedings, Sixth International Nordlund, R. L. 1963. “Bearing Capacity of Piles in
Conference on Soil Mechanics and Foundation Engineering, Cohesionless Soils,” Journal of the Soil Mechanics and
Montreal, Vol 2, pp 275-279. Foundations Division, American Society of Civil Engineers,
Vol 89, pp 1-36.
Lam 1981
Lam, P. 1981. “Computer Program of Analysis of Widely Nottingham and Schmertmann 1975
Spaced Batter Piles,” Unpublished thesis, University of Nottingham, L., and Schmertmann, J. 1975. “An Inves-
Texas at Austin, Austin, TX. tigation of Pile Capacity Design Procedures,” Final Report
D629 to Florida Department of Transportation from
Matlock 1970 Department of Civil Engineering, University of Florida.
Matlock, H. 1970. “Correlations for Design of Laterally
Loaded Piles in Soft Clay,” Proceedings, 2nd Annual O’Neill 1983
Offshore Technology Conference, Paper No. OTC 1204, O’Neill, M. W. 1983 (Apr). “Group Action in Offshore
Houston, TX, pp 577-594. Piles,” Proceedings, Geotechnical Practice in Offshore
Engineering, American Society of Civil Engineers.
Matlock and Reese 1961
Matlock, H., and Reese, L. C. 1961. “Foundation Analysis O’Neill, Ghazzaly, and Ha 1977
of Offshore Pile-Supported Structures,” Proceedings, Fifth O’Neill, M. W., Ghazzaly, O. I., and Ha, H. B. 1977.
International Conference, International Society of Soil “Analysis of Three-Dimensional Pile Groups with Nonlinear
Mechanics and Foundation Engineering, Paris, France, Vol Soil Response and Pile-Soil-Pile Interaction,” Proceedings
2, pp 91-97. 9th Annual Offshore Technology Conference, Houston, TX,
Vol II, Paper No. 2838, pp 245-256.
Matlock et al. 1980
Matlock, H., et al. 1980 (May). “Field Tests of the Lateral Osterberg 1995
Load Behavior of Pile Groups in Soft Clay,” Proceedings, Osterberg, J. O. 1995. “The Osterberg CELL for Load
12th Annual Offshore Technology Conference, Paper No. Testing Drilled Shafts and Driven Piles,” report for U.S.
OTC 3871, Houston, TX. Department of Transportation, Federal Highway
Administration, by J. O. Osterberg, Ltd., Aurora, CO.
McCelland 1972
McCelland, B. 1972 (Jun). “Design and Performance of Peck 1976
Deep Foundations,” Proceedings, Specialty Conference on Peck, R. B. 1976. “Rock Foundations for Structures,”
Performance of Earth and Earth Supported Structures, Proceedings ASCE Specialty Conference on Rock
Purdue University, Soil Mechanics and Foundations Engineering for Foundations and Slopes, Boulder, CO.
Division, American Society of Civil Engineers .
Poulos 1971
McCelland and Focht 1958 Poulos, H. G. 1971. “Behavior of Lateally Loaded Piles: II -
McCelland, B., and Focht, J. A. 1958. “Soil Modulus for Pile Groups,” Proceedings, American Society of Civil
Laterally Loaded Piles,” Transactions, American Society of Engineers, Vol 97, No. SM5, pp 733-751.
Civil Engineers, Vol 123, pp 1049-1086.

Meyerhof 1976 Poulos and Davis 1980

Meyerhof, G. G. 1976. “Bearing Capacity and Settlement of Poulos, H. G., and Davis, E. H. 1980. Pile Foundation
Pile Foundations,” Journal of Geotechnical Engineering, Analysis and Design, Wiley, New York.
American Society of Civil Engineers, New York, NY,
Vol 102, GT3, pp 197-228. Prakash and Sharma 1989
Prakash, S., and Sharma, H. D. 1989. Pile Foundations in
Meyerhof 1983 Engineering Practice, Wiley, New York.

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Preiss, Weber, and Caiserman 1978 Dimensional Pile Group Under Inclined and Eccentric
Preiss, K., Weber, H., and Caiserman, A. 1978. “Integrity Loading,” Proceedings, Offshore Exploration Conference,
Testing of Bored Piles and Diaphragm Walls,” Long Beach, CA, pp 123-140.
Transactions, South African Institution of Civil Engineers,
Vol 20, No. 8, pp 191-196. Reese, O’Neill, and Smith 1970
Reese, L. C., O’Neill, M. W., and Smith, R. E. 1970 (Jan).
Randolph and Wroth 1978 “Generalized Analysis of Pile Foundations,” Proceedings,
Randolph, M. F., and Wroth, C. P. 1978. “Analysis of American Society of Civil Engineers, Vol 96, No. SM1,
Deformation of Vertically Loaded Piles,” Journal of the pp 235-250.
Geotechnical Engineering Division, American Society of
Civil Engineers, New York, NY, Vol 104, No. GT12, Reese and Welch 1975
pp 1465-1488. Reese, L. C., and Welch, R. C. 1975 (Feb). “Lateral
Loading of Deep Foundations in Stiff Clay,” Journal of the
Reese 1964 Geotechnical Engineering Division, American Society of
Reese, L. C. 1964 (Feb). “Load versus Settlement for an Civil Engineers, Vol 101, No. GT7, pp 633-649.
Axially Loaded Pile,” Proceedings, Part II, Symposium on
Bearing Capacity of Piles, Central Building Research Reese and Wright 1977
Institute, Roorkee, pp 18-38. Reese, L. C., and Wright, S. J. 1977. “Drilled Shaft Manual
Reese 1966 - Construction Procedures and Design for Axial Loading,”
Reese, L. C. 1966 (Apr). “Analysis of a Bridge Foundation Vol 1, U.S. Department of Transportation, Implementation
Supported by Batter Piles,” Proceedings, 4th Annual Division, Implementation Package 77-21.
Symposium on Engineering Geology and Soil Engineering,
Moscow, ID, pp 61-73. Saul 1968
Saul, W. E. 1968. “Static and Dynamic Analysis of Pile
Reese 1984 Foundations,” Journal of the Structural Division, American
Reese, L. C. 1984 (Jul). Handbook on Design of Piles and Society of Civil Engineers, Vol 94, pp 1077-1100.
Drilled Shafts Under Lateral Load, U. S. Department of
Transportation, Federal Highway Administration, FHWA- Scott 1969
IP-84-11, p 360. Scott, C. R. 1969. An Introduction to Soil Mechanics and
Foundations, Applied Science Publishers Ltd., Ripple Road,
Reese, Cox, and Koop 1974 Barking, Essex, England, p 310.
Reese, L. C., Cox, W. R., and Koop, F. D. 1974. “Analysis
od Laterally Loaded Piles in Sand,” Proceedings, 5th Annual Seed and Reese 1957
Offshore Technology Conference, Paper No. OTC 2080, Seed, H. B., and Reese, L. C. 1957. “The Action of Soft
Houston, TX, pp 473-485. Clay Along Friction Piles,” Transactions, American Society
of Civil Engineers, New York, NY, Vol 122, pp 731-753.
Reese, Cox, and Koop 1975
Reese, L. C., Cox, W. R., and Koop, F. D. 1975. “Field Smith and Mlakar 1987
Testing and Analysis of Laterally Loaded Piles in Stiff Clay,” Smith, W. G., and Mlakar, P. F. 1987. “Lumped Parameter
Proceedings, 7th Annual Offshore Technology Conference, Seismic Analysis of Pile Foundations,” Report No. J650-87-
Paper No. OTC 2312, Houston, TX, pp 672-690. 008/2495, Vicksburg, MS.

Reese and Matlock 1956

Reese, L. C., and Matlock, H. 1956. “Non-Dimensional
Solutions for Laterally Loaded Piles with Soil Modulus
Assumed Proportional to Depth,” Proceedings Eighth Texas
Conference on Soil Mechanics and Foundation
Engineering, Special Publication No. 29, Bureau of
Engineering Research, University of Texas, Austin, TX.

