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Ocean Engineering
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A R T I C L E I N F O A B S T R A C T
Keywords: Offshore wind farms are currently being constructed worldwide, and most of the Wind Turbine Generator (WTG)
Offshore wind turbines structures are supported on single large-diameter steel piles, commonly known as monopile. One of the chal
Soil structure interaction lenging design aspects is predicting the long-term deformation of the foundation and, in particular, the accu
Soil resisting capacity
mulation of rotation which is a complex Soil-Structure Interaction (SSI) problem. Accumulation of rotation
Load utilisation
requires the estimation of Load Utilisation (LU) ratio (i.e., ratio of the load-carrying capacity of the foundation to
Moment capacity
Lateral capacity the applied loads from wind and wave). Estimation of LU for monopile is not trivial due to the simultaneous
action of lateral load and moments and needs the introduction of interaction diagram concepts. This paper
proposes methodologies to obtain LU for monopiles using three types of methods: (a) Simplified method, which is
based on closed-form solution (where the load effects are uncoupled) and can be carried out using spreadsheets
or pocket calculators; (b) Standard method based on non-linear Winkler spring (also known as p-y method) where
the load effects are also uncoupled; (c) Advanced method, which uses Finite Element Method (where the load
effects are coupled). Examples of monopiles are taken from European Wind Farms covering different ground
profiles: Gunfleet Sands (clay profile), Walney-I (sandy profile), London Array-I (layered profile) and Barrow-II
(layered profile) sites are analysed using all three methods. It is hoped that the methodology will be helpful in the
design optimisation stage.
* Corresponding author. Department of Civil and Environmental Engineering, Faculty of Engineering and Physical Sciences, University of Surrey, Guildford, Surrey,
GU2 7SU, United Kingdom.
E-mail addresses: m.aleem@surrey.ac.uk (M. Aleem), S.Bhattacharya@surrey.ac.uk (S. Bhattacharya), l.cui@surrey.ac.uk (L. Cui), sadra.amani@surrey.ac.uk
(S. Amani), abdelrahman.salem@arcadis.com (A.R. Salem), saleh.jalbi@seaandland.co.uk (S. Jalbi).
https://doi.org/10.1016/j.oceaneng.2022.110798
Received 10 August 2021; Received in revised form 14 January 2022; Accepted 6 February 2022
Available online 19 February 2022
0029-8018/© 2022 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-
nc-nd/4.0/).
M. Aleem et al. Ocean Engineering 248 (2022) 110798
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Arany et al. (2017) and Bhattacharya (2019) showed that five load
Fig. 6 depicts the concept whereby the Load Utilisation ratio for ULS Fig. 5. Typical Moment-Horizontal force interaction curve (Aleem et al., 2020).
loads (i.e., Resistance divided by Actions or R/A, which is also suggested
in Eurocode concept (Eurocode 2, 2011). As mentioned before,
depending on the chosen soil model and the failure criteria, a yield
surface can be mapped, and therefore this is non-unique. It is relatively
straightforward to find the Moment Carrying Capacity (MR) of a foun
dation system in the absence of any lateral load (i.e., a special case of H
= 0). Similarly, one can find Lateral Load Carrying Capacity (HR) of the
same foundation system in the absence of any moment (i.e., special case
of M = 0). For standard engineering design calculations, a linear line
joining MR and HR can be used as a simplified Yield Surface and is shown
as Line 2 (Idealized) in Fig. 6. Each design load case (DLc’s), i.e., the
combination of Hi and Mi, can be mapped in the H − M space. Fig. 6
shows a particular load case depicted by Hi and Mi, and a line may be
drawn connecting this point and the origin (shown as Line 1 in Fig. 6).
The Load Utilisation (LU) ratio is given by the ratio of the load car
rying capacity of the foundation (R i.e. Resistance Magnitude) to the Applied
Load combination from wind and wave (A - Action) which can be visualised
in Fig. 6. This is essentially a geometrical representation of the safety
factor against ULS considering both lateral load and moment. Load
Utilisation (LU) ratio for a particular load case is also the notional Factor
Fig. 6. Profile of lateral and moment load resistance capacity.
of safety (FOS) under combined load. It can be defined as (R/A), and the
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Table 2
Representative design environmental scenarios as load cases chosen for foundation design.
Name & description Wind Wave Alignment
model model
cases are necessary for conceptual foundation design, as shown in portions of the curve, and the intersection can be chosen as the MR. It
Table 2. may be noted that it is assumed that the pile will not yield structurally.
