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Lateral Load Behaviour of a Single Vertical or Batter Pile

Conference Paper · March 2017

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 Conference on
Numerical Modeling in Geomechanics CoNMiG-2017

Lateral Load Behaviour of a Single Vertical or Batter Pile

P. Kumar, K. Pandit*, and P. Uniyal

CSIR – Central Building Research Institute, Roorkee – 247 667
*corresponding author’s email: koushik@cbri.res.in

Abstract Design of deep foundations is related to many civil engineering structures like tall
buildings, road bridges, and communication or transmission towers. For these structures, due to
their great heights, the lateral forces due to wind become more common and make it a critical
design parameter to construct such structures. Pile foundation is a popular deep foundation type
used to transfer superstructure load into subsoil and bearing strata or bedrock. However, precise
prediction of displacement of piles under lateral loading is particularly difficult concerning
complicated pile-soil interaction. The objective of this paper is to model a soil-single pile system
using FEM implemented in PLAXIS3D software environment. The numerical results of pile
bearing capacity and pile top displacement have been compared with static load test results of a
model pile; the tests being carried out at laboratory. The results from the experimental and
numerical studies have been found to be compatible, whereas, both the experimental and
numerical results suggest greater deflection for positive batter piles than for vertical and negative
batter piles under the same lateral loading.

Keywords Pile; Batter Angle; Finite Element Analysis; PLAXIS; Lateral Loading

INTRODUCTION
Pile foundation is a popular deep foundation choice meant to transfer superstructure load into
subsoil and bearing layers. Piles are widely used for major infrastructures like bridges or tall
buildings that may be subjected to large vertical and lateral loads. As it was emphasized by
Lambe and Whitman [1], a pile foundation, even in the case of single pile, is statically
indeterminate to a very high degree. The proper solution to a given pile foundation problem
requires empirical knowledge and the results of pile tests at the actual site [2]. Large lateral load
act on the foundations of retaining walls, anchors for bulkheads, bridge abutments, piers and off-
shore structures. These lateral loads may be due to water waves, soil movement, impact of ships,
and wind or seismic forces on tall structures.

Many experimental and numerical studies have been devoted to lateral response of single piles,
like: Patra and Pise [3] performed analysis and comparison of laterally loaded single piles
embedded into sand to obtain ultimate horizontal force. They proposed analytical expression to
predict the ultimate lateral capacity (ULC) of a single pile and group of piles. The authors have
taken into consideration equation that was presented by Meyerhof et al. [4].

Brown and Shie [5] performed three dimensional numerical analysis of a single pile. Two types
of soil were modelled, clay and sand. Authors made the following observations: (i) the zone of
yielding propagates laterally and deeply with increasing of pile diameter, (ii) pattern of soil shear
strength with depth is influenced by the confining pressure as well as the geometry of pile.

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Yang and Jeremic´ [7] conducted numerical analyses using finite element method on single
laterally loaded pile in elastic-plastic soil model. Based on the results obtained from numerical
analysis, the authors developed p-y curves and compared them with p-y curves obtained by
McVay et al. [7] and Reese et al. [8]. The authors concluded that the use of three dimensional
finite element model, with the use of very simple constitutive soil model can give good
approximation of laterally loaded pile behaviour.

Study of Fan and Long [9] performed three dimensional analysis in comparison to some other
techniques for determining pile behaviour under lateral loads. In the numerical analysis, soil was
assumed to be sand and it was modelled using the simple constitutive model defined by Desai et
al. [10]. Pile was modelled as a structural tube element. Based on result of performed numerical
analysis authors gave the following conclusions: (i) stress concentration is formed in zone from
3-5 pile diameters in depth in the direction of pile loading. This part of a pile is the most
important part for lateral capacity, (ii) p-y curves are not sensitive to the pile stiffness, which
supports the assumption of p-y method, (iii) the ultimate soil resistance is non-linear at any depth
and it is not directly proportional to the pile diameter.

Mardfekri et al. [11] performed analyses of a single pile, taking into account non-linear soil-pile
interaction and the results compared with some simpler analyses, like the analyses performed by
Blaney et al. [12], Kausel [13] and Briaud [14]. Unlike some other authors [5, 6], Mardfekri et al.
[11] modelled pile and soil using solid elements. The following conclusions came out from the
analyses: (i) deflection of pile head is not only in relation with pile stiffness; it also depends on
pile diameter, (ii) modelling of a pile using beam elements results in smaller contribution of the
surrounding soil to the lateral stiffness, and an increasing up to 200 % in the maximum
displacement of pile head.

From the above discussion, it may be observed that while the existing pile design practices are
considered adequate, a performance based approach to pile design can be more cost effective and
produce a more dependable response. However, accurate prediction of a pile’s settlement
(vertical/horizontal) is particularly difficult concerning complicated consolidation process and
pile-soil interaction. The lateral load bearing capacity of a pile can be obtained in a horizontal
load generating test set-up either installed at site or at laboratory. Field investigation data on
lateral load behaviour of piles are very limited. The main objective of this paper is to model a
soil-pile system using FEM implemented in PLAXIS 3D software environment. The numerical
results of pile bearing capacity and pile head lateral displacement have been compared with static
load test results of prototype piles carried out in laboratory. The comparisons have been observed
to be compatible within an acceptable range of tolerance.