Reese and Matlock 1966

Reese, L. C., and Matlock, H. 1966. “Behavior of a Two-

A-6
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Stewart and Kulhawy 1980 Vesic, A. S. 1977. “Design of Pile Foundations,” National
Stewart, J. P., and Kulhawy, F. H. 1980. “Behavior of Cooperative Highway Research Program Synthesis of
Drilled Shafts in Axial Uplift Loading,” Geotechnical Highway Practice, No. 42, Transportation Research Board,
Engineering Report 80-2, School of Civil and Environmental 2101 Constitution Avenue, Washington, DC.
Engineering, Cornell University, Ithica, NY. Vijayvergiya and Focht 1972
Vijayvergiya, V. N., and Focht, J. A., Jr. 1972. “A New
Stewart and Kulhawy 1981 Way to Predict Capacity of Piles in Clay,” Proceedings,
Stewart, J. P., and Kulhawy, F. H. 1981. “Experimental 4th Annual Offshore Technology Conference, Paper No.
Investigation of the Uplift Capacity of Drilled Shaft OTC Paper 1718, Houston, TX.
Foundations in Cohesionless Soil,” Contract Report B-49
(6), Niagara Mohawk Power Corporation, Syracuse, NY.
Vijayvergiya 1977
Tomlinson 1980 Vijayvergiya, V. N. 1977. “Load-Movement Characteristics
Tomlinson, M. J. 1980. Foundation Design and Con- of Piles,” Port 77 Conference, American Society of Civil
struction, Fourth Edition, Pitman Publishing Limited, Engineers, New York, NY.
128 Long Acre, London WC2E 9AN, UK.
Welch and Reese 1972
Tomlinson 1987 Welch, R. C., and Reese, L. C. 1972 (May). “Laterally
Tomlinson, M. J. 1987. Pile Design and Construction Loaded Behavior of Drilled Shafts,” Research Report No. 3-
Practice, Viewpoint Publications. 5-65-89, Center for Highway Research, University of Texas
at Austin, Austin, TX.
Vesic 1971
Vesic, A. S. 1971. “Breakout Resistance of Object Wolff 1990
Embedded in Ocean Bottom,” Journal of the Soil Wolff, T. F. 1990. “User’s Guide: Pile Group Interference
Mechanics and Foundation Division, American Society of Probabilistic Assessment (CPGP) Computer Program,” U.S.
Civil Engineers, New York, NY, Vol 97, SM9, pp 1183- Army Engineer Waterways Experiment Station, Vicksburg,
1205. MS.

Vesic 1977

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 EI 02C097
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Appendix B Chapter 2, in applications of tabuluar members. For

Pipe Piles reference to a particular member, use designation PPBo x tw
where Bo is the outside diameter in inches and tw is the wall
B-1. Dimensions and Properties. thickness in inches. I is the moment of inertia, inches4, and
determined by I = Ar2. A ’ Btw ( B° & tw ) , the cross-
Table B-1 lists the dimensions and properties for design of sectional area of the tube, inches2. S is the elastic section
some of the more commonly used sizes of pipe piles. The modulus, inches3, and r is the radius of gyration, inches. The
source of this information is Pile Buck, Inc. (1988) or External Collapse Index in the last column is a
FHWA-DP-66-1 (Revision 1), “Manual on Design and nondimensional function of the diameter to the wall
Construction of Driven Piles Foundations.”1 Data from this thickness ratio and is for general guidance only. The higher
table are used for analysis of design stresses in stell piles, the number, the greater is the resistance to collapse. Refer
to ASTM A 252 for material specifications.

1
References are listed in Appendix A.

B-1
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Table B-1
Dimensions and Properties for Design of Pipe Piles

Designation Inside
and Weight Section Properties Area of Exte- Cross- External
Outside Wall Area per rior Sectional Inside Collapse
Diameter Thickness A Foot Surface Area Volume Index
l S r
2 4 3
in. in. in. lb in. in. in. ft2/ft in.2 yd3/ft !
PP10 .109 3.39 11.51 41.4 8.28 3.50 2.62 75.2 .0193 62
.120 3.72 12.66 45.5 9.09 3.49 2.62 74.8 .0192 83
.134 4.15 14.12 50.5 10.1 3.49 2.62 74.4 .0191 116
.141 4.37 14.85 53.1 10.6 3.49 2.62 74.2 .0191 135

.150 4.64 15.78 56.3 11.3 3.48 2.62 73.9 .0190 163
.164 5.07 17.23 61.3 12.3 3.48 2.62 73.5 .0189 214
.172 5.31 18.05 64.1 12.8 3.48 2.62 73.2 .0188 247
.179 5.52 18.78 66.6 13.3 3.47 2.62 73.0 .0188 279

.188 5.80 19.70 69.8 14.0 3.47 2.62 72.7 .0187 324
.203 6.25 21.24 75.0 15.0 3.46 2.62 72.3 .0186 409
.219 6.73 22.88 80.5 16.1 3.46 2.62 71.8 .0185 515
.230 7.06 24.00 84.3 16.9 3.46 2.62 71.5 .0184 588
.250 7.66 26.03 91.1 18.2 3.45 2.62 70.9 .0182 719

PP10-3/4 .109 3.64 12.39 51.6 9.60 3.76 2.81 87.1 .0224 50
.120 4.01 13.62 56.6 10.5 3.76 2.81 86.8 .0223 67
.125 4.17 14.18 58.9 11.0 3.76 2.81 86.6 .0223 76
.141 4.70 15.98 66.1 12.3 3.75 2.81 86.1 .0221 109
.150 5.00 16.98 70.2 13.1 3.75 2.81 85.8 .0221 131
.156 5.19 17.65 72.9 13.6 3.75 2.81 85.6 .0220 148
.164 5.45 18.54 76.4 14.2 3.74 2.81 85.3 .0219 172

.172 5.72 19.43 80.0 14.9 3.74 2.81 85.0 .0219 199
.179 5.94 20.21 83.1 15.5 3.74 2.81 84.8 .0218 224
.188 6.24 21.21 87.0 16.2 3.73 2.81 84.5 .0217 260
.219 7.25 24.63 100 18.7 3.72 2.81 83.5 .0215 414
.230 7.60 25.84 105 19.6 3.72 2.81 83.2 .0214 480
.250 8.25 28.04 114 21.2 3.71 2.81 82.5 .0212 605
.279 9.18 31.20 126 23.4 3.70 2.81 81.6 .0210 781

.307 10.1 34.24 137 25.6 3.69 2.81 80.7 .0208 951
.344 11.2 38.23 152 28.4 3.68 2.81 79.5 .0205 1,180
.365 11.9 40.48 161 29.9 3.67 2.81 78.9 .0203 1,320
.438 14.2 48.24 189 35.2 3.65 2.81 76.6 .0197 1,890
.500 16.1 54.74 212 39.4 3.63 2.81 74.7 .0192 2,380

Note: Metric properties of pipe piles are available from the American Institute of Steel Construction, 1 E. Wacker Drive, Chicago, IL 60601.
(Sheet 1 of 4)

B-2
 EI 02C097
01 Jul 97

Table B-1 (Continued)

Designation Inside
and Weight Section Properties Area of Exte- Cross- External
Outside Wall Area per rior Sectional Inside Collapse
Diameter Thickness A Foot Surface Area Volume Index
l S r
2 4 3
in. in. in. lb in. in. in. ft2/ft in.2 yd3/ft !

