9.7.3.1 Lateral Capacity Design Methods The basic design approaches for lateral pile capacity analysis of vertical piles consist of lateral load tests or analytical methods, Both of these approaches are described in greater detail in the following sections. 1. Lateral Load Tests Full scale lateral load tests can be conducted at a site during either the design or construction stage. The load-deformation data obtained is used to finalize or confirm the design for the particular site. Factors such as loading rate, cyclic (single or multi- directional) versus monotonic application of design forces, and levels of axial load components should be considered in developing appropriate field testing procedures. These tests may be time-consuming, costly, and cannot be justified on all projects. Chapter 19 provides additional details on lateral load test procedures and interpretation. Analytical Methods The analytical methods are baged on theory and empirical data and permit the rational consideration of various site parameters. Two common approaches are Broms’ (1964a, 1964b) hand calculation method and Reese's (1984) computer solution. Both approaches consider the pile to be analogous to a beam on an elastic foundation. FHWA publication FHWA-IP-84-11 by Reese (1984) presents details of both methods. Broms' method provides a relatively easy hand calculation procedure to determine lateral loads and pile deflections at the ground surface. Broms’ method ignores the axial load on the pile. For small projects, Broms' method may be used. However, when there are definitive limits on the allowable pile movements, a more detailed load-deformation analysis may stil be required. Reese's method is a more rigorous computer analysis using the COM624P program. Reese's method permits the inclusion of more complete modeling parameters of a specific problem. The program output provides distributions versus depth of moment, shear, soil and pile moduli, and soil resistance for the entire length of pile, including moments and shears in above ground sections. 9-73For the design of all major pile foundation projects, Reese's more rigorous computer method should be used. The COM624P method is described in more detail in Section 9.7.3.3 Additional information on the COM624P program by Wang and Reese (1993) may be found in FHWA publication FHWA-SA-91-048 9.7.3.2 Broms' Method The Broms' method is a straight forward hand calculation method for lateral load analysis of a single pile. The method calculates the ultimate soil resistance to lateral load as well as the maximum momnent induced in the pile, Broms’ method can be used {0 evaluate fixed or free head conditions in either purely cohesive or purely cohesioniess Soil profiles. The method is not conducive to lateral load analyses in mixed cohesive and cohesionless soil profiles. For long fixed head piles in sands, the method can also Overpredict lateral load capacities (Long, 1996). Therefore, for mixed profiles and for [ong fixed head piles in sands, the COM624P program should be used. A step by step Procedure developed by the New York State Department of Transportation (1977) on the application of Broms’ method is provided below. STEP BY STEP PROCEDURE FOR BROMS' METHOD STEP 1 Determine the general soil type (.e., cohesive or cohesionless) within the critical depth below the ground surface (about 4 or § pile diameters). STEP 2 Determine the coefficient of horizontal subgrade reaction, K,, within the critical depth for cohesive or cohesionless soils. Ny My 80 gy b a. Cohesive Soils: K, = Where: q, = Uncontined compressive strength (kPa). b = Width or diameter of pile (m). n, and n, = Empirical coefficients taken from Table 9-10. b. — Cohesionless Soils: Choose K, from the Table 9-11. (The values of K, given in Table 9-11 were determined by Terzaghi_)TABLE 9-10 VALUES OF COEFFICIENTS n, AND n, FOR COHESIVE SOILS Unconftined Compressive Strength, Gu (kPa) n, Less than 48 kPa 0.32 48 to 191 kPa 0.36 More than 191 kPa 0.40 Pile Material n Stee! 1.00 Concrete 1.15 Wood 1.30 TABLE 9-11 VALUES OF kK, FOR COHESIONLESS SOILS Kyo (KNim®) Soil Density Above Ground Water Below Ground Water Loose 1900 7086 Medium 8143 5429 | Dense 17644 10857, STEP 3 Adjust K,, for loading and soil conditions. a. Cyclic loading (for earthquake loading) in cohesionless soil: 1Ky= 2K, = YK, from Step 2 for medium to dense soil. % Ky, from Step 2 for loose soil. b. — Static loads resulting in soil creep (cohesive soils) 1. Soft and very soft normally consolidated clays K,= (% to '/,) Ky from Step 2. 