Similarly, another set of FEA analyses can be carried out whereby
1.3. Obtaining MR and HR only lateral loading is applied at the top of the foundation. The lateral
load-deflection relationship may be plotted schematically in Fig. 8,
The first step in estimating the utilisation ratio is to obtain the MR which is usually a curve. Tangents may be drawn in the initial and final
and HR, i.e. the capacity of the foundation. One of the three methods portions of the curve, and the intersection can be chosen as the HR. It
(Simplified, Standard or Advanced) can be used. If numerical analysis is may be noted that the intrinsic assumption is that the pile will not yield
used, one can use the definition of MR and HR as provided in Fig. 7 and structurally.
Fig. 8, respectively which is essentially double-tangent method. Brief The simplified method is based on a closed-form solution which can
details of numerical methods are provided in Appendix-A. be easily implemented in a spreadsheet type software for various ground
Beam on Winkler Foundation (also known as p-y analysis) or Finite profiles. These methods take less time to compute, and the judgment is
Element Analysis (FEA) analysis can be carried out whereby only needed for pressure distribution under the action of lateral loads. The
moment loading is applied at the top of the foundation. The moment- readers are referred to Fig. 9 for various types of proposed distribution
rotation relationship can be plotted as shown schematically in Fig. 7, based on the work of Broms B. (1964a, b), Reese et al. (1974), Fleming
which is usually a curve. Tangents may be drawn in the initial and final et al. (1992). These are adopted by API (2007) and DNV, (2016). Further
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Fig. 9. Shows the different methods of pu distribution. (a) (Hansen, 1961) (b) (Broms, 1964a) (c) (Fleming et al., 1992) (d) (Reese et al., 1974) (e) (Prasad and Chari,
1999) (f) (Broms, 1964b) and (Jalbi et al., 2019).
Table 3
Geotechnical data for Walney-1 (Sandy Site).
Parameter Symbol Value Unit
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Fig. 11(b) shows the Load Utilisation Ratio based on the DLc-I load
FOS (i) = 3.1
case by considering the hardening soil yield surface. It may be noted that
the Yield surface used is based on a straight-line assumption joining MR Similar processes were carried out for other failure curves with
and HR. determined LU values listed in Table 6. It can be observed from Table 6
A typical calculation based on Equation (3) for the determination of that FE analysis with the Mohr-Coulomb model provides the upper
load utilisation is shown below (DLc-1): bound estimate, and API (2007) based calculations shows the lower
Using Line equation-1 (DLc-I) bound estimate. The reason is obvious as FE provides closest to reality.
√̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
2
̅
2
(6x1289x57.1) +(281.24x1289x57.1)
(281.24x57.1+1289x6)2 1.3.3. Example application 2: Gunfleet Sands (clay site)
LU(i) = FOS (i) = √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
281.242 + 6.02 The case study of Gunfleet sands (Siemens SWT-3.6-107) is used to
show the methodology for the clayey soil profile. The input parameters
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Table 6
Moment and lateral resistance for Walney-I.
Computation Method Lateral Moment LU LU
Resistance Resistance for for
(HR) (MR) DLc-I DLc-II
(MN) (MNm) (− ) (− )
Table 7
Geotechnical Data for Gunfleet Sand (clayey site).
Parameter Symbol Value Unit
Table 4
Turbine properties.
Rated power 3.6 MW
Table 5
Design load cases for Walney-I.
Design Load Description Horizontal Overturning
Cases (DLc) Force (MN) Moment (MNm)
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Table 8
Moment and Lateral resistance for Gunfleet Sands.
Computation Method Lateral Moment LU LU
Resistance Resistance for for
(MN) (MNm) DLc-I DLc-
II
for multi-layered soils is plotted in Fig. 15. The readers are referred to
the work of Davisson and Gill (1963) and Gupta and Basu (2016) for
details of analysis.
The monopile is also modelled using standard method and PLAXIS-
3D. The results are shown in Fig. 16 are also summarised in Table 9. It
may be noted that advanced method provided upper bound estimate and
API method gives the lower bound estimate.
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Table 9
Moment and Lateral resistance for Barrow-II.
Computation Method Lateral Moment LU for LU for
Resistance Resistance DLc-I DLc-II
(HR) (MR)
(MN) (MNm)
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
standard method based on API p-y approach provides a lower bound Sadra Amani: Execution and writing. Abdel Rahman Salem: ORCID.
estimate of load-carrying capacity and that the simplified method is in Saleh Jalbi: Checking, Dr .
good agreement with the Advanced method.