PP12 .134 5.00 16.98 87.9 14.7 4.20 3.14 108 .0278 67
.141 5.25 17.86 92.4 15.4 4.19 3.14 108 .0277 78
.150 5.58 18.98 98.0 16.3 4.19 3.14 108 .0277 94
.172 6.39 21.73 112 18.6 4.18 3.14 107 .0274 142
.179 6.65 22.60 116 19.4 4.18 3.14 106 .0274 161
.188 6.98 23.72 122 20.3 4.18 3.14 106 .0273 186
.203 7.52 25.58 131 21.8 4.17 3.14 106 .0272 235

.219 8.11 27.55 141 23.4 4.17 3.14 105 .0270 296
.230 8.50 28.91 147 24.6 4.16 3.14 105 .0269 344
.250 9.23 31.37 159 26.6 4.16 3.14 104 .0267 443
.281 10.3 35.17 178 29.6 4.14 3.14 103 .0264 616
.312 11.5 38.95 196 32.6 4.13 3.14 102 .0261 784

PP12-3/4 .109 4.33 14.72 86.5 13.6 4.47 3.34 123 .0317 30
.125 4.96 16.85 98.8 15.5 4.46 3.34 123 .0316 45
.134 5.31 18.06 106 16.6 4.46 3.34 122 .0315 56
.150 5.94 20.19 118 18.5 4.46 3.34 122 .0313 78
.156 6.17 20.98 122 19.2 4.45 3.34 122 .0313 88
.164 6.48 22.04 128 20.1 4.45 3.34 121 .0312 103
.172 6.80 23.11 134 21.1 4.45 3.34 121 .0311 118

.179 7.07 24.03 140 21.9 4.45 3.34 121 .0310 134
.188 7.42 25.22 146 23.0 4.44 3.34 120 .0309 155
.203 8.00 27.20 158 24.7 4.44 3.34 120 .0308 196
.230 9.05 30.75 177 27.8 4.43 3.34 119 .0305 286
.250 9.82 33.38 192 30.1 4.42 3.34 118 .0303 368
.281 11.0 37.42 214 33.6 4.41 3.34 117 .0300 526
.312 12.2 41.45 236 37.0 4.40 3.34 115 .0297 684
.330 12.9 43.77 248 39.0 4.39 3.34 115 .0295 776

.344 13.4 45.58 258 40.5 4.39 3.34 114 .0294 848
.375 14.6 49.56 279 43.8 4.38 3.34 113 .0291 1,010
.406 15.7 53.52 300 47.1 4.37 3.34 112 .0288 1,170
.438 16.9 57.59 321 50.4 4.36 3.34 111 .0285 1,350
.500 19.2 65.42 362 56.7 4.33 3.34 108 .0279 1,760

(Sheet 2 of 4)

B-3
EI 02C097
01 Jul 97

Table B-1 (Continued)

Designation Inside
and Weight Section Properties Area of Exte- Cross- External
Outside Wall Area per rior Sectional Inside Collapse
Diameter Thickness A Foot Surface Area Volume Index
l S r
2 4 3
in. in. in. lb in. in. in. ft2/ft in.2 yd3/ft !

PP14 .134 5.84 19.84 140 20.0 4.90 3.67 148 .0381 42
.141 6.14 20.87 147 21.1 4.90 3.67 148 .0380 49
.150 6.53 22.19 157 22.4 4.90 3.67 147 .0379 59
.156 6.78 23.07 163 23.2 4.89 3.67 147 .0378 66
.172 7.47 25.40 179 25.5 4.89 3.67 146 .0377 89
.179 7.77 26.42 186 26.5 4.89 3.67 146 .0376 101
.188 8.16 27.73 195 27.8 4.88 3.67 146 .0375 117
.203 8.80 29.91 209 29.9 4.88 3.67 145 .0373 147
.210 9.10 30.93 216 30.9 4.88 3.67 145 .0373 163

.219 9.48 32.23 225 32.2 4.87 3.67 144 .0372 185
.230 9.95 33.82 236 33.7 4.87 3.67 144 .0370 215
.250 10.8 36.71 255 36.5 4.86 3.67 143 .0368 277
.281 12.1 41.17 285 40.7 4.85 3.67 142 .0365 395
.344 14.8 50.17 344 49.2 4.83 3.67 139 .0358 691
.375 16.1 54.57 373 53.3 4.82 3.67 138 .0355 835
.438 18.7 63.44 429 61.4 4.80 3.67 135 .0348 1,130
.469 19.9 67.78 457 65.3 4.79 3.67 134 .0345 1,280
.500 21.2 72.09 484 69.1 4.78 3.67 133 .0341 1,460

PP16 .134 6.68 22.71 210 26.3 5.61 4.19 194 .0500 28
.141 7.02 23.88 221 27.6 5.61 4.19 194 .0499 33
.150 7.47 25.39 235 29.3 5.60 4.19 194 .0498 39
.164 8.16 27.74 256 32.0 5.60 4.19 193 .0496 52
.172 8.55 29.08 268 33.5 5.60 4.19 193 .0495 60
.179 8.90 30.25 278 34.8 5.59 4.19 192 .0494 67
.188 9.34 31.75 292 36.5 5.59 4.19 192 .0493 78
.203 10.1 34.25 314 39.3 5.59 4.19 191 .0491 98

.219 10.9 36.91 338 42.3 5.58 4.19 190 .0489 124
.230 11.4 38.74 354 44.3 5.58 4.19 190 .0488 144
.250 12.4 42.05 384 48.0 5.57 4.19 189 .0485 185
.281 13.9 47.17 429 53.6 5.56 4.19 187 .0481 264
.312 15.4 52.27 473 59.2 5.55 4.19 186 .0478 362

(Sheet 3 of 4)

B-4
 EI 02C097
01 Jul 97

Table B-1 (Concluded)

Designation Inside
and Weight Section Properties Area of Exte- Cross- External
Outside Wall Area per rior Sectional Inside Collapse
Diameter Thickness A Foot l S r Surface Area Volume Index
2 4 3
in. in. in. lb in. in. in. ft2/ft in.2 yd3/ft !

PP16 .344 16.9 57.52 519 64.8 5.54 4.19 184 .0474 487
(cont'd) .375 18.4 62.58 562 70.3 5.53 4.19 183 .0470 617
.438 21.4 72.80 649 81.1 5.50 4.19 180 .0462 874
.469 22.9 77.79 691 86.3 5.49 4.19 178 .0458 1,000
.500 24.3 82.77 732 91.5 5.48 4.19 177 .0455. 1,130

(Sheet 4 of 4)

B-5
 EI 02C097
01 Jul 97

Appendix C computations. Subroutine BASEL calculates the displace-

Computer Program Axiltr ment at the base for given applied down-directed loads at the
base. Subroutine SHAFL evaluates the load transferred to
C-1. Organization and from the shaft for relative displacements between the
shaft and soil. An iteration scheme is used to cause the
Program AXILTR, AXIal Load-Transfer, consists of a main routine calculated applied loads at the top (butt) to converge within
and two subroutines. The main routine feeds in the input data, 10 percent of the input load applied at the top of the shaft.
calculates the effective overburden stress, and determines whether
the load is axial down-directed, pullout, or if uplift/downdrag forces a. Input data. Input data are illustrated in Table C-1
develop from selling or consolidating soil. The main routine with descriptions given in Table C-2.
also prints out the

Table C-1
Input Data

Line Input Parameters Format Statement

1 TITLE 20A4

2 NMAT NEL DX GWL LO IQ IJ 2I5,2F6.2,3I5

3 I J K SOILP DS DB 3I5,3F10.3

4 E50 (Omitted unless K = 2, 5, 9) E13.3

5 LLL I5

6 MAT GS EO WO PS CS CC C PHI AK PM I3,3F6.2,F7.0,2F7.2,

(Lines 5 repeated for each material M = 1,NMAT)

7 ALPHA (Omitted unless I = 6) 7F10.5

( input for each material MAT = 1,NMAT)

8 M IE(M) 2I5
(Line 8 repeated for each element M and number of soil
IE(M). Start with 1. The last line is NEL NMAT)

9 RFF GG F6.3,E13.3
(Omitted unless K = 7, 8, 9)

10 (Omitted unless K = 3, 4, 5, 6)
10a NCA ( <12) I5
10b T(M,1)... T(M,11) (Input for each curve M = 1,NCA 11F6.2
10c S(M) (Input on new line for each F6.3
M = 2,11; S(1) input in program as 0.00)

11 (Omitted unless I = 5)
11a NCC ( <12) I5
11b FS(N) ZEPP(N) NCUR 2F10.3,I5
(Input on new line for each N = 1,NCC)

12 (Omitted unless J = 0)
12a NC ( >1) I5
12b EP(M) ZEP(M) E13.3,F6.2
(Input on new line for each M = 1,NC; at least a top and bottom
term required)

C-1
EI 02C097
01 Jul 97

Table C-1 (Concluded)

Line Input Parameters Format Statement

13 R(M) S(M) F10.5,F15.3

(Omitted unless K = 6; repeat on new line for each M = 1,IJ)

14 STRUL SOILP XA 3F15.2

15 NON I5
(Omitted unless XA < 0.0)

Table C-2
Description of Input Parameters (Continued)

