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By Don Deardorff, Ke Yang, Yingcai Han, Ken Sorensen, Robert Kruger, Mark Petersen, Diane Fiorelli, Larry Goldfarb, Kathryn Petek, Kwabena Ofori-Awuah

Design of deep foundations for lateral loads requires an understanding of soil-foundation-structure response during loading. Lateral loads on a deep foundation (piles) could be due to earthquakes, winds, waves, and/or machine vibrations. Over the years, analysis of response of piles due to lateral loads evolved from closed-form solutions to p-y methods to strain wedge to finite element/finite difference modeling. Although analysis of lateral response of piles and shafts is routinely performed, there is no single guidance document and/or standard for design and testing. Several different analytical methods are available for the analysis, and the resulting design can result in significantly different responses which can create confusion. This is especially true for analyzing and designing piles in potentially liquefiable soils with lateral spread issues under seismic conditions.This guidance document is intended to assist geotechnical engineers, pile designers, and contractors in analysis, design, and testing of piles and drilled shafts for lateral loads. This document discusses the background of different analytical and testing procedures and presents the recommended methods for analysis, design and testing of piles for lateral loads.Chapter 1 defines the different kinds of lateral loads to which a single pile or pile group may be subjected. This first chapter also presents different types of piles used to resist lateral loads.Chapter 2 discusses geotechnical issues related to lateral pile design such as liquefaction and lateral spreading and other non-seismic issues. Also addressed in Chapter 2 is geotechnical site characterization (as related to lateral loads) in terms of site investigation, in-situ testing, geophysical testing, laboratory testing, and estimation of soil/rock properties.Chapter 3 discusses the background and available analytical methods and tools for the analysis and design of single piles and drilled shafts. Several methods of analyses from closed-form elastic solutions to the finite element/finite difference solutions and their applicability are discussed. Available commercial computer software packages for analyzing single piles and drilled shafts are also presented.Chapter 4 expands the discussion of single piles and drilled shafts into the analysis and design of pile groups. In addition, group effects, resistance of pile caps, results of previous experimental and analytical studies, and available analysis tools and software for pile groups are discussed.Chapter 5 presents the issue of lateral resistance of piles and drilled shafts as discussed in different national and international building and non-building codes. A summary of extensive research on several codes are presented to facilitate the compliance with different codes.Chapter 6 discusses structural design issues of individual piles and drilled shafts such as depth of fixity.Chapter 7 discusses soil structure interaction issues related to kinematic and inertial effects due to seismic loading and available methods of analyses.Chapter 8 discusses and presents the typical procedures for the lateral load testing of piles. This guideline was developed as an aid to the practicing engineer in providing information, direction and commentary on the lateral design of deep foundations. Although all reasonable effort has been made to accurately compile the material and information contained herein, no warranty is made with regard to any such material or information and the Deep Foundation Institute assumes no responsibility for any possible errors or any direct or indirect result of the use of any such material or information. It is not intended that this document address every factor affecting lateral design for every situation. Therefore it is the responsibility of the person utilizing information from this document to confirm that it is appropriate and correct for their situation as well as to understand and properly apply

Jan 1, 2012

By Mary C. Nodine, Michael P. Walker, Paul Eggers, Donald E. Aubrecht

The CANALSIDE commercial development in Buffalo, New York serves to revitalize the former site of the Buffalo Memorial Auditorium, adjacent to Lake Erie. The Auditorium was constructed in 1940 and founded on steel H-piles driven to limestone bedrock. After decades of professional sport and entertainment events, the “Aud,” as it was locally known, was closed in 1996. It sat vacant until it was demolished in 2009, at which time plans were made to revitalize the area with shops, restaurants, and a historic replica canal. The only portion of the Aud that was left intact was a subbasement boiler room. The subbasement was renovated in 2014 and has since been used to house water and ice making equipment for the historic replica canals, which boast recreational ice skating in the winter. The subbasement floor was about 10 feet below groundwater and the Lake Erie water level. The floor consisted of an approximately 4-foot-thick layered inverted waffle slab system, with reinforced concrete grade beams and concrete infill between the grade beams. A waterproofing membrane was located near the base of the slab. There were no major seepage issues in the subbasement, so the existing waterproofing membrane was assumed to be intact and performing adequately. A four-story building housing a children’s museum was proposed to be constructed directly above the subbasement. The loads imparted by the new building would exceed the capacity of the existing piles, so it was determined that drilling micropiles through the subbasement floor would be the most practical means of supporting the new building. Drilling through the existing slab and waterproofing system was a concern due to the challenges of controlling water during construction and the importance of maintaining the integrity of the permanent waterproofing system.

