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Response of Laterally Loaded Rectangular and Circular Piles in Soils with Properties
Varying with Depth

Article  in  Journal of Geotechnical and Geoenvironmental Engineering · April 2014

DOI: 10.1061/(ASCE)GT.1943-5606.0001067

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 Response of Laterally Loaded Rectangular and Circular
Piles in Soils with Properties Varying with Depth
Yoon Seok Choi1; Dipanjan Basu, M.ASCE2; Rodrigo Salgado, F.ASCE3; and Monica Prezzi, A.M.ASCE4

Abstract: Continuum-based analyses for laterally loaded piles with rectangular and circular cross sections are presented using solutions that
can be obtained quickly without requiring any elaborate inputs for the geometry and numerical mesh. The analysis is developed by solving the
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differential equations governing the displacements of the pile-soil system derived using the variational principles of mechanics. Parametric
studies are performed to investigate the influence of the pile cross-sectional shape, soil layering, pile slenderness ratio, and pile-soil modulus
ratio on the response of laterally loaded piles in heterogeneous soil in which the soil shear modulus varies continuously or discretely with depth.
The results show that piles with the same second moment of inertia have similar lateral-load response. The lateral responses of piles in two-layer
systems were mainly affected by the thickness and stiffness of the top soil layer. Soil layering also influences the lateral response of piles in
three-layer soil deposits consisting of two thin layers overlying the third layer. Algebraic equations for estimating the pile-head deflection
and maximum bending moment are proposed that can be readily used in design. A user-friendly spreadsheet program is developed as a tool
to perform calculations of pile response using the analysis. Numerical examples demonstrating the use of the analysis are provided.
DOI: 10.1061/(ASCE)GT.1943-5606.0001067. © 2013 American Society of Civil Engineers.
Author keywords: Lateral load; Analytical solution; Rectangular pile; Circular pile; Multilayered soil; Heterogeneous soil; Continuum-based
analysis.

Introduction
Laterally loaded piles are analyzed either by using the p-y method,
which is based on the beam-on-foundation concept (Broms 1964;
Matlock 1970; Reese et al. 1974; Reese and Welch 1975; Reese and
Matlock 1956), or by using continuum-based numerical methods,
such as the FEM, finite-difference method, and the boundary-element
method (Banerjee and Davies 1978; Poulos 1971; Randolph 1981;
Trochanis et al. 1991; Verruijt and Kooijman 1989). The p-y method
is easy to use and produces fast results because a one-dimensional
differential equation of pile displacement is solved with nonlinear p-y
curves given as the input. The p-y curves relate the lateral pile dis-
placement y with the resistance p offered by the soil. Standard p-y
curves are available for a variety of soil types; these curves are mostly
developed using a trial and error procedure by matching the results of
field pile-load tests with those of the p-y analysis. Because these p-y
curves do not capture the actual mechanics of soil resistance de-
veloped as a result of three-dimensional (3D) pile-soil interaction, they
are strictly applicable only to the pile and soil conditions for which
they were developed. There is evidence in the literature that indicates
that the predictions made by the p-y method are not always accurate
1
Staff Project Professional, Fugro Consultants, Inc., 6100 Hillcroft Ave.,
Houston, TX 77081. E-mail: yschoi@fugro.com
2
Assistant Professor, Dept. of Civil and Environmental Engineering,
Univ. of Waterloo, Waterloo, ON, Canada N2L 3G1 (corresponding author).
E-mail: dipanjan.basu@uwaterloo.ca
3
Professor, School of Civil Engineering, Purdue Univ., West Lafayette,
IN 47907. E-mail: rodrigo@purdue.edu
4
Professor, School of Civil Engineering, Purdue Univ., West Lafayette,
IN 47907. E-mail: mprezzi@purdue.edu
Note. This manuscript was submitted on August 16, 2012; approved on
November 1, 2013; published online on December 9, 2013. Discussion period
open until May 9, 2014; separate discussions must be submitted for individual
papers. This paper is part of the Journal of Geotechnical and Geoenviron-
mental Engineering, © ASCE, ISSN 1090-0241/04013049(12)/$25.00.
(Yan and Byrne 1992; Anderson et al. 2003; Tak Kim et al. 2004). In
contrast, continuum-based numerical methods explicitly account for
the mechanics of the 3D pile-soil interaction and can produce accurate
solutions. However, the problem in using these numerical methods is
that they are computationally intensive and often require significant
effort in setting up the mesh to perform an analysis. Some continuum-
based analytical models have been developed (Pyke and Beikae 1984;
Lee et al. 1987; Sun 1994; Guo and Lee 2001); nonetheless, the use of
continuum-based numerical methods in practice is limited.
Recently, Basu and Salgado (2007, 2008) developed continuum-
based analysis methods for laterally loaded piles with rectangular
and circular cross sections. The advantage of this approach is that
solutions can be obtained quickly without requiring any elaborate
input variables regarding the geometry and numerical mesh because
the solutions are obtained analytically. The method has the rigor of
continuum analysis and, at the same time, is easy to use. In this paper,
this analytical approach is used to investigate and compare the re-
sponse of circular and rectangular piles in multilayered soil, and to
develop equations for the pile-head deflection and maximum bending
moment that can be readily used in design. The main contributions of
this study are the explicit accounting of the shape of the pile cross
section in the analysis, a systematic study of pile response in het-
erogeneous soil with linear variation of soil modulus with depth and
with discrete soil layering, and the development of design equations
for piles in soil with linearly increasing modulus. Numerical examples
are provided that demonstrate the use of the analysis. A Microsoft
Excel spreadsheet program, LATPAXL, is developed based on the
analyses (it can be downloaded at www.ecn.purdue.edu/∼mprezzi/
gallery.htm), and may be used in design calculations.
Analytical Model
The model considers a single pile of length Lp embedded in a soil
deposit consisting of n layers. The pile cross section can be rectangular
or circular (Fig. 1). The cross section of the rectangular pile is

© ASCE 04013049-1 J. Geotech. Geoenviron. Eng.