Line Parameter Description

1 TITLE Name of problem

2 NMAT Total number of materials

NEL Total number of elements
DX Thickness of each element, ft (usually 0.5 or 1.0 ft)
GWL Depth to groundwater level, ft
LO Amount of output data
= 0 Extensive data output used to check the program
= 1 Shaft load-displacement behavior and detailed load distribution-displacement response along shaft
length for input top load prior to and following soil distribution-displacement response along shaft
length for input top load prior to and following soil movement (load transfer, load, shaft
compression increment, and shaft movement at given depth
= 2 Shaft load-displacement behavior and load distribution-displacement response along shaft length for
input top load prior to and following soil movement
= 3 Shaft load-displacement behavior and load distribution-displacement response along shaft length for
input top load on shaft following soil movement
IQ Total number of shaft increments (shaft length/element thickness); top of shaft at ground surface
IJ Number of points for shaft load-displacement behavior (usually 12, but maximum 19 for PARAMETER
statement = 40

3 I Magnitude of reduction factor applied to total (undrained) or effective (drained) shear strength for skin
friction resistance
= 0 = 1 (usually used for drained strength)
= 1 = sin ( x=/L), x = depth, ft; L = shaft length, ft
= 2 = 0.6
= 3 = 0.45
= 4 = 0.3
= 5 = Permits maximum skin friction input as a function of depth, psf (see line 11)
= 6 = is input for each material (see line 7)
J Option for elastic shaft modulus
= 0 shaft modulus input
= 1 shaft modulus set to near infinity

(Sheet 1 of 3)

C-2
 EI 02C097
01 Jul 97

Table C-2 (Continued)

Line Parameter Description

K Option for load-transfer functions (see Figure 3-22)

Base Shaft
= 0 Consolidation Seed and Reese
= 1 Vijayvergiya Seed and Reese
= 2 Reese and Wright Seed and Reese
= 3 Consolidation Input (see line 10)
= 4 Vijayvergiya Input (see line 10)
= 5 Reese and Wright Input (see line 10)
= 6 Input (see line 13) Input (see line 10)
= 7 Consolidation Kraft, Ray, and Kagawa
= 8 Vijayvergiya Kraft, Ray, and Kagawa
= 9 Reese and Wright Kraft, Ray, and Kagawa
SOILP Pressure on top layer of soil exerted by surrounding structure, fill, etc., psf
DS Diameter shaft, ft
DB Diameter base, ft

4 E50 Strain at 1/2 maximum deviator stress, Equation 3-34

5 LLL Option for type of shear failure at base

= 0 Local shear failure, Equation 3-24 or N c = 7
= 1 General shear failure, Equation 3-10 or N c = 9

6 MAT Number of material

GS Specific gravity
EO Initial void ratio
WO Initial water content, percent
PS Swell pressure, psf
CS Swell index
CC Compression index
C Cohesion, psf; = undrained strength for total stress analysis; effective cohesion c' or zero for effective
stress analysis
PHI Angle of shearing resistance ; = 0 for total stress analysis
AK Coefficient of lateral earth pressure
PM Maximum past pressure, psf (program sets PM = PS if PM input < PS)

7 ALPHA Reduction factor a for each material MAT, Equations 3-26, Table 3-5, Table 3-9,; used when option
I = 6, Line 3

8 M Number of element
IE(M) Material number of soil, MAT

9 RFF Hyperbolic reduction factor R for Kraft, Ray, and Kagawa model, Equation 3-35; use 1.0 if not known
GG Shear modulus G, psf, Equation 3-35

10 Input data for shaft load-transfer curves (k = 3, 4, 5, 6)

10a NCA Total number of shaft load-transfer curves to input, < 12
10b T(M,1)... Skin friction ratio of developed shear strength/maximum
..T(M,11) mobilized shear strength of each shaft load-transfer curve; 11 values required for each load-transfer
curve, the first value T(1,1) = 0.0
10c S(M) Movement in inches for all of the T(M,1)...T(M,11) curves; only 10 values required from S(2)...S(11);
S(1) = 0.0 in code; if S(M) in the code is okay (0.0, 0.05, 0.1, 0.15, 0.2, 0.23, 0.3, 0.45, 0.75, 1.05, 1.5
inches)

(Sheet 2 of 3)

C-3
EI 02C097
01 Jul 97

Table C-2 (Concluded)

Line Parameter Description

11 Input data for maximum skin friction as a function of depth

NCC Total number of maximum skin friction terms to input, <12; program interpolates maximum skin friction
between depths
11a FS(N) Maximum skin friction f-, for point N, psf
11b ZEPP(N) Depth for the maximum skin friction for point N, ft
11c NCUR Number of the shaft load-transfer curve input M in line 10; applicable to the maximum skin
friction for point N (Repeat 11a, 11b, 11c for each N = 1,NCC)
12 Input data for shaft elastic modulus as function of depth; program interpolates the elastic modulus between
depths
NC Total number of terms of elastic modulus and depth, > 1
12a EP(M) Elastic modulus of shaft at point M, psf
12b ZEP(M) Depth for the elastic modulus of shaft at point M, ft (An elastic modulus and depth term are required at
least at the top and bottom of the shaft)

13 Input data for base displacements if K = 6 (The number of input terms or R(M) and S(M) equals IJ -1,
line 2
13a R(M) Base displacement, in. (The first displacement is 0.0 inches and already input in the program)
13b S(M) Base load for displacement R(M), pounds; the base load for 0.0 displacement is approximated as the
overlying soil weight and already input in the program

14 Structural load, pressure on adjacent soil at the ground surface, and depth of the active zone for heave
input for each problem for evaluation of specific load distribution-placement computations
14a STRUC Structural vertical load on top of shaft, pounds
14b SOILP Pressure on top layer on soil exerted by surrounding structure, fill, etc., psf
14c XA Depth of the active zone for heave, ft; = 0.01 yields load-displacement behavior for zero soil movement; a
saturated soil profile is assumed when comp uting soils movement; < 0.0 program goes to line 15 below

15 NON Execution stops if 0; program goes to line 1 if > 0

(Sheet 3 of 3)

(1) The program is set to consider up to a total of (2) Load-depth data for a given applied load on the pile top are
40 soil types and 100 soil elements. Figure C-1 provides placed in file LDSP.DAT for plotting by graphic software.
and example layout of soil types and elements used in
AXILTR. (3) Displacement-depth data for a given applied load on the
pile top are placed in file MDEP.DAT for plotting by graphic
(2) The program can accommodate up to 18 points of the software.
load-displacement curve. This capacity may be altered by
adjusting the PARAMETER statement in the program. C-2. Application

(3) The input data are placed in a file, “DALTR.TXT.” The pullout, uplift, and downdrag capabilities of AXILTR
These data are printed in output file, “LTROUT.TXT,” are illustrated by two example problems. The accuracy of
illustrated in Table C-3a. these solutions can be increased by using more soil layers,
which increases control over soil input parameters such as
b. Output data. Results of the computations by swell pressure, maximum past pressure, and shear strength.
AXILTR are printed in LTROUT.TXT illustrated in
Table C-3b. Table C-3c provides a description of calcula- a. Pullout and uplift. Table C-4 illustrated input data
tions illustrated in Table C-3b. required to determine performance of a 2-feet-diameter
drilled shaft 50 feet long constructed in an expansive clay
(1) Load-displacement data are placed in file soil of two layers, NMAT = 2. The shaft is underdreamed of
LDCOM.DAT for plotting by graphic software. two layers, NMAT = 2. The shaft is underdreamed

C-4
 EI 02C097
01 Jul 97

two soils is 0.9. A high " was selected because expansive

soil increases pressure against the shaft, which may raise the
skin friction.

(2) Load-transfer models. The Kraft, Ray, and Kagawa

skin friction and the Vijayvergiya base load-transfer models
(K = 8) were selected. Two points for the elastic modulus of
the shaft concrete were input into the program.

(3) Results. The results are plotted in Figure C-2 for a

pullout force of 300,000 pounds. Results of the computation
placed in files “LTROUT.TXT” are shown in Table C-5.

(a) Total and base ultimate bearing capacity is about

1,200 and 550 kips, respectively (Figure C-2a). Base and
total capacity is 250 and 600 kips, respectively, if settlement
is limited to 0.5 inch, which is representative of an FS of
approximately 2.

