Professional Documents
Culture Documents
SpringConstant - Estimation of Subgrade Reaction Coefficient For Horizontally PDF
SpringConstant - Estimation of Subgrade Reaction Coefficient For Horizontally PDF
YUSUKEHONJOi),YULVIZAIKAii)and GYANESWOR
POKHARELiii)
ABSTRACT
The purpose of the present study is to estimate horizontal subgrade reaction coefficient (kh) of pilesfrom SPT
N-value that is required to design piles against horizontal loading. This information is much demandedrecently due to
the introduction of the limit state design of pile foundations where quantified uncertainty in the prediction of pile
behavior is required. For this purpose 52 horizontal pile loading test results were collected from literatures and reports,
which were compiled in a database. The actual number of test results put to the statistical analyses was 38 cases with
pile top displacement and 21 cases with bending moment measurements along a pile. The statistical analyses were
carried out in the two folds; First, the inverse analysis procedure was applied to each loading test result to obtain the
coefficients in different soil layers. Then the obtained coefficient values were related to observed SPT N-values of the
layers by the regression analysis. The pronounced feature of the regression analysis employed in this study is that it
takes into account the magnitude of estimation uncertainty as well as the correlation structure of estimated kh for every
pile automatically. The mean value of kh obtained from the recommended equation in this study gives very similar
results to those of the major design equations used in Japan. The uncertainties associated with the recommended
equation are presented, which are intended to be used in a reliability analysis of horizontally loadedpiles.
Key words: horizonal loading test of a pile, horizonal subgrade reaction coefficient, limit state design, pile design,
reliability analysis, statistical analysis (IGC: E4/H1)
i)
Professor, Gifu University, Japan (honjo@cc.gifu-u.ac.jp).
ii)
Lecturer, Faculty of Engineering, Andalas University, Padang, Indonesia (formerly Graduate Student at Gifu University, Japan).
iii)
Formerly Research Associate, Gifu University, Japan.
The manuscript for this paper was received for review on January 7, 2004; approved on January 18, 2005.
Written discussions on this paper should be submitted before January 1, 2006 to the Japanese Geotechnical Society, 4-38-2, Sengoku,
Blinkvo-ku. Tokyo 112-0011. Japan. Upon request the closing date may be extended one month.
1In this paper, the limit state design (LSD) or the load and resistance factor design (LRFD) are used almost the same sense as the reliability based
design.
51
52 HONJO ET AL.
estimated from each test because the ground laterally loaded pile. It should be emphasized that uncer-
influencing pile behavior in horizontal loading is tainties in the estimated horizontal subgrade reaction
divided into three layers. coefficients are also quantified, which makes it possible
The number of layers introduced in the analy- to perform reliability based analysis and design of pile
sis is determined from the stability of inverse foundations.
analysis after some trial calculation. Since the
bending moment measurements (information
along a pile) contain more amount of informa- DEVELOPMENT OF ESTIMATION METHODS OF
tion than the pile top displacement measure- HORIZONTAL SUBGRADE REACTION
ments (information at a single point of a pile), COEFFICIENT IN JAPAN
it was possible to divide the ground into Historical development of horizontal subgrade
multiple numbers of layers. As a result, Inverse reaction coefficients, kh, are summarized. One of the
Analysis B is believed to give more accurate distinguished features of this section is that the develop-
estimation of kh compared to that of Inverse ment of kh in Japan is highlighted, which is not necessari-
Analysis A. ly well known outside Japan. In this section, old units
It is, however, very important to recognize (e.g. kgf/cm2) are preserved because many of the units
that the three kh's obtained for each pile in are related to the empirical numbers introduced in the
Inverse Analysis B are correlated. Cautious care design equations.
should be taken when one relate the estimated
kh's to, for example, SPT N-values of layers, Horizontal Subgrade Reaction Coefficient Specified in the
which is explained below in Step 3. Specifications of Highway Bridges
It goes without saying that the estimated kh Based on Elastic Theory
uncertainty, i.e. estimated variances of the One of rational approach to obtain kh is to estimate it
estimated kh, are also quantified in the inverse based on the linear elastic solution of rigid circular plate
analyses. on half infinite elastic body (e.g. Terzaghi, 1943, p. 382).