J. Geotech. Geoenviron. Eng.

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Fig. 1. Laterally loaded pile in a layered soil

described by its perpendicular dimensions 2a and 2b, whereas the d4 w~i d2 w~

circular cross section is described by its radius rp . All the soil layers 4
2 2~ti 2 i þ ~k i w
~i ¼ 0 (1)
d~z d~z
extend to infinity in the radial directions, and the bottom (nth) layer
extends to infinity downward. The vertical depth from the ground
surface to the lower boundary of any soil layer i is denoted by Hi ; where w~ 5 w=Lp ; and ~z 5 z=Lp . The corresponding boundary con-
therefore, the thickness of the ith layer is Hi 2 Hi21 , with H0 5 0. The ditions at the pile head (i.e., at z 5 ~z 5 0) are
soil medium is elastic, isotropic, and homogeneous within each layer i
characterized by Lame’s constants lsi and Gsi . The pile is assumed to ~1
d3 w dw~ ~a ¼ 0
2 2~t 1 1 2 F (2a)
behave as an Euler-Bernoulli beam with Young’s modulus Ep and d~z3 d~z
constant second moment of inertia Ip . No slippage or separation occurs
between the pile and the surrounding soil or between the soil layers.
and, if a cap is present at the pile head, then
The pile is subjected to a lateral force Fa and a moment Ma at
the pile head such that Fa and Ma are orthogonal vectors lying in
dw~1
a horizontal plane. The analysis is performed using a Cartesian ¼0 (2b)
(x-y-z) coordinate system for the rectangular pile and a cylindrical d~z
(r-u-z) coordinate system for the circular pile, with the z-axis co-
inciding with the pile axis and pointing downward for both systems else, for a free-head pile,
(Fig. 1). The coordinate axes are so chosen that the applied force
vector Fa coincides with the x-axis for the rectangular pile and with ~1 ~
d2 w
2 Ma ¼ 0 (2c)
the r0 axis (from where u is measured) for the circular pile. d~z2
Assuming that the soil displacements uy and uz in the y- and
z-directions are negligible, and that the soil displacement ux in the ~ i,
At the interface between any two layers (i.e., at z 5 Hi or ~z 5 H
x-direction can be represented by the product of separable functions ~
where H i 5 Hi =Lp )
that individually describes the variation of ux along the corre-
sponding coordinate directions, the total potential energy of the pile- ~i ¼ w
w ~ iþ1 (3a)
soil system (including both the internal and external energies) is
dw ~
~ i dw
minimized to obtain the equilibrium configuration under the ex- ¼ iþ1 (3b)
ternally acting force and moment. The resulting differential equa- d~z d~z
tions governing the equilibrium configuration are obtained using d3 w~i dw~ ~ iþ1
d3 w ~
dw
calculus of variations. The differential equation governing the 3
2 2~ti i ¼ 2 2~tiþ1 iþ1 (3c)
d~z d~z d~z3 d~z
equilibrium lateral pile displacement wðzÞ within any soil layer i,
after normalizing the displacement w and depth z with respect to the d2 w ~ iþ1
~ i d2 w
2
¼ (3d)
pile length Lp , is given by d~z d~z2

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J. Geotech. Geoenviron. Eng.

 " !  #
At the pile base (i.e., at z 5 Lp or ~z 5 1) L4p g rq gy rq
~k i ¼ ðlsi þ 2Gsi Þ x þ 2b þ Gsi þ 2a (6)
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi Ep Ip rq gy rq g x
~n
d3 w dw~n
2 2~
t n 2 2~k n~tnþ1 w ~n ¼ 0 (4a)
d~z3 d~z for rectangular piles and by
~n
d2 w 8
¼0 (4b) > prp2 Gsi L2p ½B1 ðgr Þ2 2 ½B0 ðgr Þ2
d~z2 >
>
>
> for i ¼ 1, 2, . . . , n
< 2Ep Ip ½B0 ðgr Þ2
~ti ¼ (7)
>
>
> prp Gsn Lp ½B1 ðgr Þ2
The normalized applied force and moment in Eqs. (2a) and (2c) are 2 2
~ a 5 Ma Lp =ðEp Ip Þ, respectively.
~ a 5 Fa L2p =ðEp Ip Þ and M >
> for i ¼ n þ 1
defined as F : 2E I 2
p p ½B0 ðg r Þ
The normalized soil parameters ~ti and ~k i used in these equations are
given by  
pðlsi þ 3Gsi ÞL4p ½B1 ðgr Þ þ gr B0 ðgr Þ2 2 g2r þ 1 ½B1 ðgr Þ2
8 2 ! ~k i ¼
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>
> rq Gsi L2p
1 þ 2b þ 2a 2Ep Ip ½B0 ðgr Þ2
>
> for i ¼ 1, 2, . . . , n
>
< 2Ep Ip gx gy gx rq gy rq (8)
~ti ¼ ! (5)
>
>   for circular piles. In these equations, B0 ð × Þ and B1 ð × Þ are the zeroth-
>
>Gsi L2p rq rq
>
: þ 2a þ 2b for i ¼ n þ 1 order and first-order modified Bessel functions of the second kind. The
2Ep Ip gx gy
dimensionless parameters g x and gy in Eqs. (5) and (6) are given by