(b) The distribution of load with depth, Figure C-2b, is

a combination of the shapes indicated in Figures 3-15 and
3-16, because both pullout and uplift forces must be resisted.

(c) The shaft will heave approximately 0.7 inch,

while the soil heaves more than 11 inches at the ground
surface (Figure C-2c).

Figure C-1. Schematic diagram of soil and pile b. Downdrag. Table C-6 illustrates input data required
elements to solve for the performance of the same drilled shaft and soil
described in the previous example problem, but the soil is
wetter with a much lower swell pressure. Soil shear strength
is assumed not to change significantly from the previous
with a 5-foot-diameter bell. Soil beneath the shaft is example. This shoft is subject to a 150-kip load in
nonexpansive. The shaft is subject to a pullout force of 300 addition to the downdrag forces from the settling soil.
kips. Refer to Figure C-1 for a schematic representation of
this problem. (1) Bearing capacity. The alpha skin friction and
local shear bearing-capacity models are selected similar
(1) Bearing capacity. The alpha skin friction and local to the previous example. Option to input the reduction
shear base capacity models are selected. Option to input the factor α’s are 0.55 and 0.3 for the surface and deeper
reduction factor " (I = 6) was used. The selected " 's for the soils, respectively.

C-5
EI 02C097
01 Jul 97

Table C-3. Output Data

a. Repeat of Input Data (See Table C-1)

Line Input Parameters Format Statement

1 TITLE 20A4

2 NMAT= NEL= DX= FT GWL= FT I5,I5,F6.2,F6.2

LO= IQ (SHAFT INC)= IJ (NO.LOADS= I5,I5,I5

3 I= J= K= SOILP= PSF I5,I5,I5,F10.2

DS= FT F10.2
DB= FT F10.2

4 (If K = 2, 5, 9)
E50 E13.3

5 LOCAL SHEAR FAILURE AT BASE - LLL = 0 Or I5

GENERAL SHEAR FAILURE AT BASE - LLL = 1 I5
6 MAT GS EO WO (%) PS(PSF) CS CC CO(PSF) PHI K PM(PSF) I3,3F6.2,F7.0,27.2,
F7.0,2F6.2,F7.0

7 (If I = 6) ALPHA = 2(7F10.5)

8 ELEMENT NO OF SOIL I5,10X,I5

9 (If K = 7, 8, 9)
REDUCTION FACTOR= SHEAR MODULUS= F6.3,3X,E13.3

10 (If K = 3, 4, 5, 6)
NO. OF LOAD-TRANSFER CURVES(<12)?= I5

For each curve 1 to NCA:

CURVE I5

RATIO SHR DEV, M=1, 11 ARE 11F6.3

MOVEMENT (IN.) FOR LOAD TRANSFER M= IS INCHES I5,F6.3

11 (If I = 5
NO OF SKIN FRICTION-DEPTH TERMS (<12)? ARE I5
SKIN FRICTION (PSF) DEPTH(FT) CURVE NO F10.3,F10.3,I5

12 If J = 0)
E SHAFT (PSF) AND DEPTH(FT): 4(E13.3,2X,F6.2)

13 (If K = 6)
BASE DISPLACEMENT(IN.), BASE LOAD(LB) > FOR POINTS F10.2,I5

b. Output Calculations

Line Input Parameters Format Statement

1 BEARING CAPACITY= POUNDS F13.2

2 DOWNWARD DISPLACEMENT

3 (Omitted unless LO = 0,1)

POINT BEARING(LB)= F13.2

(Sheet 1 of 3)

Table C-3 (Continued)

C-6
 EI 02C097
01 Jul 97

Line Input Parameters Format Statement

4 (Omitted unless LO = 0,1)

DEPTH LOAD TRANS TOTAL LOAD COM OF INCR TOTAL MOVMT
FT LB LB INCHES INCHE S
5E13.5,I5

5 TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT 4E13.5

LB INCHES LB INCHES

6 NEGATIVE UPWARD DISPLACEMENT

7 TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT E13.5

LB INCHES LB INCHES

8 STRUC LOAD (LB) SOILP (PSF) ACTIVE DEPTH (FT) F10.0,2F10.2

(Line 14 of Table C-2)

9 BELL RESTRAINT(LB)= F13.2

10 (If STRUL < 0.0 See Line 14, Table C-2)

FIRST ESTIMATE OF PULLOUT RESTRAINT(LB)= F13.2

11 LOAD-DISPLACEMENT BEHAVIOR

12 (If LO <2)
EFFECTS OF ADJACENT SOIL

13 INITIAL BASE FORCE(LB)= F13.2

(If LO = 0) BASE FORCE(LB)=

14 DISPLACEMENT (INCHES)= FORCE= POUNDS F8.4,F12.2

15 ITERATIONS= I5

16 DEPTH(FT) LOAD(LB) SHAFT MVMT(IN) SOIL MVMT(IN) F7.2,2X,E13.5,

2F15.5

c. Description of Calculations

Line Program Prints Description

1 BEARING CAP... End-bearing capacity, pounds

2 DOWNWARD DISPL Load-displacement behavior for zero soil movement in downward direction for IJ points

3 POINT BEARING Load at bottom of shaft prior to shaft load-transfer calculation, pounds

4 DEPTH Depth, ft
LOAD TRANS Load transferred at given depth along shaft, pounds
TOTAL LOAD Total load on shaft at given depth, pounds
COM OF INCR Incremental shaft compression at given depth, inches
TOTAL MOVMT Shaft-soil relative movement at given depth, inches
INTER Number of iterations to complete calculations

5 TOP LOAD Load at top of shaft, pounds

TOP MOVEMENT Displacement at top of shaft, inches
BASE LOAD Load at bottom of shaft, pounds
BASE MOVEMENT Displacement at bottom of shaft, inches

(Sheet 2 of 3)

C-7
EI 02C097
01 Jul 97

Table C-3 (Concluded)

Line Input Parameters Format Statement

6 NEGATIVE UPWARD Load-displacement behavior for zero soil movement in upward direction for IJ points

7 Same as item 5

8 STRUC LOAD(LB) Load applied on top of shaft, pounds

SOILP(PSF) Pressure applied on top of adjacent soil, psf
ACTIVE DEPTH Depth of soil beneath ground surface subject to soil heave, ft

9 BELL RESTRAINT Restraining resistance of bell, pounds

10 FIRST ESTIMATE Initial calculations of pullout resistance prior to iterations for structural loads less than zero,
pounds

11 LOAD-DISPLACE Load-shaft movement distribution for given structural load

12 EFFECTS OF ADJ Effects of soil movement considered in load-displacement behavior

13 INITIAL BASE Initial calculation of force at bottom of shaft prior to iterations

14 DISPLACEMENT Displacement at bottom of shaft after 100 iterations, inches

FORCE= Force at bottom of shaft, pounds after 100 iterations, pounds

15 ITERATIONS Total number of iterations to converge to solution

16 DEPTH(FT) Depth, feet

LOAD(LB) Load at given depth, pounds
SHAFT MVMT(IN.) Shaft displacement, inches
SOIL MVMT(IN.) Soil movement, inches

(Sheet 3 of 3)

(2) Load-transfer models. The Seed and Reese is approximately 1.8 relative to total pile capacity. The
skin friction and Reese and Wright base load-transfer program does not add the vertical plunging failure liens
models were selected (K = 2). Two points for the to the curves in Figure C-3a, which leaves the calculated
elastic modulus of the shaft concrete were input into the displacement load relationships nearly linear.
program.
(b) The distribution of load with depth (Figure C-
(3) Results. The results are plotted in Figure C-3 3b) is representative of downdrag indicated in Figure 3-
for a downward applied load of 150 kips. Results of the 21. The load on the shaft base is nearly 300 kips or
computation placed in file LTROUT.TXT are illustrated double the applied load at the ground surface.
in Table C-7.
(c) The shaft will settle approximately 1 inch, while
(a) Total and base ultimate bearing capacity (Fig- the soil settles about 2 inches at the ground surface (Fig-
ure C-3a) is about 550 and 880 kips, respectively. Base ure C-3c). The soil is heaving near the ground surface,
and total capacity is about 200 and 500 kips, which counters the settlement from downdrag. Maximum
respectively, if settlement is limited to 0.5 inch. The FS settlement is about 3.5 inches at 10 feet of depth.