2. Stiff to very stiff clays Ke (% to %) K, from Step 2. 9-75STEP 4 Determine pile parameters. a. Modulus of elasticity, E, (MPa). Moment of inertia, |, (m‘) Section modulus, S, (m*) about an axis perpendicular to the load plane. Yield stress of pile material, f,, (MPa) for steel or ultimate compression strength, f',, (MPa) for concrete. Embedded pile length, D, (m). Diameter or width, b, (m). Eccentricity of applied load e, for free-headed piles - i.e., vertical distance between ground surface and lateral load (m). Dimensionless shape factor C, (for steel piles only) 1. Use 1.3 for piles with circular cross section 2. Use 1.1 for H-Bection piles when the applied lateral load is in the direction of the pile's maximum resisting moment (normal to the pile flanges). 3. Use 1.5 for H-section piles when the applied lateral load is in the direction of the pile’s minimum resisting moment (parallel to the pile flanges). M,, the resisting moment of the pile. 1. M, = C,f,S (kN-m) (for steel piles) 2. M, = f.S (kN-m) (for concrete piles) 9-76STEP 5 STEP 6 STEP 7 Determine 8, for cohesive soils or 1 for cohesionless soils. a. By = YK,B/EI for cohesive soil, or b. 7 = \K/El for cohesionless soil Determine the dimensionless length factor. a. B,D for cohesive soil, or b. nD for cohesionless soil. Determine if the pile is long or short. a. Cohesive soil: 1. B,D > 2.25 (long pile). 2, B,D < 2.25 (short pile). Note: It is suggested that for B,D values between 2.0 and 2.5, both long and short pile criteria should be considered in Step 9, and then the smaller value should be used. b. Cohesionless soil: 1, nD > 4.0 (long pile). 2. nD < 20 (short pile). 3. 2.0 < nD < 4.0 (intermediate pile). 9-77STEP 8 STEP 9 Determine other soil parameters over the embedded length of pile. a, The Rankine passive pressure coefficient for cohesionless soll, K,. K, = tan? (45 + $/2) where $ = angle of internal friction The average effective unit weight of soil, y' (kN/m?). The cohesion, c,, (kPa). ©, = % the unconfined compressive strength, a, Determine the ultimate lateral load for a single pile, Q,. a. Short Free or Fixed-Headed Pile in Cohesive Soil. Using D/o (and e,/b for the free-headed case), enter Figure 9.27, select the corresponding value of Q,/c,b%, and solve for Q, (KN). Long Free or Fixed-Headed Pile in Cohesive Soil. Using M,/c,b* (and e,/b for the free headed case), enter Figure 9.28, Select the correspbnding value of Q,/c,b%, and solve for Q, (kN). Short Free or Fixed-Headed Pile in Cohesionless Soil, Using D/b (and e,/D for the free-headed case), enter Figure 9.29, select the corresponding value of Q,/K, by and solve for Q, (kN). Long Free or Fixed-Headed Pile in Cohesionless Soil. Using My/b'y K,, (and e,/b for the free headed case); enter Figure 9.30, Select the corresponding value of Q,/k,b’y and solve for Q, (kN). Intermediate Free or Fixed-Headed Pile in Cohesionless Soil. Calculate Q, for both a short pile (Step 9c) and long pile (Step 9d) and use the smaller value. 9-78Dimensionless I B {| Load Factor, 30 F || CO 1 ii6 Q/c,b? Coo ( - 20 -- ry 10 F} t Cle TT LI Free Head +l CT ri +fEt tT 9 Ul Z pil l 0 4 8 12 16 20 Free Head Fixed Head Dimensionless Factor, D/b Q, Q Figure 9.27 Ultimate Lateral Load Capacity of Short Piles in Cohesive Soils 9-79100 60 40 20 Dimensionless Load Factor, 10 Qyeyb? _g 4 1 34 6 10 20 40 60 100 200 400 600 Dimensionless Yield Factor, M,/c,b® Free Head Fixed Head Q Q e, ed D Figure 9.28 Ultimate Lateral Load Capacity of Long Piles in Cohesive Soils 9-80e/D 200 ———F 0.0 0.2 160 TP ] 0.4 0.6 , ; 120 F 08 Dimensionless 1.0 Load Factor, Qu/K,b*y 80 15 2.0 3.0 40 0 0 4 8 12 16 20 Dimensionless Factor, D/b Free Head Fixed Head Figure 9.29 Ultimate Lateral Load Capacity of Short Piles in Cohesionless Soils 9-81Dimensionless Yield Factor, My/b“yK, 0.1 1 10 100 1,000 10,000 1,000 - z “i 100 Dimensionless Load Factor, QY/K,b*y 10 | e,/b Free Head Fixed Head Q Q, eel &,) D Figure 9.30 Ultimate Lateral Load Capacity of Long Piles in Cohesionless Soils 9-82STEP 10 Calculate the maximum pllowable working load for a single pile Q,,, Calculate Q,, from the ultimate load Q, determined in Step 9 as shown in Figure 9.31. Q Qa = = (KN "25 oN) Ultimate (Failure) Load Q, Load, Q (kN) Maximum Allowable Working Load Q Adjusted Q, Deflection, y (m) Figure 9.31 Load Deflection