8
>
< r  ð~ i
H  2
1 q P
n dw~i
g2x ¼ " #  > g þ 2b Gsi d~z
  ð~   sffiffiffiffiffiffiffiffiffi : y d~z
rq Pn Hi rq   ~ i51
~ i21
2 tnþ1 H
c2q þ 2b i51 ðlsi þ 2Gsi Þ ~ ~ i d~z þ
w 2
~ n ~z51
þ 2b ðlsn þ 2Gsn Þ w
gy H i21 gy 2~k n
2 39
ð~ i
H  sffiffiffiffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffi >
L2p gy P
n  
6 rq ~k n Lp gy ~tnþ1 7=
2
þ Gsi ~ 2i d~z þ Gsn
w ~ 2n ~z51 4
w þ 2b þ 5 (9)
rq i51 gy 8~tnþ1 rq 2~k n > ;
~ i21
H

2
  ð~ i  2
H
1 6 rq Pn dw~i
gy ¼ "
2
#  4 g þ 2a Gsi d~z
  ð~    s ffiffiffiffiffiffiffiffi
ffi d~
z
rq Pn Hi rq  ~tnþ1
x i51
~ i21
~ 2n ~z51
H
c2q þ 2a i51 Gsi ~ ~ 2i d~z þ
w þ 2a Gsn w
gx H i21 g x ~
2k n

sffiffiffiffiffiffiffiffiffiffiffi 3
ð~ i
H   h sffiffiffiffiffiffiffiffiffi
L2p gx P
n rq  i ~k n Lp gx
2   ~tnþ1 7
þ ðlsi þ 2Gsi Þ ~ 2i d~z þ
w ~ 2n ~z51
þ 2a Gsn w þ ðlsn þ 2Gsn Þ w~ 2n ~z51 5 (10)
rq i51 gx 8~tnþ1 rq 2~k n
~ i21
H

pffiffiffiffiffi
where rq 5 ab; and cq 5 Lp =rq . The dimensionless parameter gr the subscript n 1 1; therefore, Hn 5 Lp (i.e., H ~ n 5 1) and Hn11
in Eqs. (7) and (8) is given by ~
ðor H n11 Þ → ‘ in the Eqs. (4)–(10).
ð ~  2 sffiffiffiffiffiffiffiffiffiffiffi The governing differential equation for the pile displacement
Pn Hi dw~i ~k n h  i2 [Eq. (1)] resembles that of an Euler-Bernoulli beam resting on an
i51 Gsi ~ d~z þ Gsn w~ n ~z51
H i21 d~z 8~tnþ1 elastic foundation (soil mass) described by two parameters. The pa-
g2r ¼ 22 ð~ sffiffiffiffiffiffiffiffiffi rameter ~k i takes into account the soil resistance because of com-
cp P Hi ~t h  i2
i51 ðlsi þ 3Gsi Þ ~ w
n
~ i d~z þ ðlsn þ 3Gsn Þ nþ1 w
2
~ n ~z51 pressive stresses in the soil (it is similar to the soil spring constant),
H i21 2~k n whereas the parameter ~t i takes into account the soil resistance be-
(11) cause of the shear stresses in the soil. The boundary conditions at
the pile head [Eqs. (2a)–(2c)] ensure that the applied force is equal to
with cq 5 Lp =rq . For the purpose of analysis, the nth (bottom) layer the shear force and the applied moment is equal to the bending
is split into two parts, with the part below the pile denoted by moment if the pile is free to rotate and translate (i.e., if the pile has

© ASCE 04013049-3 J. Geotech. Geoenviron. Eng.

J. Geotech. Geoenviron. Eng.

 a free head), or the slope is equal to zero if the pile-head rotation is

aða2 2 3b2 ÞF2 1 bðb2 2 3a2 ÞF4 aða2 2 3b2 ÞF1 1 bðb2 2 3a2 ÞF3 aða2 2 3b2 ÞF4 2 bðb2 2 3a2 ÞF2 aða2 2 3b2 ÞF3 2 bðb2 2 3a2 ÞF1
completely restrained because of the presence of a pile cap (i.e., if the

ða2 2 b2 ÞF4 1 2abF2

pile has a fixed head). The boundary conditions at the soil interface
[Eqs. (3a)–(3d)] ensure continuity of pile deflection, slope, bending

sinh a~zsin b~z

aF3 1 bF1

cosh b~z
moment, and shear force. At the base, the boundary conditions [Eqs.

b2 F4
b3 F3
bF3
F4
(4a) and (4b)] ensure that there is continuity of shear force and that
the pile bending moment is equal to zero. The shear force is
a summation of the shear force in the beam and in the soil.
The general solution of Eq. (1) is given by

 ðiÞ ðiÞ ðiÞ ðiÞ

~ i ~z ¼ C1 F1 þ C2 F2 þ C3 F3 þ C4 F4
w (12)