C-8
 EI 02C097
01 Jul 97

Figure C-2. Plotted output for pullout and uplift problems (Continued)

C-9
EI 02C097
01 Jul 97

Figure C-2. (Concluded)

Table C-4
Listing of Data Input for Expansive Soil, File DATLR.TXT

EXPANSIVE SOIL
2 50 1.0 40. 2 50 16
6 0 8 0.0 2.0 5.00
0
1 2.68 .8 30. 4800. .1 .2 2000. .0 .7 7000.
2 2.65 .37 13.1 6000. .1 .2 4000. .0 2. 10000.
0.9 0.9
1 1
41 2
50 2
.900 1.600E+05
2
4.333E 08 .0
4.333E 08 50.0
-300000. .0 50.
0. .0 -1.0
0

C-10
 EI 02C097
01 Jul 97

Figure C-3. Plotted output for drowndrag problem

C-11
EI 02C097
01 Jul 97

Figure C-3. (Concluded)

C-12
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01 Jul 97

Table C-5
Listing of Output for Pullent and Uplift Problem

EXPANSIVE SOILS
NMAT= 2 NEL= 50 DX= 1.00 FT GWL= 40.00 FT
LO= 2 IQ (SHAFT INC)= 50 IJ (NO. LOADS)= 16

I= 6 J= 0 K= 8 SOILP= 0.00 PSF

DS= 2.00 FT
DB= 5.00 FT

LOCAL SHEAR FAILURE AT BASE - LLL= 0

MAT GS EO WO(%) PS(PSF) CS CC CO(PSF) PHI K PM(PSF)

1 2.68 0.80 30.00 4800. 0.10 0.20 2000. 0.00 0.70 7000.
2 2.65 0.37 13.10 6000. 0.10 0.20 4000. 0.00 2.00 100000.

ALPHA= 0.90000 0.9000

ELEMENT NO OF SOIL
1 1
2 1
. 1
. 1
40 1
41 2
42 2
. 2
. 2
50 2

REDUCTION FACTOR = 0.900 SHEAR MODULUS= 0.160E+06

E SHAFT(PSF) AND DEPTH(FT):

0.433E+09 0.00 0.433E+09 50.00

BEARING CAPACITY= 549778.69 POUNDS

DOWNWARD DISPLACEMENT

TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT

POUNDS INCHES POUNDS INCHES

0.24017E+06 0.17714E+00 0.10946E+06 0.99065E-01

0.34507E+06 0.26781E+00 0.13882E+06 0.15855E+00
0.45773E+06 0.37719E+00 0.16817E+06 0.23526E+00
0.58421E+06 0.50996E+00 0.19753E+06 0.33139E+00
0.71040E+06 0.66509E+00 0.22688E+06 0.44915E+00
0.82982E+06 0.84256E+00 0.25624E+06 0.59070E+00
0.92817E+06 0.10432E+01 0.28559E+06 0.75826E+00
0.97601E+06 0.12587E+01 0.31494E+06 0.95401E+00
0.10054E+07 0.14978E+01 0.34430E+06 0.11801E+01
0.10347E+07 0.17694E+01 0.37365E+06 0.14388E+01
0.10641E+07 0.20758E+01 0.40301E+06 0.17323E+01
0.10934E+07 0.24192E+01 0.43236E+06 0.20627E+01
0.11228E+07 0.28017E+01 0.46172E+06 0.24323E+01
0.11521E+07 0.32256E+01 0.49107E+06 0.28432E+01
0.11815E+07 0.36930E+01 0.52042E+06 0.32977E+01
0.12108E+07 0.42061E+01 0.54978E+06 0.37979E+01

(Sheet 1 of 3)

C-13
EI 02C097
01 Jul 97

Table C-5 (Continued)

NEGATIVE UPWARD DISPLACEMENT

TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT

POUNDS INCHES POUNDS INCHES
-0.18590E+05 -0.37138E-02 0.00000E+00 0.00000E+00
-0.31134E+05 -0.16708E-01 0.00000E+00 -0.10000E-01
-0.43689E+05 -0.29706E-01 0.00000E+00 -0.20000E-01
-0.68793E+05 -0.55704E-01 0.00000E+00 -0.40000E-01
-0.11899E+06 -0.10770E+00 0.00000E+00 -0.80000E-01
-0.21806E+06 -0.21160E+00 0.00000E+00 -0.16000E+00
-0.38024E+06 -0.41089E+00 0.00000E+00 -0.32000E+00
-0.61240E+06 -0.78911E+00 0.00000E+00 -0.64000E+00
-0.69610E+06 -0.14531E+01 0.00000E+00 -0.12800E+01
-0.69610E+06 -0.27331E+01 0.00000E+00 -0.25600E+01
-0.69610E+06 -0.52931E+01 0.00000E+00 -0.51200E+01
-0.69610E+06 -0.10413E+02 0.00000E+00 -0.10240E+02
-0.69610E+06 -0.20653E+02 0.00000E+00 -0.20480E+02
-0.69610E+06 -0.41133E+02 0.00000E+00 -0.40960E+02
-0.69610E+06 -0.82093E+02 0.00000E+00 -0.81920E+02
-0.69610E+06 -0.16401E+03 0.00000E+00 -0.16384E+03

STRUC LOAD(LB) SOILP(PSF) ACTIVE DEPTH(FT)

-300000. 0.00 50.00

BELL RESTRAINT(LB)= 44915.44

FIRST ESTIMATE OF PULLOUT RESTRAINT(LB)= 541894.31

LOAD-DISPLACEMENT BEHAVIOR

INITIAL BASE FORCE(LBS)= -788275.25

DISPLACEMENT(INCHES)= -0.2475 FORCE= -66776819 POUNDS

DISPLACEMENT(INCHES)= -0.4975 FORCE= -532357.44 POUNDS

DISPLACEMENT(INCHES)= -0.6525 FORCE= -449443.94 POUNDS

INTERATIONS= 262

DEPTH(FT) LOADS(LB) SHAFT MVMT(IN.) SOIL MVMT(IN.)

0.00 -0.32427E+06 -0.88276 -11.94514

1.00 -0.33520E+06 -0.87985 -10.67843
2.00 -0.34613E+06 -0.87685 -9.72980
3.00 -0.35706E+06 -0.87385 -8.92906
4.00 -0.36799E+06 -0.87055 -8.22575
5.00 -0.37892E+06 -0.86726 -7.59519
6.00 -0.38985E+06 -0.86387 -7.02274
7.00 -0.40078E+06 -0.86039 -6.49865
8.00 -0.41171E+06 -0.85681 -6.01600
9.00 -0.42264E+06 -0.85313 -5.56958
10.00 -0.43357E+06 -0.84936 -5.15537
11.00 -0.44450E+06 -0.84549 -4.77014
12.00 -0.45543E+06 -0.84152 -4.41124
13.00 -0.46636E+06 -0.83746 -4.07648
14.00 -0.47729E+06 -0.83330 -3.76401
15.00 -0.48822E+06 -0.82904 -3.47223
16.00 -0.49915E+06 -0.82469 -3.19976

(Sheet 2 of 3)

C-14
 EI 02C097
01 Jul 97

Table C-5 (Concluded)

DEPTH(FT) LOADS(LB) SHAFT MVMT(IN.) SOIL MVMT(IN.)