Relationship Used in Determination of Broms’ Maximum Working Load 9-83STEP 11 STEP 12 Calculate the working load for a single pile, Q, (kN). Caloulate Q, corresponding to a given design deflection at the ground surface y, (m) or the deflection Corresponding to a given design load. If Q, andy are not given, substitute the value of Q,, (kN) from Step 10 for Q, in the following cases and solve for y,, (m) a. Free or Fixed-Headed Pile in Cohesive Soil Using £,D (and ¢,/D for the free-headed case), enter Figure 9.32, select the corresponding value of yk,bD/Q,, and solve for Q, (kN) or y (m). b. Free or Fixed-Headed Pile in Cohesionless Soil. Using nD (and e/0 for the free-headed case), enter Figure 9.33, select the corresponding value of y(El)°*K,?"/Q,D, and solve for Q, (KN) or y (m). Compare Q, to Q,, 'Q, > Q,, use Q,, and calculate y,, (Step 11) 1fQ, th Figure 9.32 Lateral Deflection at Ground Surface of Piles in Cohesive Soils 9-85Dimensionless © Deflection Factor, Y(EN°*K,"*/Q,D 4 f 2 Fixed Head —14 ou 0 Dimensionless Length Factor, nD Free Head Fixed Head Qa Q e, ed D ? 4h Figure 9.33 Lateral Deflection at Ground Surface of Piles In Cohesionless Soils 9-86STEP 13 Reduce the allowable load from Step 12 for pile group effects and the method of pile installation. a. Group reduction factor determined by the center to center pile spacing, 2, in the direction of load. Zz z z Reduction oo0°0 Fact ‘actor oo0°o 8b 1.0 OO O|_ Lateral Load 6b 08 000 4b 05 000 3b 0.4 o0o°0 b. Method of installation reduction factor. 1. For driven piles use no reduction. 2. For jetted piles use 0.75 of the value from Step 13a. STEP 14 Determine pile group lateral capacity, The total lateral load capacity of the pile group equals the adjusted allowable load per pile from Step 1b times the number of piles. The deflection of the pile group is the value selected in Step 12. It should be noted that no provision has been made to include the lateral resistance offered by the soil surrounding an embedded pile cap.Special Note Inspection of Figures 9.29 and 9.30 for cohesionless soils indicates that the ultimate load Q, is directly proportional to y, the effective soil unit weight. As a result, the ultimate load for short piles in submerged cohesionless soils will be about 50 percent of the value for the same soil in a dry state, For long piles, the reduction in Q, is somewhat less than 60 percent due to the partially offsetting effect that the reduction in y has on the dimensionless yield factor. In addition to these considerations, it should be noted {hat the coefficient of horizontall subgrade reaction K,, is less for the submerged case (Table 9-11) and thus the deflection will be greater than for the dry state. 9.7.3.3 Reese’s COM624P Method ‘The interaction of a pile-soil system subjected to lateral load has long been recognized 88 a complex function of nonlinear response characteristics, The most widely used nonlinear analysis method is the p-y method, where p is the soil resistance per unit pile length and y is the lateral soil or pile deflection. This method, illustrated in Figure 9.94, models the soil resistance to lateral load as a series of nonlinear springs. Reese (1984, 1986) has presented procedures for describing the soil response Surrounding a laterally loaded pile for various soll conditions by using a family of p-y Curves. The procedures for constructing these curves are based on experiments using {ul-sized, instrumented piles and theories for the behavior of soil under stress. The soil modulus E, is defined as follows: The negative sign indicates that the soil resistance opposes pile deflection. The soil modulus, E,, is the secant modulus of the p-y curve and is not constant except over a small range of deflections. Typidal p-y curves are shown in Figure 9.35. Ductile p-y Curves, such as curve A, are typical of the response of soft clays under static loading and sands. Brittle p-y curves, such as curve B, can be found in some stiff clays under dynamic loading conditions. 9-887. 