Step 3: Regression analyses to relate the estimated kh
and SPT N-value of soil layers.
(1)
The estimated kh's are related to SPT N-value
of ground by regression analyses. SPT N-value where,
is chosen as an index parameter to estimate kh
B: diameter of rigid circular plate
because (1) this is the most popular soil investi-
E: Young's modulus of soil from rigid circular plate
gation data in Japan, and (2) only this value was
loading test of plate diameter B
available for all the loading test results2.
One of the most original points introduced in Ip: shape coefficient (for circular shape, 4 = 0.79)
this study is the employment of the weighted v: Poisson's ratio of soil
linear regression (WLR) method. Since all kh: horizontal subgrade reaction coefficient for di-
estimated kh values have different estimated ameter B
variances, it is important to take into considera- One of application of this equation to the evaluation of
tion this aspect in the regression analyses . subgrade reaction coefficient on horizontally loaded pile
Furthermore, in Analysis B, three estimated kh's can be seen in Terzaghi (1955).
from one loading test are correlated (as Yoshinaka (1967)
mentioned above), and this effect also should be Yoshinaka (1967) carried out some extensive researches
taken into consideration in the WLR analyses. on kh, which includes a large number of horizontal load
As a result, kh value of larger variances are tests with spherical and quadrangle plate in sand and
less weighted and the correlation structures loam soil. The relationship between horizontal subgrade
among the estimated kh are properly handled in reaction coefficient corresponding to diameter 30 cm (k30)
the WLR analyses introduced in this study. and B cm diameter plate (kh), for sand and loam was
In order to highlight the effects of the WLR derived as follows:
analyses, the ordinary linear regression (OLR)
analyses are also carried out. In the OLR
(2)
analyses the error associated to each data value
is assumed to be independently and identically Obtaining k30 based on Eq. (1) and substituting it into
distributed following a normal distribution with Eq. (2), one obtains:
mean zero and a constant variance.
The obtained results in this paper are expected to
(3)
improve our prediction capability of the behavior of a
2This is one of the weakness of a study based on statistical analysis that only popular soil investigation methods could be taken into account due to
the availability of the data.
ESTIMATION OF SUBGRADE REACTION COEFFICIENT 53
where,
B: plate diameter (where, B > 30 cm)
k30: horizontal subgrade reaction for B = 30 cm plate in which
loading test (kgf /cm')
En : Young's modulus of soil for plate diameter 30
(6)
cm (kgf/cm2)
Yoshinaka (1967) also obtained relationship between where,
Young's modulus from bore hole tests (i.e. pressuremeter k30: the value of k correspond to the value of plate
measurement; Ep) and from plate loading tests as loading for D = 30 cm
E30= 3E as well as relationship between SPT N-value and Bh: converted load width of foundation, Bh='VA,
Ep as E,=7N (kgf /cm2).
(cm)
Yoshida and Adachi (1970) Ah: horizontal component of load area=D(1//3)
Yoshida and Adachi (1970) and Adachi (1970) re-
(cm2)
evaluated Yoshinaka (1967)'s test results and proposed αk: correction factor (see Table 1) 13:characteristic
equation for soil subgrade reaction coefficient for caisson value of a pile, fl =,41khDI4EI
foundation as follows: EI: flexural stiffness of pile (kgf/cm2)
(5)
(7)
where,
where,
kh: value of soil horizontal subgrade reaction
coefficient along pile (kgf/cm3) β: characteristic value of a pile, f3=,,41lchD
14E1
k0: value of kh for y =1 cm at the ground surface EI: flexural stiffness of pile (kgf/cm2)
(kgf /cm3) This formula has been used in JRA (1996) also.