17.00 -0.51008E+06 -0.82024 -2.94538

18.00 -0.52101E+06 -0.81570 -2.70805
19.00 -0.53194E+06 -0.81105 -2.48680
20.00 -0.54287E+06 -0.80632 -2.28080
21.00 -0.55380E+06 -0.80148 -2.08927
22.00 -0.56473E+06 -0.79655 -1.91153
23.00 -0.57566E+06 -0.79153 -1.74696
24.00 -0.58613E+06 -0.78641 -1.59498
25.00 -0.59556E+06 -0.78120 -1.45506
26.00 -0.60381E+06 -0.77591 -1.32673
27.00 -0.61073E+06 -0.77056 -1.20953
28.00 -0.61621E+06 -0.76515 -1.10306
29.00 -0.62027E+06 -0.75970 -1.00692
30.00 -0.62304E+06 -0.75422 -0.92078
31.00 -0.62444E+06 -0.74872 -0.84428
32.00 -0.62465E+06 -0.74321 -0.77713
33.00 -0.62386E+06 -0.73771 -0.71902
34.00 -0.62223E+06 -0.73222 -0.66969
35.00 -0.61992E+06 -0.72674 -0.62887
36.00 -0.61710E+06 -0.72129 -0.59633
37.00 -0.61390E+06 -0.71587 -0.57183
38.00 -0.61049E+06 -0.71047 -0.55516
39.00 -0.60701E+06 -0.70510 -0.54610
40.00 -0.60360E+06 -0.69977 -0.54447
41.00 -0.59487E+06 -0.69448 -0.46514
42.00 -0.58401E+06 -0.68929 -0.39155
43.00 -0.57119E+06 -0.68420 -0.32363
44.00 -0.55675E+06 -0.67922 -0.26128
45.00 -0.54103E+06 -0.67439 -0.20443
46.00 -0.52416E+06 -0.66969 -0.15300
47.00 -0.50642E+06 -0.66515 -0.10692
48.00 -0.48799E+06 -0.66077 -0.06611
49.00 -0.46897E+06 -0.65655 -0.03049
50.00 -0.44994E+06 -0.65250 0.00000

STRUC LOAD(LB) SOILP(PSF) ACTIVE DEPTH(FT)

0. 0.00 -1.00

(Sheet 3 of 3)

C-15
EI 02C097
01 Jul 97

Table C-6
Listing of Data Input for Settling Soil

SETTLING SOIL
2 50 1.0 40. 2 50 16
6 0 2 0.0 2.0 5.00
0.010
0

1 2.68 .8 30. 1200. .05 .1 2000. .0 .7 4000.

2 2.65 .37 13.1 6000. .05 .1 4000. .0 2. 10000.
0.55 0.3
1 1
41 2
50 2
2
4.333E 08 .0
4.333E 08 50.0
150000. .0 50.
0. .0 -1.0
0

Table C-7
Listing of Output for Downdrag Problem

SETTLING SOILS

NMAT= 2 NEL= 50 DX= 1.00 FT GWL= 40.00 FT

LO= 2 IQ (SHAFT INC)= 50 IJ (NO. LOADS)= 16

I= 6 J= 0 K= 8 SOILP= 0.00 PSF

DS= 2.00 FT
DB= 5.00 FT

E50= 0.100E-01

LOCAL SHEAR FAILURE AT BASE - LLL= 0

MAT GS EO WO(%) PS(PSF) CS CC CO(PSF) PHI K PM(PSF)

1 2.68 0.80 30.00 1200. 0.05 0.10 2000. 0.00 0.70 4000.
2 2.65 0.37 13.10 6000. 0.05 0.10 4000. 0.00 2.00 10000.

ALPHA= 0.55000 0.3000

(Sheet 1 of 4)

C-16
 EI 02C097
01 Jul 97

Table C-7 (Continued)

ELEMENT NO OF SOIL
1 1
2 1
. 1
. 1
40 1
41 2
42 2
. 2
. 2
50 2

E SHAFT(PSF) AND DEPTH(FT):

0.433E+09 0.00 0.433E+09 50.00
BEARING CAPACITY= 549778.69 POUNDS

DOWNWARD DISPLACEMENT

TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT

POUNDS INCHES POUNDS INCHES

0.43825E+06 0.36209E+00 0.10946E+06 0.24071E+00

0.47316E+06 0.46787E+00 0.13882E+06 0.33163E+00
0.50252E+06 0.57771E+00 0.16817E+06 0.42854E+00
0.53187E+06 0.69319E+00 0.19753E+06 0.53108E+00
0.56122E+06 0.81401E+00 0.22688E+06 0.63896E+00
0.59058E+06 0.93992E+00 0.25624E+06 0.75193E+00
0.61993E+06 0.10707E+01 0.28559E+06 0.86977E+00
0.64929E+06 0.12061E+01 0.31494E+06 0.99228E+00
0.67864E+06 0.13461E+01 0.34430E+06 0.11193E+01
0.70800E+06 0.14904E+01 0.37365E+06 0.12507E+01
0.73735E+06 0.16389E+01 0.40301E+06 0.13862E+01
0.76671E+06 0.17945E+01 0.43236E+06 0.15259E+01
0.79606E+06 0.19481E+01 0.46172E+06 0.16695E+01
0.82541E+06 0.21085E+01 0.49107E+06 0.18170E+01
0.85477E+06 0.22727E+01 0.52042E+06 0.19682E+01
0.88412E+06 0.24405E+01 0.54978E+06 0.21231E+01

(Sheet 2 of 4)

C-17
EI 02C097
01 Jul 97

Table C-7 (Continued)

NEGATIVE UPWARD DISPLACEMENT

TOP LOAD TOP MOVEMENT BASE LOAD BASE MOVEMENT

POUNDS INCHES POUNDS INCHES

-0.19877E+05 -0.38437E-02 0.00000E+00 0.00000E+00

-0.44463E+05 -0.18937E-01 0.00000E+00 -0.10000E-01
-0.69052E+05 -0.34038E-01 0.00000E+00 -0.20000E-01
-0.11821E+06 -0.64239E-01 0.00000E+00 -0.40000E-01
-0.21272E+06 -0.12447E+00 0.00000E+00 -0.80000E-01
-0.31375E+06 -0.22746E+00 0.00000E+00 -0.16000E+00
-0.36937E+06 -0.40225E+00 0.00000E+00 -0.32000E+00
-0.36937E+06 -0.72225E+00 0.00000E+00 -0.64000E+00
-0.36937E+06 -0.13623E+01 0.00000E+00 -0.12800E+01
-0.36937E+06 -0.26423E+01 0.00000E+00 -0.25600E+01
-0.36937E+06 -0.52023E+01 0.00000E+00 -0.51200E+01
-0.36937E+06 -0.10322E+02 0.00000E+00 -0.10240E+02
-0.36937E+06 -0.20562E+02 0.00000E+00 -0.20480E+02
-0.36937E+06 -0.41042E+02 0.00000E+00 -0.40960E+02
-0.36937E+06 -0.82002E+02 0.00000E+00 -0.81920E+02
-0.36937E+06 -0.16392E+02 0.00000E+00 -0.16384E+03

STRUC LOAD(LB) SOILP(PSF) ACTIVE DEPTH(FT)

150000. 0.00 50.00
BELL RESTRAINT(LB)= 44915.44
LOAD-DISPLACEMENT BEHAVIOR
POINT BEARING(LB)= 37465.96

DEPTH LOAD TRANS TOTAL LOAD COM OF INCR TOTAL MVMT ITER
FEET POUNDS POUNDS INCHES INCHES

0.49500E+02 0.35018E+04 0.40968E+05 0.34571E-03 0.82732E-01 2

0.48500E+02 0.35181E+04 0.44486E+05 0.37665E-03 0.83108E-01 2
0.47500E+02 0.35358E+04 0.48022E+05 0.40775E-03 0.83516E-01 2
0.46500E+02 0.35550E+04 0.51577E+05 0.43900E-03 0.83955E-01 2
0.45500E+02 0.35756E+04 0.55152E+05 0.47043E-03 0.84425E-01 2
0.44500E+02 0.35976E+04 0.58750E+05 0.50205E-03 0.84928E-01 2
0.43500E+02 0.36210E+04 0.62371E+05 0.53386E-03 0.85461E-01 2
0.42500E+02 0.36459E+04 0.66017E+05 0.56589E-03 0.86027E-01 2
0.41500E+02 0.36722E+04 0.69689E+05 0.59815E-03 0.86625E-01 2
0.40500E+02 0.37000E+04 0.73389E+05 0.63064E-03 0.87256E-01 2
0.39500E+02 0.32524E+04 0.76641E+05 0.66129E-03 0.87917E-01 2
0.38500E+02 0.32804E+04 0.79921E+05 0.69008E-03 0.88607E-01 2
0.37500E+02 0.33096E+04 0.83231E+05 0.71913E-03 0.89327E-01 2
0.36500E+02 0.33400E+04 0.86571E+05 0.74844E-03 0.90075E-01 2
0.35500E+02 0.33717E+04 0.89943E+05 0.77802E-03 0.90853E-01 2
0.34500E+02 0.34046E+04 0.93347E+05 0.80789E-03 0.91661E-01 2
0.33500E+02 0.34378E+04 0.96786E+05 0.83805E-03 0.92499E-01 2
0.32500E+02 0.34741E+04 0.10026E+06 0.86852E-03 0.93368E-01 2
0.31500E+02 0.35107E+04 0.10377E+06 0.89931E-03 0.94267E-01 2