Jan 1, 2018

By A. Boominathan

The behaviour of single piles under lateral dynamic loading is very critical and the study is still a current field of research since 1950's. Though many methods have been developed analytically to estimate the dynamic lateral stiffness, very limited dynamic testing on full scale piles were carried out to study the response of piles under lateral dynamic loading. Hence, field lateral dynamic vibration tests are conducted on driven precast concrete square pile of 400mm size and driven cast in-situ concrete piles of 400mm and 500 mm diameter at a petrochemical complexes site at Haldia (India). The results of steady state and free vibrations tests are discussed herein and compared with the response of the piles estimated from PILAY.

Jan 1, 2002

By Robert E. Schock, Eric J. Risberg

"Less than 20,000 years ago, the last of the glaciers retreated from the Chicago region. They left behind sheets of glacial clay till underlain by dense, over-consolidated till (“hardpan”) below which is the limestone bedrock, found about 100 ft (30.5 m) below street level. The most notable feature in this profile is the unusually soft clay till that has historically been called “Chicago Blue Clay.”But the founding fathers of Chicago really didn’t care about what was under the ground. They recognized the importance of the city’s location as a potential trade and transportation hub. With access to the East through the Great Lakes and access to the West through the Mississippi River system, the viability of the city was evident. Chicago’s population grew rapidly. The city continued to grow through the Civil War years, but was dealt a devastating blow in 1871 by the Great Chicago Fire, leaving the city in ruins. The Birth of the SkyscraperAfter the cleanup of the Great Fire came the first real building boom in Chicago’s history. During this era, buildings were generally founded on shallow footings bearing on sand or clay. Many multistory buildings were constructed between 1880 and 1890 on spread footings. The first tall buildings were constructed with load bearing masonry walls. These early tall buildings suffered significant settlement as the soft clay underwent consolidation.The Home Insurance Building, built in 1885, was 12-stories tall and is generally acknowledged to be the first “skyscraper” in the U.S. It was the first building constructed with an iron skeleton frame instead of load bearing masonry walls. Spread footings were used under the interior columns in an effort to better distribute the loads, but the building still experienced large settlements.Construction began for the Monadnock Building in 1891. The 17-story building was built using load bearing walls 7 ft (2.1 m) thick, supported on rail-grillage footing foundations. When completed in 1893, the Monadnock Building boasted the title “World’s Largest Office Building.” The total building settlement over the past 125 years has been measured at over 20 in (0.51 m). The engineering community in the late 19th century observed settlement, but did not yet understand the process of consolidation of the soft clay beneath the city. During this time, many of the new buildings required structural repairs during and after construction; the problem was especially acute in buildings where highrise towers joined lower podium structures."

Jan 1, 2016

By Richard J. Hartman

This presentation identifies some of the more common problems associated with cofferdam construction. After the various problems are identified, they are briefly explained and possible solutions and preventive measures are noted. Photographic slides used during the seminar illustrate the conditions. This discussion is limited to cofferdams which are braced structures excavated inside to allow access for construction. The common procedure is to drive sheet piling and then alternatively install bracing and excavate. They can be located either on land or in water. Loads are applied by soil, water, surcharge pres-sure, eccentricities, and impact loads. The loads are resisted by the sheet piling, the bracing, and the soil below the bottom of the excavation; each of these three components must be capable of resisting the applied loads.

Jan 1, 1987

By Josef K. Alter

Crosshole Sonic Logging (CSL) of drilled shafts requires 1.5-in (38-mm) or 2-in (51-mm) I.D. sonic access tubes to be installed inside the steel reinforcement cage. The sonic access tubes do not contribute to the structural capacity of the drilled shaft. The proposed use of Ischebeck TITAN T73/56 CSL/Hollow Threaded Rebar for Cross Hole Sonic Logging Access Tubes Combined with Longitudinal Concrete Reinforcing in Drilled Shafts (patent pending) is discussed as an alternative method of construction and CSL probe access. The T73/56 hollow threaded rebar/sonic access tube performs as a high strength rebar while at the same time creating a 2.2-in (56-mm) I.D. sonic access tube. The deformed high strength hollow bar provides better adhesion to concrete thus reducing the problem of debonding associated with smooth PVC and steel pipe. A cost comparison using conventional rebar with added sonic access tubes is discussed. The use of T73/56 CSL/Hollow Threaded Rebar as a value engineering alternative can reduce both material and labor costs for drilled shaft construction and can provide an advantage where anchor bolt cages and longitudinal reinforcing create congestion.