Eo: Young's modulus is obtained by various
methods (see Table 1) (kgf/cm2) Horizontal Subgrade Reaction Coefficient in Technical
D: diameter of pile (cm) Standards for Port and Harbor Facilities (JPHA, 1999)
αP: correction factor (see Table 1) Technical Standards for Port and Harbor Facilities
y: horizontal displacement at the ground surface (JPHA, 1999) are widely accepted technical standards to
(cm) design port and habor structures in Japan. The Port
The original form of Eq. (5) came from the following and Harbor Research Institute (PHRI) Model has been
equations: employed in this standard.
54 HONJO ET AL.
Loading Test
Lateral load tests are usually used to examine the load
deflection behavior of piles. Since the load test result
employed in this study are taken from different litera-
tures, several different loading and measuring procedures
are taken for different cases. There are 4 types of loading
procedures:
Type I: The load is applied in number of increments in
a stepwise fashion till the target value and then released
in the same manner.
Type II: A sequence of loading and unloading cycles
with some intervals in between the sequences. The load
magnitudes are increased step by step at each sequence.
Type III: The same procedure as Type I, but loaded to
the two opposite directions.
Type IV: Details of loading procedures are not clearly
described.
The types of the loading are indicated in Table 2 for
each test. For Type I, II and III of loading procedures,
the measurements at the end of each loading steps are
used for the analysis.
The measurements can be divided into two categories;
(1) Horizontal displacement measurements at pile top
58 HONJO ET AL.
by dial gauges. cases: 18 steel piles, 8 PHC piles and 3 cast in place
(2) Bending moments calculated from flexural stresses concrete piles.
which are obtained by strain gauges. In cases of BCSS-600-111, only one loading step was
There are 42 cases where the pile top displacements applied, which are found difficult to estimate kc, thus are
were measured: 21 steel piles, 10 PHC piles and 11 cast in removed from further analysis. In some other cases,
place concrete piles. The load vs. displacement relation- inconsistent observation results are found, i.e. the
ships for all available data are presented in Figs. 4, 5 and moment or displacement measured do not increase with
6. As for the bending moment measurement, there are 29 the load increase. These cases are BCSS-700-1, BCSS-
800-7, BCSS-800-12 and BCSB-800-101 for the moment
measurements and BCSB-1000-7 and BCSB-1000-8 for
the pile top displacement measurements. On the other
hand, BF77-6-CP-C and BF77-6-CP-D piles have
excessive loading that resulted the cracks in the piles. The
one loading stage tests, i.e. BCSS-600-111, and the incon-
sistent test results, i.e. BCSB-1000-7 and BCSB-1000-8
for the displacement measurement and BCSS-700-1,
BCSS-800-7, BCSS-800-12, BCSB-800-101 for the
moment measurements, have been discarded from
further analysis.
As a result, 38 cases with pile top displacement
measurements (21 steel piles, 8 PHC piles, 2 cast in place
Fig. 3. Average SPT N-value in influence depth vs influence depth
concrete piles and 7 steel pipe reinforced cast in place
concrete piles) and 22 cases with the moment measure- analyses, the ordinary linear regression (OLR) method is
ments (14 steel piles and 8 PHC piles) are put to the also applied to the results of the Inverse Analyses.
statistical analysis.
Laterally Loaded Pile Model
A laterally loaded pile can be described by the
METHODS OF DATA ANALYSIS differential equation:
Introduction
The data presented in previous chapter is analyzed in (11)
the two folds as stated in the introduction of this paper.