Declaration of competing interest
CRediT authorship contribution statement
The authors declare that they have no known competing financial
Muhammad Aleem: Execution and writing. Subhamoy Bhatta interests or personal relationships that could have appeared to influence
charya: Conceptualization, and Resources, Prof . Liang Cui: and Dr. the work reported in this paper.
Pile foundations transfer the loads in axial and lateral directions from the superstructure to the neighbouring soil without significant deflection. It
is essential to understand the mechanism of load transfer for design and analysis. The transfer of axial load to the ground is done by base resistance and
shaft friction. Under lateral loading, the pile behaves as a transversely loaded beam and may undergo bending, rotation or translation (Fig. A-1).
Pile can deform in different manners depending upon the relative pile-soil stiffness and the boundary conditions i.e. pile head constraint. Shorter
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
piles tends to rotate and translate but may not necessarily bend. On the other hand, flexible piles will bend under the applied load. The stiffness of the
pile depends on the soil stiffness, the length of the pile and cross-sectional properties. The ultimate lateral resistance is the combination of failure in
pile material or soil failure. The soil failure in laterally loaded piles is characterised by two failure mechanisms (Fig. A-2).
Simplified approach
Broms (1964a) estimated the ultimate soil pressure, pu , applied on pile for cohesionless soil expressed as:
Equation A1
′
pu = 3σv Kp Dp
where
1 + sinφ’
Kp = Equation A2
1 − sinφ’
σ v is the effective vertical stress in soil; Dp is the pile diameter. The formulation assumes that the active pressure behind the pile can be ignored, and
′
the resistance along the pile front is three times of Rankine passive pressure. The cross-sectional shape has no effect on the resistance, and the dis
tribution of pressure with depth is linear and is dependent on the effective stress σ v recommended by Elson (1984). Broms (1964b) also suggested the
′
simplified distribution for cohesive soil that ignored the resistance between the ground surface and 1.5Dp depth. A constant value of 9SuDp is used
below that depth. Matlock et al., (1980) provided formulations for change in ultimate soil resistance as:
For z < Zcr
( )
Su z
Equation A3
′
pu = Dp 3Su + σ v + J
DP
For z > Zcr
pu = 9Su Dp Equation A4
⎛ ⎞
⎜ 6Dp ⎟
where. Zcr =⎜ ⎟
⎝γ′ Dp +J⎠
Su
Su is the undrained shear strength of soil; γ is the effective unit weight of soil; the recommended J value for stiff clay is 0.25 and 0.50 for soft clay.
′
The ultimate soil resistance value increases from 3Su to 9Su and remains constant throughout the depth, and this method is recommended by the API
(2007). Reese and Welch (1975) provided different pile strength variations in stiff clay below the water table, where soil resistance increases from 2Su
to 11Su. According to DNV, (2016) and API codes, the stiff clay properties are more brittle than soft clay. Hansen (1961) proposed an equation for both
sand and clay as:
( )
pu = Dp σ v Kq + Su EquationA5
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Kq is the factor dependent on the angle of friction ф and depth; for sandy soils, the value of the value of Kq can be taken from Broms (1964a)
equation as 3Kp and can be used for layered soils. Reese et al. (1974) approximated the formulation, which considers the failure mechanisms and takes
the lesser soil wedge and plastic flow failure. Borgard and Matlock (1980) adjusted the empirical method derived from Reese et al. (1974), which
consider the failure mechanism with the increment in-depth as:
z > Zcr pu = C3 Dp γz Equation A6
( )
z < Zcr pu = C1 z + C2 Dp γz Equation A7
Reese et al. (1974) simplified the expression by grouping the terms dependent on ф, whereas C1 C2 and C3 are functions of ф (API, 2007)
reproduced here in Fig. A-3
In summary, various methods have been proposed to find out the response of laterally loaded piles making it complex to predict the actual value of
pu . The lateral resistance of the pile in clay is generally expressed in terms of lateral bearing capacity factor, Np , as
Pu
Np = Equation A8
cu Dp
The value of Np increases with the increase in depth, initially from a weaker value at the ground surface to the highest value at a certain depth and
remains constant after that, corresponding to plane strain soil movement around the pile. Various expressions have been proposed based by Matlock
et al. (1980), Reese and Welch (1975).