(Sheet 3 of 4)

C-18
 EI 02C097
01 Jul 97

Table C-7 (Continued)

0.30500E+02 0.35487E+04 0.10732E+06 0.93042E-03 0.95197E-01 2

0.29500E+02 0.35879E+04 0.11091E+06 0.96188E-03 0.96159E-01 2
0.28500E+02 0.36284E+04 0.11454E+06 0.99369E-03 0.97153E-01 2
0.27500E+02 0.36703E+04 0.11821E+06 0.10259E-02 0.98179E-01 2
0.26500E+02 0.37135E+04 0.12192E+06 0.10584E-02 0.99237E-01 2
0.25500E+02 0.37581E+04 0.12568E+06 0.10913E-02 0.10033E+00 2
0.24500E+02 0.37857E+04 0.12946E+06 0.11246E-02 0.10145E+00 2
0.23500E+02 0.38093E+04 0.13327E+06 0.11581E-02 0.10261E+00 2
0.22500E+02 0.38337E+04 0.13711E+06 0.11918E-02 0.10380E+00 2
0.21500E+02 0.38588E+04 0.14097E+06 0.12257E-02 0.10503E+00 2
0.20500E+02 0.38845E+04 0.14485E+06 0.12598E-02 0.10629E+00 2
0.19500E+02 0.39110E+04 0.14876E+06 0.12941E-02 0.10758E+00 2
0.18500E+02 0.39382E+04 0.15270E+06 0.13287E-02 0.10891E+00 2
0.17500E+02 0.39661E+04 0.15667E+06 0.13636E-02 0.11027E+00 2
0.16500E+02 0.39947E+04 0.16066E+06 0.13987E-02 0.11167E+00 2
0.15500E+02 0.40241E+04 0.16468E+06 0.14340E-02 0.13111E+00 2
0.14500E+02 0.40542E+04 0.16874E+06 0.14696E-02 0.11458E+00 2
0.13500E+02 0.40850E+04 0.17282E+06 0.15055E-02 0.11608E+00 2
0.12500E+02 0.41166E+04 0.17694E+06 0.15417E-02 0.11762E+00 2
0.11500E+02 0.41490E+04 0.18109E+06 0.15781E-02 0.11920E+00 2
0.10500E+02 0.41821E+04 0.18527E+06 0.16148E-02 0.12082E+00 2
0.95000E+01 0.42159E+04 0.18949E+06 0.16518E-02 0.12247E+00 2
0.85000E+01 0.42506E+04 0.19374E+06 0.16891E-02 0.12416E+00 2
0.75000E+01 0.42860E+04 0.19802E+06 0.17268E-02 0.12588E+00 2
0.65000E+01 0.43222E+04 0.20235E+06 0.17647E-02 0.12765E+00 2
0.55000E+01 0.43592E+04 0.20670E+06 0.18030E-02 0.12945E+00 2
0.45000E+01 0.43970E+04 0.21110E+06 0.18416E-02 0.13129E+00 2
0.35000E+01 0.44355E+04 0.21554E+06 0.18805E-02 0.13317E+00 2
0.25000E+01 0.44749E+04 0.22001E+06 0.19198E-02 0.13509E+00 2
0.15000E+01 0.45152E+04 0.22453E+06 0.19594E-02 0.13705E+00 2
0.50000E+00 0.45562E+04 0.22908E+06 0.19994E-02 0.13905E+00 2

(Sheet 4 of 4)

C-19
EI 02C097
01 Jul 97

Table C-7 (Concluded)

INITIAL BASE FORCE(LB)= 355177.69

ITERATIONS= 81

DEPTH(FT) LOADS(LB) SHAFT MVMT(IN.) SOIL MVMT(IN.)

0.00 0.14992E+06 0.98875 2.15238

1.00 0.15721E+06 0.98740 2.58505
2.00 0.16451E+06 0.98598 2.85868
3.00 0.17108E+06 0.98450 3.05836
4.00 0.17909E+06 0.98295 3.20933
5.00 0.18638E+06 0.98134 3.32392
6.00 0.19367E+06 0.97967 3.40946
7.00 0.20096E+06 0.97793 3.47082
8.00 0.20852E+06 0.97612 3.51146
9.00 0.21554E+06 0.97425 3.53398
10.00 0.22283E+06 0.97232 3.54040
11.00 0.23013E+06 0.97033 3.53233
12.00 0.23742E+06 0.96827 3.51109
13.00 0.24471E+06 0.96614 3.47778
14.00 0.25200E+06 0.96395 3.43333
15.00 0.25929E+06 0.96170 3.97853
16.00 0.26658E+06 0.95938 3.31409
17.00 0.27387E+06 0.95700 3.24058
18.00 0.28116E+06 0.95455 3.15857
19.00 0.28845E+06 0.95204 3.06850
20.00 0.29575E+06 0.94946 2.97082
21.00 0.30304E+06 0.94683 2.86589
22.00 0.31033E+06 0.94412 2.75408
23.00 0.31762E+06 0.94135 2.63568
24.00 0.32491E+06 0.93852 2.51098
25.00 0.33220E+06 0.93563 2.38025
26.00 0.33949E+06 0.93267 2.24373
27.00 0.34678E+06 0.92964 2.10165
28.00 0.35407E+06 0.92655 1.95420
29.00 0.36137E+06 0.92340 1.80157
30.00 0.36866E+06 0.92018 1.64396
31.00 0.37595E+06 0.91690 1.48152
32.00 0.38324E+06 0.91355 1.31441
33.00 0.39019E+06 0.91014 1.14278
34.00 0.39292E+06 0.90669 0.96503
35.00 0.38861E+06 0.90325 0.77876
36.00 0.38207E+06 0.89985 0.58423
37.00 0.37554E+06 0.89651 0.38165
38.00 0.36901E+06 0.89323 0.17124
39.00 0.36248E+06 0.89000 -0.04679
40.00 0.35595E+06 0.88684 -0.27224
41.00 0.34864E+06 0.88373 -0.23257
42.00 0.34133E+06 0.88069 -0.19578
43.00 0.33403E+06 0.87771 -0.16181
44.00 0.32672E+06 0.87480 -0.13064
45.00 0.31941E+06 0.87195 -0.10222
46.00 0.31211E+06 0.86917 -0.07650
47.00 0.30480E+06 0.86645 -0.05346
48.00 0.29749E+06 0.86380 -0.03305
49.00 0.29018E+06 0.86121 -0.01524
50.00 0.28288E+06 0.85868 0.00000

STRUC LOAD(LB) SOILP(PSF) ACTIVE DEPTH(FT)

0. 0.00 -1.00

(Sheet 5 of 4)

C-20
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Appendix D b. The correction for batter is made as follows:

Modification of p-y Curves for Battered (1) enter Figure D1 with the angle of batter, positive or
Piles negative, and obtain a value of the ratio; (2) compute
groundline deflection as if the pile were vertical;
a. Kubo (1965) and Awoshika and Reese (1971)1 (3) multiply the deflection found in (2) by the ratio found
inves-tigated the effect of batter on the behavior of in (1); (4) vary the strength of the soil until the
laterally loaded piles. Kubo used model tests in sands deflection found in (3) is obtained; and (5) use the
and full-scale field experiments to obtain his results. modified strength found in (4) for the further
Awoshika and Reese tested 2-inch diameter piles in sand. computations of the behavior of the pile that is placed on
The value of the constant showing the increase or a batter. The method outlined is obviously approximate
decrease in soil resistance as a function of the angle of and should be used with caution. If the project is large,
batter may be obtained from the line in Figure D1. The it could be desirable to perform a field test on a pile
“ratio of soil resistance” was obtained by comparing the installed with a batter.
groundline deflection for a battered pile with that of a
vertical pile and is, of course, based purely on
experiment.

1
References are listed in Appendix A.

D-1
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EI 02C097

D-2
Figure D1. Modification ofp-y curves for battered piles (after Kubo (1965), and Awoshika and Reese (1971))