The first step (Step 2 in the introduction) is to estimate where:
a parameter of horizontal subgrade reaction coefficient,
z: depth from the soil surface
lc, of Eq. (9), of each soil layer based on the observed data
y: horizontal displacement at depth z
by an inverse analysis procedure.
p(y): soil reaction stress at depth z (kN/m2)
Honjo et al. (1999) has studied the problems of fitting EI: flexural stiffness of pile (kN m2)
the hyperbolic type equation for the horizontal subgrade
reaction coefficient of piles and found that a more p is described as:
important parameter to be estimated in this model is /cc
than the power 0.5. In other words, the power was less
insensitive to the result of calculation compared to per- The Eq. (11) becomes:
turbation of /cc. This conclusion is inherited in this study.
Inverse analysis A and B defined in the introduction are (12)
respectively carried out.
In the second step (Step 3 in the introduction), linear where:
(13)
where,
(14)
(18)
The objective function that should be minimized in the A confidence interval can be obtained based on
regression analysis is given as follows: Eqs. (25) and (26). It is a well known fact that if all the
observation errors in the regression model are independ-
ently and identically distributed following a normal
distribution, the confidence interval is obtained based on
t-distribution. However, it is not the case in this study.
(21) On the other hand, it is also a well known fact that
t-distribution can be asymptotically approximated by a
which can be solved as, normal distribution if the degree of freedom (i.e.
(22) equivalent to the number of data minus the number of
model parameters) increases. It is speculated that in the
where the covariance matrix is calculated as follow:
present case, the confidence intervals can be approxi-
(23) mated using a normal distribution.
The unbiased estimator of Gqis obtained as follows:
RESULTS AND DISCUSSION
Parameter Estimation of Inverse Analysis
Inverse Analysis A
(24)
Based on the result from the inverse analyses calcula-
As can be understood from the explanation given tions as shown in Table 3, the following points can be
above, the estimated variances and correlation structures observed:
of kc's by the inverse analyses are taken into account in (1) When the displacement is small, sensitivity of kc is
the regression analysis. This regression analysis formula- small in the inverse analysis, which resulted in a little
tion is termed the weighted linear regression (WLR) change in kc from the initial value and larger standard
model through out this paper. deviation.
In order to compare the results for the case where no (2) There are two considerably large values in the
considerations are taken for these aspects, the ordinary estimated kc, namely BCSB-1000-7 and BCSB-1000-8.
linear regression (OLR) analyses are also carried out. In This is considered due to very small clma„IDratios (the
this case, the covariance matrix V( in Eq. (21) is replaced maximum pile top displacement/diameter) compared to
by an unit matrix. other pile test results.
Prediction of kc Inverse Analysis B
The final aim of this study is to estimate kc based on the The result of inverse analysis is presented in Table 4.
given SPT N-value. Based on the regression analysis The following items can be observed:
formulated in the previous section, the estimated mean of (1) Almost in all cases, the conditional numbers are low
kc for the given N is given as follows: enough to avoid serious multicollinearity problem.
3The derivation of prediction variance for the correlated linear regression is rarely seen in any standard statistic textbooks. Thus derivation here is
rather detailed.
62 HONJO ET AL.
However, there are considerably high negative correla- (2) The estimated kg in the first layer tends to be larger
tions especially between kg's of the second and the third than that of the other two layers. It is also observed that
layers. The reason for such correlation is explained in the standard deviations are smaller in the first layer.
detail in Honjo et al. (1993). (3) When the sensitivity of the k, is small in the inverse
ESTIMATION OF SUBGRADE REACTION COEFFICIENT 63
(continued)
analysis, it tends to result in a little change in k. from the standard deviation are mentioned in (3) and (4).
initial value and larger standard deviation.
