Soil Mechanics and Foundation Engineering, Vol. 47, No. 6, January, 2011 (Russian Original, No. 6, Nov.-Dec.

, 2010)

DESIGN

RESISTANCE OF PILES
TO HORIZONTAL LOADS

B. V. Bakholdin and E. V. Trufanova UDC 624.15

N. M. Gersevanov Scientific-Research Institute of Foundations
and Underground Structures, Moscow, Russia.

A procedure for the analysis of piles subject to horizontal loads using standard strength
and deformation characteristics of the soils is proposed on the basis of results of experi-
mental investigations.

Specialists are focusing major attention on methods of evaluating the resistance of piles to hori-
zontal loads. Fedorovskii et al. [1] present results of investigation of characteristic features of the inter-
action between piles and the bed soil, and new methods of analyzing pile foundations. The methods are
approved through laboratory and field experiments.
Based on codification of numerous experimental data on stresses that develop on the lateral sur-
face of piles during their horizontal loading, it is recommended to use

k0 σ ult ( z )
σ ( z) = u ( z ), (1)
σ ult ( z ) + k0 ( z ) u ( z )

where σult(z) is the ultimate reactive pressure, k0(z) is the coefficient of horizontal strength of the soil,
and u(z) is the displacement of the pile at depth z.
It follows from (1) that the support stress or reactive pressure of the soil against the lateral sur-
face of the pile during its horizontal loading is found to be a direct function of its limiting values.
Moreover, this is essentially disregarded in methods specified for analysis of piles subject to horizontal
loads in Construction Rule and Regulation 2.02.03-85 and Building Code 50-102-2003.
The accuracy of the results of the indicated analyses can be evaluated on the basis of archival
data on static pile tests, which were conducted on a construction site at the Western Siberian Metallur-
gical Combine in Novokuznetsk [2]. Clayey soils, the characteristics of which are presented in Table 1
(GEE-1 − slimy, iron-containing, clayey loam; GEE-2 − loess-like (degraded), iron-containing loam)
reside at a depth to 20 m at the plant's construction site.
We tested precast piles with lengths of 10 m (pile 611') and 14 m (pile 758N), and cross section
of 4040 cm, which were fabricated in accordance with GOST 19804.0. The tests were performed in
accordance with GOST 5686. A horizontal load was applied in 10-kN steps to total loads ranging from

Translated from Osnovaniya, Fundamenty i Mekhanika Gruntov, No. 6, pp. 8-13, November-December, 2010.
©
0038-0741/11/4706-0215 2011 Springer Science+Business Media, Inc. 215
 TABLE 1
GEE Pile Soil characteristics
No. number γ, kN/m3 ϕ, deg c, kPa I IL e W, %
p

1 611' 19.6 18 10.0 10 0.98 0.82 28

2 758' 18.9 18 20.0 10 0.70 0.78 25

Q, kN
170
160
150
140
130
120 1 2
110 3
100
90
80 4
70
60
50
40
30
20
10

10.0 20.0 30.0 40.0 50.0 60.0 70.0 80.0 u, mm

Fig. 1. Plots showing relationship between head displacement of pile No. 611'
and horizontal load: 1) according to experimental data; 2) Building
Code 50-102-2003; 3) Construction Rule and regulation 2.02.03-85*;
4) proposed procedure.

150 to 170 kN. Results of the tests and analysis of the piles in accordance with Construction Rule and
Regulation 2.02.03-85 and Building Code 50-102-2003 are presented in Figs. 1 and 2. In compiling the
experimental and computed data, their noncorrespondence was established in all cases. Horizontal dis-
placements of the piles based on calculation by a method utilizing the coefficient of subgrade reaction
were found to be 5-20 times higher than the experimental data.
The stresses that develop in the soil at the point where it contacts the pile were measured by
Shakhirev [3]. We used two experimental reinforced-concrete piles with a continuous cross section of
3030 cm and length of 6.0 m with load-cell strain gages established with a spacing of 50 cm on two
opposite sides of the piles. The piles were sunk in clayey soils, the characteristics of which are pre-
sented in Table 2.
It follows from Fig. 3 that when the piles are horizontally loaded, basic resistance by the
soil is offered in its upper section, while it is manifested in the lower section only at great depths.
Moreover, the upper zone of the soil increases, and is displaced downward with increasing load.
The pile simultaneously experiences a certain rotation, which, as is indicated below, is one of the
important factors that must be considered in developing a method for the analysis of piles. It is
also established from the experiments that the dependence of pile displacement on load is nonlin-
ear [3].