ða2 2 b2 ÞF3 1 2abF1

ðiÞ ðiÞ ðiÞ ðiÞ
where C1 , C2 , C3 , and C4 5 integration constants for the ith
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cosh a~zsin b~z

aF4 1 bF2
layer; and F1 ð~zÞ, F2 ð~zÞ, F3 ð~zÞ, and F4 ð~zÞ 5 individual solutions of

sinh b~z

b2 F3
b3 F4
bF4
the differential Eq. (1) (Table 1). Using the boundary conditions

F3
expressed in Eqs. (2)–(4), the integration constants can be calculated

Individual solutions of Eq. (1)

and the pile deflection can be obtained.
An iterative procedure is required to obtain solutions because the
dimensionless g parameters required to estimate the parameters ~ki and ~ti
(for solving the differential equation of w ~ ) actually depend on w~ and
dw~ =d~z. Initial guesses on gx and g y or on gr are made, and the pile
deflection and slope are calculated in the first iteration. At the end of

ða2 2 b2 ÞF2 2 2abF4

the iteration, gx and gy or gr values are calculated using the calculated

cosh a~zcos b~z

pile deflection and slope values, and compared with the assumed initial

aF1 2 bF3
values of gx and gy or gr . If the differences are more than the tolerable

cosh a~z

a2 F2
a3 F1
aF1
F2
limits, iterations are performed by taking the calculated values of the g
parameters as the new initial guesses. Successive iterations are con-
tinued until the values of both gx and gy or g r obtained from two
consecutive iterations fall below the prescribed limits. An initial value
of one for the g parameters is assumed in the calculations, and iterations
are performed until the difference in the calculated values of g is less
ð jÞ 
than 0.1%, or gx=y=r 2 gx=y=r  , 0:001 between the jth and ð j 1 1Þth
ð j11Þ

iteration. Typically, three to four iterations are required for convergence,

ða2 2 b2 ÞF1 2 2abF3

and the solution is obtained in seconds. The details of the solution steps
sinh a~zcos b~z
aF2 2 bF4
are given in Basu and Salgado (2007, 2008).

sinh a~z

a2 F1
a3 F2
aF2
Modifications of the Lame’s constants of the elastic soil were
F1

necessary to counterbalance the excessively stiff pile response

obtained by solving the above equations because the assumption of
the zero soil displacements in the y- and z-directions artificially
Table 1. Functions That Are the Individual Solutions of Differential Eq. (1)

restrained the pile movement. By setting ls 5 0 (which is equivalent

to setting the soil Poisson’s ratio y s 5 0) and indirectly taking its
effect by modifying the shear modulus Gs as
their derivativesa
Functions and

Gps ¼ 0:7Gs ð1 þ 0:75y s Þ

F999

F999
F99

F99

(13)
F9

F9
F

for rectangular piles and as

ffi
½~t 2 ð ~t 2 ~kÞ
ffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
pffiffiffiffiffiffiffiffiffiffi ffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
½1=2ð ~k 2 ~t Þ

Gps ¼ 0:75Gs ð1 þ 0:75y s Þ

pffiffiffiffiffiffiffiffiffiffi

(14)
pffiffiffiffi
2
b

for circular piles produced accurate results. These substitutions for lsi
Constants a and b

and Gsi were done in the above equations before results were obtained.
Prime (9) indicates differentiation.
½ð1=2Þð ~k 1 ~t Þ
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

½~t 1 ð ~t 2 ~kÞ
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

Results
pffiffiffiffi
2
a

Accuracy of the Model

The accuracy of the model is checked by comparing pile deflection
profiles estimated using this analysis with those of equivalent 3D finite-
magnitudes
of ~k and ~t

element (FE) analysis performed using ABAQUS 6.9. A four-layer soil

Relative

profile is considered for both the cases, with H1 5 2, H2 5 5, and

2

~k , ~t 2
~k . ~t

H3 5 8 m; Esi 5 20, Es2 5 35, Es3 5 50, and Es4 5 80 MPa (Esi is the
a

© ASCE 04013049-4 J. Geotech. Geoenviron. Eng.