(4) The estimated kc for zones with SPT N-value equal Regression Analysis
to zero, there are quite a number of variations in the The reason for choosing SPT N-values for an explana-
estimated value (from 200 to 2493 kN/m2.5), also some of tory soil parameter to estimate /cc is that it is the only
the estimated standard deviations are very large. The parameter that is available for all the cases put to the
fact indicates that SPT N-value is not a appropriate inverse analyses in this study. It goes without saying that
parameter to determinate icefor very soft ground. other soil parameters could have been used if they were
(5) There are several steel piles where the standard available for many recorded cases.
deviation are considerably large, namely BCSS-600-8, In conducting the regression analysis, it is of essential
SP-1294-2 and SP-360. The reason for these larger importance to take into account the uncertainties and the
ESTIMATION OF SUBGRADE REACTION COEFFICIENT 65
Fig. 8. k, and •} one standard deviation vs SPT N-value in Inverse Fig. 10. k, vs SPT N-value with •} one standard deviation for WLR
correlation structures that have been obtained in the in- sion lines obtained by WLR are presented in Figs. 9 to 12.
verse analyses into the regression analysis as explained in The estimated regression lines are summarized as follows
the previous section. This can be done by properly setting together with •} one standard deviation for each data set
covariance matrix, of the regression equation given in (Note that the standard deviations are N-value depend-
Eq. (20). The actual value of o in Eq. (20) are given in ent. The s.d.'s at SPT N-value is 15 are presented in the
Table 4: as standard deviation and V as estimated following equations):
correlation matrix. This type of regression analysis (1) Inverse Analysis A (The pile top displacements, for
presented here is called the weighted linear regression all data.)
analysis or WLR. To illustrate the magnitude of quanti-
Fig. 11. k, vs SPT N-value with •} one standard deviation for WLR Fig. 13. k, vs SPT N-value with •} one standard deviation for OLR
Fig. 14. k, vs SPT N-value with •} one standard deviation for OLR
Fig. 12. k, vs SPT N-value with •} one standard deviation for WLR
based on Inverse Analysis B (all data)
based on Inverse Analysis B (all data)
theory. For this reason, the authors believe that the Fig. 15. Ratio of ke from result of Inverse Analysis B to estimates by
Eq. (30) vs pile diameter (all data)
results by WLR should be used instead of the results by
OLR.
and B, one should compare Figs. 9 and 12. There are Inverse Analysis B divided by the estimated values by
quite large differences between the two results obtained. Eq. (30) so as to cancel the effect of SPT N-values are
Considering the fact that Inverse Analysis A is only plotted against pile diameters as shown in Fig. 15. It is
based on a single point measurement of a pile, i.e. the observed from the figure that the effect of diameter on kc
pile top displacement, the authors consider the results is hardly visible. Thus, it is not necessary to consider
obtained in Inverse Analysis B are more reliable. There- the dependence of kg on the diameter in the regression
fore, this result is recommended to be used to estimate the analysis.
horizontal subgrade reaction coefficient in pile design. Obtained result vs JPHA (1999) and JRA (1996)
An equation to be used in design A comparison is made among the calculated kh by the
In the above discussion, it was recommended the proposed equation, Eq. (30), JPHA (1999), JRA (1996)
results obtained in Inverse Analysis B, be used in the of diameter 0.5, 1.0, 1.5 and 2.0 respectively in Fig. 16: kh
design, i.e. Eqs. (28), (29) and (30). It is further recom- is calculated for 1 cm of pile displacement for Eq. (30)5
mended in this study that one should use Eq. (30) in and JPHA (1999) for m = 0 ground (i.e. Eq. (9)); whereas
estimating horizontal subgrade reaction coefficient. The for JRA (1996), since the Eq. (7) is a function of pile
reason for this is that there is no statistical difference diameter, D and the flexural stiffness, EI, they are
among the three equations, and Eq. (30) is representative
parametrically altered: D is changed to 0.5, 1.0, 1.5 and
of the three because it is based on all the available data. 2.0 (m) and E is set to 2.0E+ 08, 2.5E+ 07 and 2.7 to
`No statistical difference' implies if one carries o
ut a 4.2E+ 07 (kN/m2) for steel pipe, cast in place concrete
statistical test for null hypothesis that Eq. (30) is statisti- and PHC piles respectively. The skin thickness of steel
cally identical to Eq. (28), the hypothesis is accepted with pipe piles are set between 0.016 and 0.025 (m) and that of
typical significance level of say 5% because Eq . (30) is PHC pile 0.13 to 0.08 (m). Since the calculated second
included in •} one standard deviation zone of Eq . (28) moments, I, for steel pipes are one order smaller than
(actually if the significance level is 5% for both sided test, those cast in concrete and PHC piles, resulting EI for all
the zone is •} 1.96 standard deviation). The same is true
piles having almost the same order for each diameter.