216
 Q, kN

150
1
140
130
4
120
110
100
90
2
80
70
3
60
50
40
30
20
10

10.0 20.0 30.0 40.0 50.0 60.0 70.0 u, mm

Fig. 2. Plots showing relationship between head displacement of pile No. 758'
and horizontal load: 1) according to experimental data; 2) Building
Code 50-02-2003; 3) Construction Rule and Regulation 2.02-03-85*;
4) proposed procedure.

TABLE 2

Depth of sampling, m γ, kN/m3 γ0, kN/m3 W, % Ip IL e

1 19.3 26.4 26.15 16.85 0.35 0.72
2 19.3 26.5 26.0 13.85 0.21 0.45
5 19.9 26.4 26.2 14.25 0.30 0.70
6 19.2 26.7 33.8 16.95 0.65 0.87
7 18.2 25.4 36.05 18.75 0.52 0.88

a 0 0
b
0 0
24°12°
325 kPa 375 kPa
24°12°
23°11° 480 kPa
23°11° 500 kPa
22°10° 325 kPa
22°10° 375 kPa
21° 9°
250 kPa 21° 9° 300 kPa
20° 20° 8°
8°

19° 7° cm
19° 7°
100 cm
18° 6°
18° 6° 25
50 100
17° 5°
17° 5° 20
15° 46° 4 0 50
0 25 50 kPa 3 46°
15° 45° 3 0
25 0 25 50 kPa
45° 3
15° 44° 2
17 44° 2
43° 1
43° 1

Fig. 3. Results of stress measurements in area where soil contacts piles [3]:
a and b) under horizontal load of 144 and 206 kN, respectively.

217
 a q
b
Q ε Q σzO
O D O

l/2h
ah
Fmin
F0
B σzB

h
B C

(1-a)h
l/2h
F b F
A A σzA

2/3(H-h)

H
Fk
Fk
K

σk
z
Fig. 4. Diagram used for analysis of pile subject to horizontal load
in classical Rankine half space (a) and stress state of soil on
pile shaft when functioning in accordance with scheme (b).

It is most convenient to examine laws governing interaction of the "pile-soil" system in a clas-
sical Rankine half space (Fig. 4) with consideration given to the need established in [1] for evaluation
of the resistance of a pile in all steps of its horizontal loading. A pile in a Rankine half space can, in
first approximation, be treated as a plane rod to which a horizontal force Q is applied to its head sec-
tion. The point where this force is applied can be adopted as the origin of coordinates x, z (see Fig.
4).
In the general case, Rankine's solution for the stress state of a medium in a half space bounded
by a slope ε assumes the following form:

σ x ⎫ γ z cos ε + q
⎬= (1 − λ )(1 ± λ);
σ z ⎭ cos ε cos 2 ϕ
γ z cos ε + q (2)
τ xy = (1 − λ) 2 tan ε;
cos ε cos 2 ϕ
λ = sin 2 ε + ω cos sin 2 ϕ −sin 2 ε ,

where γ is the specific weight of the soil medium, ε is the surface slope of the medium, and q is the
load distributed over the surface of the soil.
It follows from (2) that for each plane of the slope, it is possible to omit the overlying section
of the soil medium, and treat this plane as the boundary surface. When the surface is horizontal, ε = 0,
solution (2) is simplified, and the paths of the principal stresses, as before, coincide with the slip lines
that parallel the surface of the soil medium. Introducing the parameter σc, which takes into account the
cohesion of the clayey soils, we obtain:

1 − ω z sin ϕ
σ x = (γ z + q) +σ c; (3)
1 + ω z sin ϕ

where ωz is a coefficient.