J. Geotech. Geoenviron. Eng.

 Young’s modulus of the ith layer); and y s1 5 0:35, y s2 5 0:25, ys3
5 0:2, and y s4 5 0:15 (y si is the Poisson’s ratio of the ith layer). The
cross-sectional dimension of the rectangular pile is 0:7 3 0:4 m
ð2a 3 2bÞ. The circular pile has a cross-sectional diameter of 0.6 m
(2rp ) (both piles have approximately the same area of the cross
section). The applied force Fa for both the piles is 300 kN. The
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Fig. 2. Deflection profile of (a) 15-m-long rectangular pile; (b) circular pile
of equal cross-sectional area embedded in four-layer soil profiles
Fig. 3. Calculation of pile response for a field load test performed by
McClelland and Focht (1958): predicted and measured pile deflection
© ASCE 04013049-5
J. Geotech. Geoenviron. Eng.
modulus assumed for both the piles is Ep 5 24 3 106 kPa. Fig. 2
shows that the pile deflection profiles obtained from the present
analysis and the FE analysis match well; the difference in the pile-
head deflection is less than 7%.
The accuracy of the model is further verified against the lateral-load
test reported by McClelland and Focht (1958). A pipe pile with a di-
ameter of 0.61 m was embedded 23 m into the soft, normally con-
solidated clay layer. The pile modulus Ep 5 68:42 3 106 kN=m2 . The
pile was subjected to a force Fa 5 300 kN and a negative moment
Ma 5 e265 kN×m at the head. Because McClelland and Focht (1958)
observed a linear increase in the shear strength of clay with depth z,
Randolph (1981) proposed, based on backanalysis of the pile-load
test, that the soil shear modulus profile increases linearly as
Gs 5 0:8z MN=m2 with a constant Poisson’s ratio ys 5 0:3. The
linearly varying soil profile was taken into account in the present
analysis by discretizing the soil profile into very thin layers and then
prescribing, at the center of each layer, linearly increasing values of Gs
from one layer to the next layer lying beneath. The pile deflection profile
obtained using the present analysis is in good agreement with the
experimentally obtained pile deflection profile, as shown in Fig. 3.
Parametric Study
A systematic parametric study is performed to investigate the effects
of the relative stiffness of pile and soil, pile cross-sectional shape,
and pile slenderness ratio on the pile response. In addition to con-
sidering discrete soil layers in the analysis, soil profiles with Gps
increasing linearly with depth from Gps 5 0 at the ground surface
were also considered (such continuous variations of Gps with depth
were incorporated in the analysis by discretizing the soil into very
thin layers with Gps increasing incrementally from one layer to the
next layer lying beneath).
To perform the parametric study, dimensionless pile-head deflec-
tions caused by the applied force Fa and by the applied moment Ma
were, respectively, defined as wN,F 5 wjz50 B p Gpsj =Fa and
wN,M 5 wjz50 ðBp Þ2 Gpsj =Ma for soil profiles with discrete layers and as
wN,F 5 wjz50 ðBp Þ2 ml =Fa and wN,M 5 wjz50 ðBp Þ3 Ml =Ma for soil
profiles in which Gps increases linearly with depth (i.e., Gps 5 ml z). In
these definitions, wjz50 is the pile-head deflection (i.e., w at z 5 0); B p
is the equivalent pile diameter that produces the same second moment of
inertia as that of a circular pile {i.e., B p 5 2rp for circular piles, and
B p 5 ½256a3 b=ð3pÞ1=4 for rectangular piles}; Gpsj is the spatially
constant, modified shear modulus within any layer j for profiles with
discrete layering; and ml ð5 dGps =dzÞ is the slope with which Gps
increases linearly with depth for profiles with linearly varying shear
modulus. Similarly, the normalized maximum pile bending moment
MN,max is defined as MN,max 5 ðMmax Þ=½wjz50 ðBp Þ2 Gpsj  for profiles
with discrete layers and as MN,max 5 Mmax =½wjz50 ðBp Þ3 ml  for linear
variation of Gps , where Mmax is the maximum bending moment along
the pile cross section.
Figs. 4(a–c) show the normalized parameters wN,F , wN,M , and
MN,max as functions of the pile-soil modulus ratio Ep =ðB p ml Þ for soil
profiles in which Gps increases linearly with depth. wN,F is plotted for
both free-head and fixed-head piles, whereas wN,M is plotted only for
free-head piles because the applied moments do not cause any head
deflection for fixed-head piles. MN,max is plotted only for the case of
applied lateral force on the pile (and not for applied moment) be-
cause, for the case of the applied moment, the maximum bending
moment is always equal to the applied moment at the head. The
normalized deflections at the pile head decrease as Ep =ðB p ml Þ
increases. The normalized maximum bending moment, on the other
hand, increases with an increase in Ep =ðB p ml Þ. For rectangular piles,
the results are obtained for 2a=2b 5 1 and 5, and the normalized head
J. Geotech. Geoenviron. Eng.
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Fig. 4. Relative stiffness of the pile and soil Ep =ðB p ml Þ versus (a) wN,F ; (b) wN,M ; (c) MN,max for soil profiles with linearly increasing soil modulus

© ASCE 04013049-6 J. Geotech. Geoenviron. Eng.

J. Geotech. Geoenviron. Eng.

 deflections are greater for 2a=2b 5 5 than for 2a=2b 5 1. Piles with
Lp =B p . 25 behave as long piles with the pile-head response not
being affected by the pile length Lp . In Figs. 4(a and b), the head
deflections obtained by other authors (Randolph 1981; Banerjee and
Davies 1978) are also plotted. The results of the present analysis
match well with those by the other authors.
It was found in the course of this study that piles with different
cross-sectional shapes, but with the same area of cross sections, have
different lateral-load responses (assuming that all the other factors
remain the same for the piles). However, if the second moment of
inertia is the same for the piles, then they have responses that are
relatively close. Fig. 5(a) shows the effect of the cross-sectional
aspect ratio 2a=2b of rectangular piles on the head response wN,F for
piles embedded in soil profiles with linearly increasing Gps . The study
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was performed for Lp =B p 5 100 and Ep =ðB p ml Þ 5 2:5 3 103 , 25