EXPERIMENTAL PROGRAM
A laterally loaded pile can be analyzed as an elastic beam foundation. Governing equation of a
beam on elastic foundation can be found in any book regarding geotechnical engineering [15-
17]. The equation consists of a part regarding the behaviour of a beam, and the part that regards
the soil. Formulation of the governing equation can be depicted from Fig. 1 as:

(1)

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Fig. 1 A beam element on elastic foundation [15]

McGrath [18] conducted laboratory experiments on three types of piles, vertical, positive and
negative batter piles subjected to lateral loads only. All the tests were conducted under controlled
density conditions in clean, dry, well graded sand. All the model piles were driven to 180 mm
into the sand which was pre-compacted in several layers in order to obtain the desired density of
18.86 (~ 19.0) kN/m3 in a test box of dimensions: 500 x 500 x 640 mm. Each of the piles was
200 to 300 mm long and 13 mm in diameter, and was coated with sandpaper for roughness. The
last 13 mm of driving end was tapered at 60o and fine sand particles were glued to it. In addition
to the vertical piles, batter piles with batter angles of -30o, -15o, +15o, and +30o were also tested.
The experimental set-up is shown in details in the Fig. 2.

Fig. 2 A schematic view of the experimental test set-up for lateral load behaviour study of single
vertical and batter pile as developed by [18]

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Battered piles are relied on for resistance against horizontal loads. A pile is said to have a
positive (+ve) batter if its inclination with the vertical is opposite to the direction of loading
while it is said to have a negative (-ve) batter if its inclination with the vertical is in the direction
of the load (Fig. 3).

Fig. 3 Graphical representation of typical vertical and batter piles as per the definition

The model piles used in the experiments were the rigid type due to their short lengths, and were
loaded to complete failure. The loads were applied horizontally in all cases and at different
elevations above the ground surface (h), and in pre-set ratios of (h) to depth of penetration of the
pile in sand (L). To obtain the failure mode correctly, the lateral load increment was kept as low
as 10 N. A close view of the lateral loading arrangements has been shown in the Fig. 4.

Fig. 4 Close view of lateral loading arrangements for the vertical (left) and batter (right) piles

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NUMERICAL ANALYSIS
The finite element (FE) method is one of the most powerful approximate solution methods that
can be applied to solve a wide range of geotechnical problems. In this study, numerical
simulations were carried out using a three-dimensional (3D) FE program.

Meshing
In order to perform the finite element calculations, the geometry has to be divided into elements.
A composition of finite elements is called a finite element mesh. The basic soil elements of a 3D
finite element mesh are represented by the 15-node wedge elements as shown in Fig. 5(c). The
mathematical FE model investigated in this paper for validation of the experimental results has
the geometry same as the dimensions of the experimental model. The domain of the model was
500 mm in length, 500 mm in width and 640 mm in depth (Fig. 5). The displacements were
prescribed to zero in the x, y and z directions at the bottom and in the x and y direction at the
sides.

Fig. 5 3D finite element mesh for soil mass and pile: (a) Co-ordinate system and the location of
embedded pile, (b) 3D-FE mesh, (c) 15-node wedge element, and (d) An embedded batter
pile.(Read clockwise from top left-most figure)

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Constitutive Modelling
All FE calculations were based on 15-node wedge elements using an 18-point Gaussian
integration rule to calculate the element stiffness matrix. The sand was modelled using the
elasto-plastic Mohr–Coulomb (MC) model. The essential parameters of the MC model are well
known to most geotechnical engineers and can be determined from basic tests on soil samples.
The MC model involves two main parameters, namely the cohesion intercept, c and the friction
angle, φ; in addition to three parameters, namely, Young's modulus, E; Poisson's ratio, ν; and the
dilatancy angle, Ψ which are needed to calculate the complete stress-strain (σ – ε) behaviour.
Mohr–Coulomb’s failure surface criterion is shown in Figure 6. According to Johnson et. al.
[19], the failure envelope only depend on the principal stresses (σ1, σ3), and is independent of the
intermediate principle stress (σ2).

Fig. 6 Mohr–Coulomb’s failure surface [23]

The usual definition of the equation of Mohr-Coulomb surface is:

(2)
Which, when rewritten in terms of invariants and Lode angle θ becomes:

(3)
Where,

(4)
And,

(5)

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Embedded Pile Modelling
In this study, the single pile was simulated as an embedded beam element in PLAXIS 3D. In past
years, an embedded beam (EB) concept [20] was introduced as an improvement of FEM analysis
of piles and implemented into different FEM computer codes. In this concept, pile volume isn’t
discretized with solid elements, but replaced with advanced formulation. Upon insertion of EB,
new “virtual” nodes are generated inside existing soil volume elements at penetration points (Fig.
7), and they don’t affect the discretization of soil continuum. In comparison with full soil model,
the main difference is the fact that the pile-soil contact is modelled along the pile axis, instead of
pile circumference. Pile-soil interaction is modelled with special interface 3-node spring
elements in axial and lateral directions that “connect” the EB nodes with virtual soil FE nodes.
These elements are different from the interface elements used in full solid pile model.