218
 It is accepted to consider that the coefficient ωz is a switch: ωz = +1 for the active pressure, which
corresponds to the minimum value of the fractional term in (3), and ωz = −1 for the development of pas-
sive soil support, i.e., corresponding to the maximum stress state. In truth, the coefficient ωz should be
treated as a plasticity index that varies from 1 to −1. Here, it is possible to assume that when a load Q
is applied to the head of a pile at point O (see Fig. 4), it rotates about a certain point A removed from
the by head by a distance z = h. In this connection, the maximum stress state (ωz=0 = −1) should devel-
op within the pile essentially at point O on plane z = 0. This is explained by the fact that the value of
h will vary during loading, increasing from h  0 to values corresponding to maintenance of limiting
equilibrium. The minimum value of the stresses (ωz=h = 1) will be maintained at point A, since the soil
at this point is virtually unconsolidated. Under these conditions, the stresses in the section of the pile
from z = 0 to z = h should be considered to vary as ωz varies from 1 to −1. The variation in ωz over the
depth when z < h can, in first approximation, be assumed to be linear ωz = 2z/h − 1. At point B, which
corresponds to z = h/2, therefore, it is possible to set ωz=h/2 = 1 on the assumption of the indicated lin-
earization of the ωz values from z. The existence of cohesion c for the soils can be modeled in the cal-
culations by the application of a load q = c/tanϕ over the surface of the soil medium under considera-
tion [4]. When z < h, therefore, the value of σc in [3] should be determined with consideration given to
this situation

c ⎛ 1 − ω z sin ϕ ⎞
σc ≅ ⎜ −1 ⎟ when ωz ≅1. (3')
tan ϕ ⎝ 1 + ω z sin ϕ ⎠

The stresses on the shaft of the pile σxO,, σxA, and σxB at points O, A, and B, respectively (see
Fig. 4), of the pile shaft can be assumed as:

1 − sin ϕ
σ xO = σ c ; σ xA = γ h +σ c ; (4)
1 + sin ϕ

Permitting the possibility of linearization and determination of the variation in stresses between
the indicated points, the total resistance F of the soil when a load Q is transmitted onto the pile

h ⎛ σ + σ xB σ xB + σ xA ⎞ h
F = ⎜ xO
2⎝
+ ⎟ = 4 (σ xO + 2σ xB + σ xA ). (5)
2 2 ⎠

The law describing the stress state of the soil within the surface of a pile and in the near-pile
space also corresponds to experimental data derived from measurement of these stresses; this is appar-
ent from Figs. 3 and 4.
According to (4) and (5), we have

γ h 2 ⎛ 1 − sin ϕ ⎞
F= ⎜1 + ⎟, (6)
4 ⎝ 1 + sin ϕ ⎠
when c = 0.
In the general case, the depth z F at which the resultant F is applied from the coordinate ori-
gin will depend on h, and can be adopted as z F = ah, where a is a coefficient that varies from 1/2
to 2/3.

219
 The exact value of a can be determined, proceeding from the principle of the displacement of
gravitating load platforms in accordance with (5). The largest of these values can be adopted for safety-
margin analyses.
For known F and a, the maximum bending moment Mmax in the pile when loaded horizontally

Mmax = ahQ. (7)

The displacement U of the pile head under a load Q can be determined with respect to the dis-
placement of point B (see Fig. 4) due to the bending stresses acting on plane z = h/2 as compared with
their minimum value

σ xB − σ x ,min
UB = b, (8)
2E

which had previously been specified, where σxB is the stress at point B according to (4), σx,min is the pre-
viously effective stress corresponding to the minimum stress state in plane z = h/2, as determined from
(3) when z = h/2 and ωz = 1, b is a dimension of the zone of propagation of the bending stress state in
plane z = h/2, and E is the compression modulus of the soil.
The dimension b of the zone can be determined from the equilibrium condition of prism OBCD
(see Fig. 4)

⎛ γh ⎞
F0 = b ⎜ c + tan ϕ ⎟ + Fx,min
⎝ 2 ⎠
(9)
F0 − Fx,min
or b= ,
γh
c+ tan ϕ
2

where F0 is the resultant supporting force of the soil against face OB of prism OBCD, Fx,min is the resul-
tant force of the minimal stress state on face CD of prism OBCD.
In sandy soils:
2
1 h ⎛ h ⎞ 1 − sin ϕ
F0 = σ xB ; Fx ,min = γ ⎜ ⎟ . (10)
2 2 ⎝ 2 ⎠ 1 + sin ϕ

The displacement U of the pile head in conformity with (8), (9), and (10)