The method is based on Broms (1964a) for cohesionless soil and Fig. A-4 is the problem statement. The pile is be assumed to rotate about a point (at
a distance z = h from top of the pile) and that the pile exhibits a rigid behaviour. Considering horizontal equilibrium, the following expression can be
obtained:
( 2 ) ( )
h2 L h2 L2
Equation A9
′ ′ ′
H = Dp Kγ − − DP Kγ = h2 − DP Kγ
2 2 2 2
Similarly, considering moment equilibrium and by taking moment about the top of the pile, we get Equation A-10.
( 3 ) ( 3 )
h3 L h3 L − 2h3
Equation A10
′ ′ ′
M= − Dp Kγ + − DP Kγ = DP Kγ
2 3 3 3
Taking h as a common variable, an interaction curve can be obtained as follows:
( )2 ( )3
1 3M H 1
− = + Equation A11
L2 Dp Kγ 2
′
2 2L3 Dp Kγ ′
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
One can get MR (i.e. Moment Resistance in the absence of lateral load) by setting H as zero.
( √̅̅̅ )
2 − 1 L3 ′ ′
MR = √̅̅̅ DP Kγ = 0.09 Kγ DP L3
3 2
Similarly, HR can be obtained by setting moment (M) to zero.
(√ )
32 − 1 L2 L
EquationA13
′
H = HR = DP Kγ h = √ ̅̅̅
2 3
2
Example of Walney-I
Geotechnical properties of the Walney-I site are given in Table 3. The diameter and length of the monopile is 30 and 6m, respectively. The
kN
submerged unit weight of the soil is 8.5 m3 and internal friction angle is ∅ = 33 . The value of K is taken as 3Kp .
◦
1 + sin∅ 1 + sin 33
K =3× =3× = 10.2
1 − sin∅ 1 − sin 33
( ) ( 3 )
L3 − 2h3 ′ 30 − 2(21.2)3
MR = DP Kγ = × 6 × 10.2 × 8.50 = 1372 MNm
3 3
It may be noted that the pivot point for MR calculation is. h = √L̅̅2 = 21.2
HR can be estimated as follows:
( ) ( )
L2 ′ 302
HR = h2 − DP Kγ = 23.82 − × 6 × 10.20 × 8.50 = 60.6 MN
2 2
Following Broms (1964b), the pressure distribution is shown in Fig. A-5, whereas h is assumed pivot point. It must be mentioned that this model
does not consider the reduced capacity in clays due to vertical loads.
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Considering moment equilibrium and taking moment about the pivot point:
h2 (L − h)2
M + Hh = Dp Nc Su + Dp Nc Su EquationA15
2 2
Combining the above two equations, the following is obtained,
( )
Dp Nc Su L2 − 2h2
M= EquationA16
2
One can estimate MR when H = 0, which provides an
L2 L
MR = Dp Nc Su when the pivot point is h = EquationA17
4 2
One can estimate HR when M is zero (in Equation A-16) which gives the following:
(√̅̅̅ ) L
HR = 2 − 1 LDp Nc Su and when the pivot point h = √̅̅̅ EquationA18
2
The geotechnical properties of Gunfleet Sands are given in Table 7, where the length and diameter of the pile is 38 and 5m, respectively, having the
undrained shear strength Su = 50 kN/m2 .
HR = (2(26.9) − 38) × 5 × 9 × 50 = 35.5 MN
L
h = √̅̅̅ = 26.9
2
382 − 2(19)2
MR = × 5 × 9 × 50 = 812.250 MNm
2
L
h= = 19
2
It may be noted that the above formulation is valid for uniform clay.
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
Fig. B-1. Winkler Model for pile design [Adopted from PISA model]
The limitation of the Winkler Approach is that every soil spring responds independently and ignores the transfer of shear between the layers of soil.
As a result, there will be a significant contrast of stiffness.
Numerous methods have been published to predict the response of a single pile under lateral loading (Bhattacharya et al., 2021; Desia, 1975;
Hetényi, 1950; Krishnaveni et al, 2016; Li and Gong, 2008; Sun, 1994). Li and Gong (2008); Anders Hust Augustesen et al. (2009) developed some
equations using the fundamental basis of mechanics for the pile-soil system. The method considered both the fixed and free head piles in four-layered
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M. Aleem et al. Ocean Engineering 248 (2022) 110798
soil with the advantage of predicting the preliminary response of laterally loaded piles.
Advanced method (FE Approach)
These are continuum-based, advanced 3D finite element packages, highly computationally demanding and can model any type of complex ge
ometry. These packages are highly expensive and require a well-trained engineer to run the analysis. Finite element analysis PLAXIS 3D is used to carry
out the analysis because of several built-in soil models.
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