5 =< i Wy — =< < =< | Lessa p { Figure 9.34 COM624P Pile-Soil Model 9-89A: Ductile Soil Soil Resistance Per Unit Length, B: Brittle Soil p (N/mm) Lateral Deflection, y (mm) Figure 9.36 Typical p-y Curves for Ductile and Brittle Soll (after Coduto 1994). The factor most influencing the shape of the p-y curve is the soil properties. However, the p-y curves also depend upon depth, soil stress-strain relationships, pile width, water table location, and loading conditions (static or cyclic). Procedures for constructing p-y curves for various soil and water table conditions as well as static or cyclic loading Conditions are provided in the COM624P program documentation by Wang and Reese (1993) FHWA-SA-91-048. Procedures for p-y curve development cover the following soil and water table conditions: 1. Soft clays below the water table. 2. Stiff clays below the water table. 3. Stiff clays above the water table. 4. Sands above or below the water table. 9-90The COM624P program solves the nonlinear differential equations representing the behavior of the pile-soil system to lateral (shear and moment) loading conditions in a finite difference formulation using Reese's p-y method of analysis. The strongly nonlinear reaction of the surrounding soil to pile-soil deflection is represented by the p-y curve prescribed to act on each discrete element of the embedded pile. For each set of applied boundary (static) loads the program performs an iterative solution which Satisfies static equilibrium and achieves an acceptable compatibility between force and deflection (p and y) in every element. The shape and discrete parameters defining each individual p-y curve may be input by the analyst, but are most often generated by the program. Layered soil systems are characterized by conventional geotechnical data including soil type, shear strength, density, depth, and stiffness parameters, and whether the loading conditions are monotonic or cyclic in nature. In Version 2.0 of the COM624P, the influence of applied loads (axial, lateral and moment) at each element can be modeled with flexural rigidity varying as a function of applied moment. In this manner, progressive flexural damage such as cracking in a reinforced concrete pile can be treated more rigorously. The COM624P program code includes a subroutine (PMEIX) which calculates the value of flexural rigidity at each element under the boundary conditions and resultant pile-soil interaction conditions. COM624P problem data is input through a series of menu-driven screens. In most cases help screens are available. Detailed information concerning the software can be found in the FHWA publication FHWA-SA-91-048, COM624P - Laterally Loaded Pile Program for the Microcomputer, Version 2.0, by Wang and Reese (1993). Part | provides a User's Guide, Part Il presents thé theoretical background on which the program is based, and Part Ill deals with System Maintenance. The appendices include useful guidelines for integrating COM624P analyses into the overall design process for laterally loaded deep foundations, and a comprehensive case study example implementing the design guidelines. ‘The COM624P computer printout file summarizes the input information and the analysis results. The input data summarized includes the pile geometry and properties, and soil strength data. Output information includes the generated p-y curves at various depths below the pile head and the computed pile deflections, bending moments, stresses and soil moduli as functions of depth below the pile head, This information allows an 9-91ay dy My a a2 VypnEt Spaz A! Sax Merl gt eran, Ela Pile gq, — — oa 54 - x! Head Pilg Toe DEFLECTION | SLOPE MOMENT SHEAR LOAD DIAGRAM =—DIAGRAM-——IAGRAM DIAGRAM DIAGRAM Figure 9.36 Graphical Presentation of COM624 Results (after Reese, 1986). analysis of the pile’s structural capacity. Internally generated (or input) values of flexural figidity for cracked or damaged pile sections are also output. Graphical presentations versus depth include the computed deflection, slope, moment, and shear in the pile, and Soil reaction forces similar to those illustrated in Figure 9.36. The COM624P analyses characterize the behavior of a single pile under lateral loading Conditions. A detailed view is obtained of the load transfer and structural response mechanisms to design conditions. Considerable care is required in extrapolating the results to the behavior of pile groups (pile-soil-pile interaction, efc.), and accounting for the effects of different construction processes such as predrilling or jetting. 