3 103 , and 250 3 103 . The effects of the pile cross-sectional shape
on wN,M and MN,max were studied as well. Overall, the normalized
pile-head deflection and normalized maximum bending moment
remain more or less constant for different cross-sectional aspect ratios.
For a few cases, there is a slight increase in the normalized pile de-
flection with an increase in the aspect ratio.
The response of short, stubby piles under lateral loads is different
from that of long piles. The restraints at the pile base affect the pile
response if the pile is short and stubby. Therefore, it is important to
investigate the influence of the slenderness ratio on the lateral-load
response of piles. Fig. 5(b) shows the normalized pile-head de-
flection wN,F as a function of the pile slenderness ratio Lp =B p of
circular and square piles embedded in soil with Gps increasing lin-
early with depth for Ep =ðB p ml Þ 5 2:5 3 103 , 25 3 103 , and 250
3 103 . The effect of Lp =B p on wN,M and MN,max was studied as well.
The normalized pile-head deflection and normalized maximum
bending moment remain constant for all the cases if Lp =B p is greater
than 25.
To investigate the response of laterally loaded piles in layered
soil profiles, parametric studies with two- and three-layer soil pro-
files are performed. In the parametric study for two-layer profiles,
first the thickness h of the top layer is varied from 0 to Lp , and the pile
responses were obtained. Fig. 6(a) shows the ratio w2-layer =whomog .
of the pile-head deflection in two-layer and homogenous soil profiles
as a function of h=Lp for circular and square piles. The pile-head
deflection in homogenous soil whomog . is computed using Gps2 for the
entire soil deposit. The thickness of the top layer is a controlling
factor for the pile-head deflection, and if h=Lp exceeds approxi-
mately 0.3, the deflection profile of the pile is independent of the
thickness h of the top layer. In the case of a soft layer over a stiff layer
(e.g., Gps1 =Gps2 5 0:2 or 0:5), w2-layer =whomog . increases with an in-
crease in h=Lp . Different values of the modified soil shear modulus
ratio Gps1 =Gps2 ð5 0:2, 0:5, 2, and 5Þ with Lp =B p 5 50 and Ep =Gps2
5 1,000 were considered.
To further investigate the pile response in soil profiles with dis-
p
cretePlayers, the
 average of the modified shear moduli Gs,avg
5 ni5 1 Gsi =n of the soil layers is used to calculate the normalized
parameters wN,F , wN,M , and MN,max for multilayered soil deposits
(i.e., wN,F 5 wjz50 B p Gps,avg =Fa , wN,M 5 wjz50 ðBp Þ2 Gps,avg =Ma , and
MN,max 5 Mmax =½wjz50 ðBp Þ2 Gps,avg ). Fig. 6(b) shows the head de-
flection wN,F normalized with respect to the average modified shear
modulus Gps,avg as a function of the pile-soil modulus ratio Ep =Gps,avg
of circular and square piles in two-layered soils for four different
values (0.2, 0.5, 2, and 5) of Gps1 =Gps2 . Similar plots for wN,M and
MN,max were obtained as well. The top layer was considered to have
thickness h 5 0:1Lp and 0:5Lp . The normalized pile-head deflec- Fig. 5. Normalized pile-head deflection wN,F as a function of the
tions decrease as Ep =Gps,avg and Gps1 =Gps2 increase, and MN,max in- (a) aspect ratio 2a=2b of a rectangular cross section and the (b) pile
creases as Ep =Gps,avg and Gps1 =Gps2 increase. slenderness ratio

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Fig. 6. Response of the laterally loaded pile in two-layer soil profile:

(a) ratios of the pile-head deflection in two-layer and homogenous soils
versus h=Lp ; (b) wN,F as a function of Ep =Gps,avg
For analyzing the lateral-load response of piles in three-layer soil
profiles, three different soil layering cases (Cases I–III) are con-
sidered. Each layer of the soil profiles has different Gps such that the
average Gps,avg ½5 ðGps1 1 Gps2 1 Gps3 Þ=3 is the same for Cases I–III.
For Case I, the soil modulus increases with depth, whereas for Case
III, it decreases with depth. For Case II, the intermediate layer has
the smallest soil modulus. In addition, two types of soil profile (soil
Fig. 7. Normalized pile-head deflection wN,F versus (a) pile-soil
modulus ratio Ep =Gps,avg ; (b) pile slenderness ratio Lp =Bp in three-layer
soil profiles
Profiles A and B) were considered. The first type (soil Profile A) has
the same thickness for the top two layers, and this thickness is equal
to the pile embedment length in the third layer (i.e., t1 5 t2 5 t3
5 Lp =3, where t1 and t2 are the thicknesses of the top and middle
layers, and t3 is the embedment length of pile in the bottom layer).

© ASCE 04013049-8 J. Geotech. Geoenviron. Eng.