for Eqs. (29) and (30). Therefore the authors recommend It is observed from the first glance that the proposed
the use of Eq. (30) for the design. result, JPHA (1999) and JRA (1996) for the diameter 1.5
Influence of pile diameter on kc m are very similar. If one looks at the result more careful-
It is understood from the literature review on the ly, it is possible to say that the JPHA (1999) result is
horizontal subgrade reaction coefficient that some assume more closer to Eq. (30) for smaller SPT N-value range
dependence of pile diameter on the subgrade reaction (especially when SPT N-value is smaller than 10), whereas
coefficient such as Eqs. (1) and (2). If such dependence JRA (1996) with D=1.5 (m) is more closer to the
exists, it is appropriate to include the diameter as an proposed equation in higher SPT N-value range. The
explanatory variable to the regression analysis. justification for this may be that JPHA (1999) deals more
In order to check this dependence, the obtained kg's by with the softer soils along sea shore, whereas JRA (1996)
4All these mechanisms are embedded in Eq. (22). It is seen from this equation that estimated value with larger variances , i.e. diagonal elements of
the estimated covariance matrix Vc, are less weighted because it is the inverse of this matrix that is finally taken into calculation . Furthermore, if
there are strong correlations among the estimated parameters , they too result larger covariance in 170 which after all reduces the weights of those
values in the linear regression.
5As we have seen in Chapter that horizontal subgrade reaction coefficient used in the specifications for highway bridges is originally developed for
that at 1 cm displacement.
ESTIMATION OF SUBGRADE REACTION COEFFICIENT 69
Fig. 16. Comparison among estimated kh at 1 cm displacement by JPHA (1999) and by the proposed equation (Eq. (30)) and possible ranges of ki,
by JRA (1996) for D = 0.5, 1.0, 1.5 and 2.0 (m)
with stiffer soils ashore. Equation (30) seems to cover all Table 5. Standard deviation of recommended kg's formula (k. = 217 +
191*N)
the range of SPT N-value reasonably well.
The parameter to be used in reliability analysis
As stated in the introduction, one of the purposes of
this research is to obtain input kc for reliability analysis
for horizontally loaded pile.
It is the recommendation of the authors that Eq. (30),
be used for the mean values of kc for a reliability analysis.
The standard deviation for each given SPT N-value is
presented in Table 5 based on WLR analysis on all the
data from Inverse Analysis B. The uncertainties included
in this result is believed to include both modeling error
and statistical uncertainty. It is assumed to follow a
normal distribution.
It may be worth to notify that since this recommenda-
tion is based on Inverse Analysis B, i.e. bending moment
measurement, the result, in a strict sense, may only be
(36)
used for a reliability analysis to deal with bending
moment in a pile, and not to be used for pile displacement The regression line with •} one standard deviation is
analysis6. If the result is to be used for a reliability analy- shown in Fig. 12 and Table 5.
sis of pile displacement, the evaluation may have a chance In addition to the above recommendation, the follow-
(35)
where
6It is generally known that the calculated bending moment of a pile is less sensitive to kh value set inpile design than the calculated pile displace-
ment. Actually, assuming ground to be a homogeneous linear elastic body, it is obtained that effect of kh on the pile displacement is proportional to
the power of -3/4, whereas that on the bending moment is to the power of -1 /4 only.
70 HONJO ET AL.