Fig. 7 Embedded beam element

Interface Modelling
For the present study, the pile material behaviour is described by a linear elastic model, while
pile-soil contact is modelled using special zero-thickness interface elements. These elements
simulate a weaker and more flexible soil zone around the piles. The interface strength (Rinter) was
taken as a rigid type between sand and aluminium piles. This strength reduction factor (Rinter)
reduces the soil shear strength parameters, c and φ into interface strength parameters ci and φi.
Suitable values of Rinter can be found in the literature for different soil types, and usual value is
about 0.5 (referred to 2/3 of φ) [21].

All the material properties used in the FE analysis are listed in Table 1.

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Table 1 Material model parameters and their values used in the FE analysis

Material Symbol Unit Dense sand Aluminium

pile
Material model Mohr-Coulomb Linear Elastic
Unsaturated weight γunsat kN/m3 19.0 27
Stiffness E50 kN/m2 40000 69000000
Poisson ratio µ 0.2 0.18
Cohesion c kN/m2 0 NA
Friction angle Φ Degree 35-42 NA
Dilatancy angle Ψ Degree 0-5 NA

RESULTS
Figs.8-10 show the similarity between the load-displacement curves for the experimental and
theoretical analyses of the laterally loaded single vertical and batter piles with positive and
negative batter angles. Good conformity has been achieved between the experimental and the
current FE modelling for different cases of h/D (ratio of height of pile above the ground level to
diameter of pile) and L/D (ratio of length of pile below the ground level to diameter of pile), and
Dr (relative density). The values of ultimate load capacity of the piles in the FE results are the
same, but the displacement (horizontal) values are slightly lower (approximately 8%) than the
experimentally predicted values. The numerical results follow the trend of the model test results,
and acceptable agreement is achieved with a minimum difference around 10%. Thus, the adopted
PLAXIS 3D model is found to be proficient in predicting the behaviour of model piles in the
laboratory.

Fig. 8 Comparison of FE analysis results from PLAXIS 3D with the experimental results for a
vertical single pile

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Fig. 9 Comparison of FE analysis results from PLAXIS 3D with the experimental results for a
batter single pile with batter angle of -15o (left) and +15o (right)

Fig. 10 Comparison of FE analysis results from PLAXIS 3D with the experimental results for a
batter single pile with batter angle of -30o (left) and +30o (right)

CONCLUSIONS
In the present paper, a laboratory test database has been referred and its results are compared
with the numerical results. For this, several three-dimensional finite element models have been
generated with the same material properties and geometry and simulated under similar loading
conditions. The validation of results from the FE analysis with the experimental model test
results ensures the program’s ability to solve the geotechnical problems of a prototype pile in the
field. After ensuring the program’s capability through the validation process, the analysis may
further be investigated for a real site problem with a vertical or battered single pile subjected to
lateral loading.

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The main objective of this research was to focus on utilization of the piled retaining wall as part
of the permanent foundation to reduce or eliminate the need for a separate foundation. A series
of small-scale laboratory model tests and numerical analyses were carried out to investigate the
ultimate axial capacity of a piled retaining wall in sand relative to its deformation behaviour. The
investigation mainly focused on determining the effect of the penetration depth, pile rigidity, and
relative density of sand under the effect of axial loading conditions. The main conclusions that
can be deduced from the experimental and numerical results obtained in this research are
outlined as follows:

(i) The bearing capacity of negative battered piles is greater than that of vertical and positive
battered piles under lateral loads,

(ii) The bearing capacity of piles decreases with increasing negative batter angle,
(iii)The bearing capacity decreases with increase in height to load application to depth of
penetration ratio for vertical, positive and negative battered piles for batter angles of
less than 30o.
(iv) The experimental and numerical results suggest greater pile head horizontal displacement
for positive batter piles than for vertical and negative batter piles under the same
lateral loading.

REFERENCES
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bearing capacity analysis of pile foundation, Procedia Engineering, 111, 356– 363.
3. Patra, N.R. and Pise, P.J. (2001) Ultimate lateral resistance of pile groups in sand.Journal of
Geotechnical and Geoenvironmental Engineering, 127(6):481–487.
4. Meyerhof,G.G., Mathur, S.K. and Valsangkar, A.J. (1981) Lateral resistance anddeflection of
rigid walls and piles in layered soils. Canadian Geotechnical Journal, 18(2):159–170.
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piles. Computers and Geotechnics, 10(3):59–79.
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12. Blaney, G.W., Kausel, E. and Roesset, J.M. (1976) Dynamic stiffness of piles. In
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