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 The second type (soil Profile B) is comprised of two thin layers The values of the regression coefficients R2 and R3 are provided in
(t1 5 t2 5 0:1Lp ) overlying the third layer (t3 5 0:8Lp ). Table 2 for free-head and fixed-head long piles.
The pile-head deflection wN,F normalized with respect to the For shorter piles (with Lp , Lc ), the pile-head deflection depends
average Gps is plotted against the pile-soil modulus ratio Ep =Gps,avg of on the pile slenderness ratio, and can be approximated by
circular and square piles for Cases I–III in Fig. 7(a) for Lp =B p 5 50.    
Ep n1 Fa Ep n2 Ma
Fig. 7(b) shows wN,F as a function of pile slenderness ratio Lp =B p for w ¼ R2 p þ R 3 (17)
Ep =Gps,avg 5 1,000 (for Cases I–III). The effect of the normalized B ml ðBp Þ2 ml Bp ml ðBp Þ3 ml
parameters wN,M and MN,max on pile response was also investigated.
As Ep =Gps,avg increases, the normalized head deflection decreases, Table 3 provides the values of n1 , n2 , R2 , and R3 for free- and fixed-
whereas the normalized maximum bending moment increases. head piles with Lp , Lc .
Moreover, the reduction of the normalized head deflection because
of an increase in Ep =Gps,avg is less significant when the upper soil Maximum Bending Moment
layer is relatively stiff (Case III). The pile response is significantly
different for Cases I–III. For long piles with Lp =B p . 40, pile re- The maximum bending moment in long slender piles as a result of
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sponse is not affected by its length. the applied lateral force can be calculated from
 0:24
Ep
Design Equations Mmax ¼ R4 B p Fa (18)
Bp ml
Based on the parametric study, fitted algebraic equations for the head
The regression coefficient R4 is provided in Table 4.
deflection, maximum bending moment, and critical length of piles
embedded in the soil profiles in which Gps increases linearly with
depth from Gps 5 0 at the ground surface were developed. These Design Examples
equations can be used in practice. In this section, design examples are used to illustrate the use of the design
equations proposed in this paper. Comparisons of predicted and mea-
Critical Pile Length sured pile response are made with rectangular and circular cross sections.
The pile critical length Lc is the length beyond which the pile-head
displacement no longer affects the pile-base response. The critical Example 1
length can be calculated from The lateral-load test reported by McClelland and Focht (1958), as
  previously described (Fig. 3), is selected as the first example. The
Ep 0:215 p
Lc ¼ R1 p B (15) critical length of the pile Lc is calculated using Eq. (15) as 10.2 m,
B ml which is less than the actual pile length. The pile slenderness ratio
Lp =Bp 5 37:7. Using Eq. (16) for long slender piles (with Lp . Lc ),
where the regression coefficient R1 5 1:14, 1:16, and 1:31 for square the head deflection is estimated as
piles, rectangular piles with aspect ratio a=b 5 5, and circular piles,
   
respectively. When the pile length is greater than the critical length, Ep 20:31 Fa Ep 20:53 Ma
piles behave as long slender piles, and the pile lateral response is not w ¼ R2 þ R 3
Bp ml ðBp Þ2 ml Bp ml ðBp Þ3 ml
affected by the actual pile length.
 20:31
¼ 0:99 68:42  103 MPa
Pile-Head Deflection 0:61 m  0:8 MPa=m
For long slender piles, the head deflection is a function of the pile-soil 300 kN  0:001

modulus ratio, the pile diameter, and the applied force and moment at ð0:61 mÞ2  0:8 MPa=m
the pile head. The following equation can be used to estimate the pile-  20:53
head deflection for long slender piles (with Lp . Lc ): þ 2:1 68:42  103 MPa

0:61 m  0:8 MPa=m

 20:31  
Ep Fa Ep 20:53 Ma 2265 kNm  0:001 ¼ 19:6 mm
w ¼ R2 þ R3 (16) 
Bp ml ðBp Þ2 ml Bp ml ðBp Þ3 ml ð0:61 mÞ3  0:8 MPa=m

Table 2. Regression Coefficients R2 and R3 for Head Deflection of Long Piles with Lp . Lc
R2 or R3 5 c1 ðL=Bp Þ2 1 c2 ðL=B p Þ 1 c3
Boundary conditions
at the pile head Coefficient Cross section c1 c2 c3
Free R2 Square 0.00004 20:0099 1.3743
Rectangular (aspect ratio, 2a=2b 5 5) 0.00005 20:0106 1.5354
Circular 0.00004 20:0094 1.2895
R3 Square 0.00007 20:0150 2.6780
Rectangular (aspect ratio, 2a=2b 5 5) 0.00007 20:0153 2.9095
Circular 0.00006 20:0145 2.5702
Fixed R2 Square 0.00002 20:0045 0.6697
Rectangular (aspect ratio, 2a=2b 5 5) 0.00003 20:0054 0.7427
Circular 0.00001 20:0043 0.6271
R3 Square/rectangular/circular 0 0 0

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 Table 3. Regression Coefficients R2 , R3 , n1 , and n2 for Head Deflection of Short Piles with Lp , Lc
R2 ; R3 , n1 , or n2 5 c1 ðL=BpÞ2 1 c2 ðL=B p Þ 1 c3
Boundary conditions
at the pile head Coefficient Cross section c1 c2 c3
Free R2 Square 20:0332 0.7706 22:1317
Rectangular (aspect ratio, 2a=2b 5 5) 20:0302 0.7704 22:2096
Circular 20:0112 0.2603 20:4699
R3 Square 20:01 0.2532 20:4543
Rectangular (aspect ratio, 2a=2b 5 5) 20:0094 0.2636 20:4931
Circular 20:0397 0.8539 2 2:4441
n1 Square 0.0045 20:0895 0.1491
Rectangular (aspect ratio, 2a=2b 5 5) 0.0047 20:0937 0.1712
Circular 0.0037 20:0763 0.1015
20:1421
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n2 Square 0.0076 0.1455

Rectangular (aspect ratio, 2a=2b 5 5) 0.0079 20:1498 0.1858
Circular 0.0062 20:1191 0.0613
Fixed R2 Square 20:0007 0.0076 20:3196
Rectangular (aspect ratio, 2a=2b 5 5) 20:0008 0.0079 20:3261
Circular 20:0004 0.0028 20:2951
R3 Square/rectangular/circular 0 0 0
n1 Square 0.0045 20:0649 0.7394
Rectangular (aspect ratio, 2a=2b 5 5) 0.0049 20:0717 0.8178
Circular 0.0047 20:0709 0.7519
n2 Square/rectangular/circular 0 0 0