2
γ h 2 ⎛ 1 − sin ϕ ⎞
U = 2U B = ⎜ 1− ⎟ (11)
8E tan ϕ ⎝ 1 + sin ϕ ⎠
in sandy soils.
Using (5-7) and (11), it is therefore possible to evaluate both the maximum bending moment in
the piles when acted upon by a horizontal load Q, and also the displacements of their head section. For
this purpose, it is necessary to know the depth of the point at which the pile is fixed in the soil, and
also the support FK of the soil in the lower section of the pile.
For absolutely rigid piles, the maximum possible support FK of the soil can be determined by the
overall soil prism. The actual soil support in each specific case will be smaller, however, since it is real-
ized by the soil only when necessary.

220
 For actual piles, soil support will be realized not in the region of the lower end, but over the
entire length of section KA of the pile (see Fig. 4). In evaluating the specific-pressure distribution of the
support along section KA, it is possible to state that its value will increase with depth from zero at point
A. If the increase is assumed to be linear, therefore, the resultant support FK will be situated at a dis-
tance (H − h)/3 from the lower end of the pile (where H is the depth to which the pile is embedded) on
the condition that the horizontal stress σK around the end of the pile will not exceed the maximum value
determined from (3).
Basic calculations associated with evaluation of the resistance of horizontally loaded piles can be
reduced to solution (6) in conjunction with equations whereby the forces in the rotating section where
the pile rotates about point A are in equilibrium, and all forces are projected onto the x axis

2
Qh − Fh (1 − a ) − FK ( H − h) = 0; (12)
3

Q − F + FK = 0 . (13)

Solving Eqs. (6), (12), and (13) simultaneously for h, we have

h + 2H 1 ⎛ 1 − sin ϕ ⎞
F =Q ; ξ = ⎜ 1+ ⎟; (14)
2H − h 4 ⎝ 1 + sin ϕ ⎠
γ ξ h3 − 2 γ ξ Hh 2 + Qh + 2 QH = 0

for sandy soils when c = 0 and a  2/3.

The roots of this equation are readily determined from the Kardan formula with use of comput-
er programs, or by the simple method of determining Q based on assigned values of h.
For clayey soils (c  0), Eq. (5) should be used in lieu of (6) without causing principal difficul-
ties, but will make the calculations more cumbersome, although the procedure employed here for the
calculations is retained in its entirety.
Calculations based on the proposed procedure as applies to Figs. 1 and 2 suggest good conver-
gence between computed and experimental data.
An approximated accounting of three-dimensional deformations of a soil medium as apples to cir-
cular piles can be achieved with use of Berezantsev's development [4] in which he demonstrates that in
the case of three-dimensional deformation, limiting equilibrium of a point of a soil medium with coordi-
nates coinciding with principal stresses σ1, σ2, and σ3 when σ1 > σ2 > σ3 sets in under the condition

1 σ1 − σ 3 σ + σ2
− tan ϕ 1 = c, (15)
cos ϕ 2 2

where ϕ and c are the angle of internal friction and cohesion of the soil, respectively.
This condition is mandatory for the three-dimensional problem in any coordinate system.
Incomplete limiting equilibrium is theoretically defined by (15), since in addition to this condi-
tion, it is possible to propose yet another two relationships between principal stresses; this is uncharac-
teristic when only a horizontal force acts on the pile.
The horizontal load on a circular pile can be calculated in a cylindrical coordinate system z, r,
u. Figure 5 shows the computational diagram of the forces acting on the pile, and the stress state of the
soil medium in the near-pile space.
According to this diagram, two slip surfaces, which run at angles +μ = +(π/4 − π/2) in the direc-
tion of the larger principal stress σ1 exist at each point of the soil medium. Consequently, two families

221
 Fig. 5. Computational diagram of circular pile subjected to horizontal
load with indication of active forces and stress state of soil medium
in near-pile space in cylindrical coordinate system z, r, u.

of slip lines exist in the near-pile soil medium. If the angle formed by the direction of σ1 and the r axis
is designated by ρ, and the angle that is made by the same axis r and a slip line of the first family by
δ, the stress components that develop in the soil medium could be expressed in terms of principal stress-
es σ1, σ2, and σ3:

σ 1 + σ 2 σ1 − σ 2
σr = + cos 2 ρ;
2 2
σ + σ 2 σ1 − σ 3
σz = 1 − cos 2 ρ; (16)
2 2
σ −σ2
τ ru = 1 sin 2 ρ.
2

Solving these relationships simultaneously with (15) as applies to a granular medium when c = 0,
we obtain:
σr = σ (1 + sinϕ cos2ρ);
σz = σ (1 − sinϕ cos2ρ) ;
σrz = σ sinϕ sin2ρ ;
σ = (σ1 − σ3)/2sinϕ . (17)

Disregarding the roughness of the lateral surface of the pile and considering that no forces, with
the exception of the weight of the soil itself, exist in the zone of soil support when the pile is horizon-

222
tally loaded, it can be approximately assumed that σz = γz. Considering this, Eq. (17) can be represented
in the following form:

1 + sin ϕ cos 2 ρ
σr = γ z = γ z ξ ; σ z = γ z;
1 − sin ϕ cos 2 ρ
sin ϕ sin 2 ρ
σ rz = γ z = γ zξ . (18)
1 − sin ϕ cos 2 ρ

Since a horizontal load acts on the pile, it is possible to assume that the directions of active
stress σ1 are also horizontal in the vicinity of the lateral surface of the pile, and, consequently, ρ = 0,
cos2ρ = 1, and sin2ρ = 0. The stress state of the soil on the lateral surface of the pile will therefore cor-
respond to the condition:

1 + sin ϕ
σr = γ z ;
1 − sin ϕ
(19)
σ z = γ z; σ rz = 0.

It is logical that at a certain distance from the axis of the pile, which is equal to r = r0 + b 0,
complete attenuation of horizontal displacement will be observed due to the soil's shear resistance. In
that case, only downward displacement of the soil is theoretically possible under its own weight, for
example, as a result of incomplete consolidation, which usually occurs due to minor additional pres-
sures. At a distance r = b, consequently, ρ = 90 , cos2 ρ = −1, and sin2 ρ = 0, since the active forces
o

are vertical:

1 − sin ϕ
σr = γ z ;
1 + sin ϕ
(20)
σ z = γ z; σ rz = 0.

Intermediate σr values corresponding to ρ values of from 0 to 90 will exist in the section from
o

r = r0 to r = r0 + b0.
The result obtained is expected, since the stresses on the lateral surface of a circular pile may
attain maximum limiting values in its upper displaced zone, and correspond to the minimum stress state
at a certain distance from the pile. Considering the stress state of the soil support F on the lateral sur-
face of the active zone of the pile when its cross section is circular,

h r0 π / 4 1 + sin ϕ γ h 2 D 1 + sin ϕ
F = ∫ ∫ ∫ γ hz cos α dz dr d α = , (21)
00 0 1 − sin ϕ 2 1 − sin ϕ

where D = 2r0 is the diameter of the pile.

Comparison of (21) with (6) for solution of the problem under consideration in the plane state-
ment suggests their qualitative agreement. When used in calculations of plane solutions, however, this
comparison implies the need for the introduction of appropriate correction factors.
The relationships presented make it possible to account for nonlinearity of deformation phenom-
ena, and are based on use of actual standard strength and deformation characteristics ϕ, c, and E of
soils, and not on empirical coefficients as specified in regulatory documents.

223
REFERENCES

1. V. G. Fedovskii, S. N. Levachev, S. V. Kurillo, and Yu. M. Kolesnikov, Piles in Hydrotechnical

Construction. Educational Textbook [in Russian], Izdatel'stvo ASV, Moscow (2003).
2. B. V. Bakholdin and E. V. Trufanova, Certain relative comparisons between analysis of horizontally
loaded piles and experimental data, Proceedings of the International Scientific-Technical Conference
"Problems of Soil Mechanics and Foundation Engineering Under Complex Soil Conditions [in Russian],
Vol. 1, Ufa (2006).
3. V. B. Shakhirev, Performance of horizontally loaded piles: author's abstract of dissertation for
Candidate of Technical Sciences, Moscow (1966).
4. V. G. Berezantsev, Axisymmetric Problem of the Theory of Limiting Equilibrium of a Granular Medium
[in Russian], Gostekhizdat, Moscow (1952).

224