9-92In any lateral analysis case, the analyst should verify that the intent of the modeling assumptions, all elastic behavior for example, is borne out in the analysis results. When a lateral load test is performed, the measured load-deflection results versus depth should be plotted and compared with the COM624P predicted behavior so that an evaluation of the validity of the p-y curves used for design can be made, such as that presented in Figure 9.37. Deflection (mm) 5 0 5 10 15 20 25 30 35 40 3.0 45 6.0 Depth (m) 7.5 Deflection Versus Depth Lateral Load = 134) KN O=0 |inclinometer Readings Cal eet M624 9.0 10.5 12.0 —— 13.5 15.0 Figure 9.37 Comparison of Measured and COM624P Predicted Load-Deflection Behavior versus Depth (after Kyfor et al, 1992). 9-93STEP BY STEP PROCEDURE FOR USING THE COM624P PROGRAM STEP 1 STEP 2 STEP 3 Determine basic pile| input parameters for trial pile. a. Pile length (m) Modulus of elasticity, E (kPa) Distance from pile head to ground surface (m) Number of incréments for pile model (300 maximum). Slope of the ground surface, if any. (degrees) Divide pile into segments with uniform cross sectional properties, For each segment, provide: a. b. X-coordinate at top of segment. Pile diameter (m). Moment of inertia, |, (m*) Area of pile (m?). Delineate the soil profile into layers over the maximum anticipated Penetration depth of the trial pile. Soil profile delineation should include: a, b, c, Location of the ground water table. Top and bottom depth of each soil layer from the ground surface (m) Soil layer characterization as cohesive or cohesionless. 9-94STEP 4 Determine the required soil input parameters for each layer. a. Soil effective unit weights, y’ (kN/m’). b. Soil strength parameters. 1, - For cohesive layers - cohesion, c, (KPa), and > €o, the measured strain at Y% maximum principal stress from triaxial tests or an assumed value from Table 9-12. 2. - For cohesionless layers: - @ angle from laboratory, in-situ data, or SPT N values. c. Slope of soil modulus, k, (kN/m®) measured from laboratory or in-situ test data or assumed value from Table 9-13. STEP 5 Develop p-y curves for selected depths. Decide if program or user input p-y curves will be used a. Program p-y curves can be input at user selected depths. Curves are assigned to soil layers using a criteria number. b. User p-y curves require input of deflection (m) and soil resistance {kN/m) coordinates for each p-y curve at user selected depths.TABLE 9-12 REPRE: ISENTATIVE VALUES OF €,, FOR CLAYS Clay Consistency Average Undrained Shear Eso Strength, c, (kPa) Soft Clay 12-24 0.02 Medium Clay 24 - 48 0.01 Stiff Clay 48 - 96 0.007 Very Stiff Clay 96 - 192 0.005 Hard Clay 192 - 383 0.004 TABLE 9-13 REPRESENTATIVE k VALUES FOR CLAYS AND SANDS Soil Average Soil Condition |k - Static | k - Cyclic Type Undrained Shear Loading | Loading Strength, c, (kPa) (kN/m*) | (kN/m’) Soft Clay 12-24 o 8,140 Medium Clay 24 - 48 = 27,150 Stiff Clay 48 - 96 = 136,000 | 54,300 Very Stiff Clay 96 - 192 = 271,000 | 108,500 Hard Clay 192 - 383 _ 543,000 | 217,000 Loose Sand = Submerged 5,430 5,430 Loose Sand Above Water Table 6,790| 6,790 Med Dense Sand Submerged 16,300] 16,300 Med Dense Sand _ Above Water Table | 24,430] 24,430 Dense Sand ~ Submerged 33,900 | 33,900 Dense Sand - Above Water Table | 61,000| 61,000 9-96STEP 6 STEP 7 STEP 8 STEP 9 Determine the critical loading combinations and boundary conditions to be analyzed. a. For each critical set of loading combination, determine the axial loads, lateral loads, and bending moments to be analyzed. Load information should be supplied by the structural engineer. b. Determine if lateral |load is distributed. c. Determine if loading is static or cyclic. d. Determine pile head restraint: free, fixed or partially fixed. Determine pile structural acceptability by finding the ultimate lateral load that produces a plastic hinge (ultimate bending moment). a. _ In this step the lateral, axial and bending moments used in the analysis should be ultimate values. b. For concrete piles, the value of | for a cracked section can be determined directly for each loading step by using the subroutine PMEIX, through identification of the properties and configuration of the Steel reinforcement; Alternatively, variations in E and | can be entered as a function of depth along the pile. Determine pile acceptabllity based on deflection under service loads. a. Use design loading conditions and not ultimate values for lateral and axial loads and bending moments. b. Compare COM624P predicted movement with performance criteria. Optimize required pile section and pile penetration depth for lateral loading conditions to meet performance criteria as necessary 9-97