Table 4. Regression Coefficients R4 for Maximum Bending Moment of Free- or Fixed-Head Piles with Lp . Lc because of Applied Force Fa
R4 5 c1 ðL=Bp Þ2 1 c2 ðL=B p Þ 1 c3
Boundary conditions
at the pile head Coefficient Cross section c1 c2 c3
Free R4 Square 0.00001 20:0017 0.2022
Rectangular (aspect ratio, 2a=2b 5 5) 0.00001 20:0019 0.2179
Circular 0.00001 20:0020 0.2038
Fixed R4 Square 0.000006 20:0014 0.2715
Rectangular (aspect ratio, 2a=2b 5 5) 0.000005 20:0013 0.2825
Circular 0.000006 20:0014 0.2648

where R2 and R3 are obtained from Table 2. The calculated deflection
is found to be in good agreement with the experimental values
reported by McClelland and Focht (1958) with the difference in the
head deflection being less than 5% (Fig. 3). Therefore, with the
developed equations and plots in this study, the lateral pile response
can be estimated with reasonable accuracy.
Example 2
As another field example, pile Number 2 of the test series conducted
by Alizadeh and Davisson (1970) was selected for analysis. The top
5.5 m of the soil profile consists of poorly graded sand with some
gravel and with little or no fines; underneath this layer there is a layer
of fine sand with some organic silt. The test pile, which was em-
bedded 15 m into the fine sand layer, was a steel pipe with a diameter
of 0.406 m and a wall thickness of 8.153 mm. The bending stiffness
of the pile is 69,900 kN×m2 . The elastic properties of the soil layers
were given in Reese and Van Impe (2001), who reanalyzed the pile-
load test results. The Young’s moduli of the different layers of the
soil profile are as follows: 15, 21, 25, and 30 MPa for 0 to 22:4 m,
22:4 to 24:6 m, 24:6 to 28:5 m, and 28:5 m to great depth, re-
spectively. The Poisson’s ratio was assumed to be 0.2 for each
layer. Even though only a circular steel pipe was installed at the test
site, in this paper three pile cross sections are considered for
comparison purposes: a circular pile with a diameter of 0.406 m,
a rectangular pile with 2a 5 0:520 and 2b 5 0:104 m, and a square
pile with 2a 5 0:35 and 2b 5 0:35 m (all with the same second
moment of inertia). The program LATPAXL was used for all the
calculations.
Fig. 8(a) shows the predicted and measured load-deflection
curves for the test pile and the predicted load-deflection curve for
the square and rectangular piles. The results from the present analysis
are in good agreement with the measured data. Fig. 8(b) presents the
predicted bending moment profiles. The bending moments calculated
from the present analysis are less than the measured values. Never-
theless, the deflections predicted by this analysis were off by less than
5 mm; therefore, the analysis can provide a reasonable estimate of
the pile response if a proper assessment of the soil properties is
made.
Conclusions
In this paper, an analysis is developed to determine the response of
laterally loaded rectangular and circular piles in heterogeneous soil
deposits in which the soil shear modulus increases linearly with
depth or in which discrete values of shear modulus can be assumed
for distinctly different layers. The analysis is based on the solution of
differential equations governing the displacements of the pile-soil

© ASCE 04013049-10 J. Geotech. Geoenviron. Eng.

J. Geotech. Geoenviron. Eng.


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Fig. 8. Comparison between results from the present analysis and
measured pile-load test data by Alizadeh and Davisson (1970):
(a) predicted and measured load-deflection curves; (b) bending moment
profiles
system derived using the variational principles of mechanics. Using
this analysis, pile deflection, slope of the deflected curve, bending
moment, and shear force profiles can be quickly obtained along the
entire pile length. The inputs required for the analysis are the pile
geometry, thickness of the soil layers, and the elastic constants of the
pile and soil.
Parametric studies were performed to investigate the effect of pile
cross-sectional shape, pile-soil modulus ratio, pile slenderness ratio,
© ASCE 04013049-11
J. Geotech. Geoenviron. Eng.
and soil heterogeneity and layering on the lateral pile response,
namely, head deflection and maximum bending moment. The shape
of the pile cross section affects the lateral response. By comparisons
of the response of piles with rectangular, square, and circular cross
sections, it was observed that the piles have similar lateral-load re-
sponse if they have the same second moment of inertia. For piles
in two-layer systems, the lateral behavior is affected mainly by
the thickness and stiffness of the top soil layer. The stiffness of the
underlying layer does not affect the deflection if the thickness of the
top layer exceeds 30% of the pile length. In the case of piles in three-
layer soil, layering exerts significant influence on the response of
piles, particularly when piles are installed in soil deposits consisting
of two thin layers overlying the third layer.
Design equations were developed by fitting expressions in ade-
quate form to the results of the analysis; these equations allow
prediction of the head deflection and bending moment of piles in soil
with shear modulus increasing linearly with depth. In addition,
a user-friendly spreadsheet program (LATPAXL) was developed,
which can be used to estimate the response of laterally loaded piles in
heterogeneous soil.
Acknowledgments
This material is based on work supported by the National Science
Foundation under Grant No. 0556347. The authors are grateful for
this support.
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