Jan 1, 2011

By Hyu-Soung Shin

This study is concerned with the characteristics of the behavior of steel-concrete composite drilled shafts, a material that is used for large bridge foundations, and especially for weak submerged ground conditions. Depending on the loading or boundary conditions considered, the behavior of foundation will vary. The bearing capacity of steel-concrete composite drilled shaft is influenced by initiation and propagation of fractures along the interface between steel casing and filled concrete. The interface effect is taken into account with the following two simplified cases: (1) detached model with free interface (no shear stiffness of interface) between concrete core and steel casing, (2) confined model by an upper steel cap with free interface. In the confined model, it is intended to have an unified behavior of composite shaft between concrete core and steel casing but there is interface between them. Intensive numerical studies have been undertaken to investigate detailed behavior of the composite shaft. In this study, 3-D finite element analysis is employed. Ground conditions typical of those encountered for the design of drilled shaft under water are considered affecting the behavior. Also, an attempt is made to generate possible combinations of the loads which have been considered in fields. Detailed characteristics of the stress and displacement distributions are evaluated to understand the mechanisms of composite shafts.

Jan 1, 2007

By Michal Topolnicki

"Discussed is the use of wet Deep Soil Mixing, generally executed with single mixing tools 0.8 to 1.6m in diameter, employed in the foundation of viaduct supports. The applications involve economical patterns of ground improvement, covering in average about 40% of the foundation area or less, which contribute to the competitiveness of DSM solutions when compared to traditional piling. The focus is on selected aspects of the geotechnical design, applicable for geo-composite systems in which the interaction between the stabilised and the native soil should also be considered. Evaluation of settlement can be carried out with simplified methods, accounting for punching effects, or with more advanced FE models in case foundation tilt or differential settlements become important. Potential bending of DSM columns should be considered when evaluating column stresses, especially when dealing with deep deposits of soft soil and/or foundations loaded with overturning moments and/or high horizontal forces. Statistical evaluation of UCS data using lognormal distribution is recommended, and a new classification system for DSM application is proposed. Field investigations and monitoring data from completed projects are also presented.INTRODUCTIONThe first applications of wet Deep Soil Mixing in foundation of road viaducts constructed across and along the newly built A2-highway in Poland took place in 2002. Following detailed analyses, it was concluded that 39 viaducts, originally designed to rest upon large diameter piles in order to reduce excessive settlement of individual supports, could also be founded directly on the ground improved with DSM columns, fulfilling all relevant requirements of serviceability and ultimate limit states (SLS and ULS, respectively). It was also noticed that shorter construction times and lower costs of ground improvement with DSM contributed to substantial economical savings as compared to classical piling. Since then, more than 250 road and railway viaducts have been successfully founded on DSM treated ground in Poland, and wet soil mixing is now seen as a reliable and widely accepted technology for this purpose. These applications, together with a parallel use of wet DSM for foundation of buildings, industrial halls and wind turbines, have drawn international attention to the state of practice of wet DSM in Poland for foundation of engineering objects. What follows is an attempt to summarise experience gained during planning and execution of DSM works for foundation of the majority of road and railway viaducts constructed in the last 13 years, with emphasis on selected design aspects and evaluation of collected data and observed performance.The design process of DSM treatment is iterative, as described e.g. in Annex B of EN 14679, and typically involves two main steps, i.e., the selection of the design strength of cemented soil, called soil-mix design, and the adoption of suitable column pattern, referred to as geotechnical design. Soil-mix design was initially based on purposely arranged simple laboratory tests, involving mixing of soil specimen with different cement types and dosages and subsequent strength testing. However, with a growing number of completed projects the accumulated field strength data of different stabilised soils have been more and more frequently used, reducing the need for preceding laboratory testing of soil-mix to special projects only. Information on cement factors utilised in Poland and the range of recommended compressive strengths for different stabilised soils, as well as on mixing tools and characteristics of the wet method applied, can be found in Topolnicki (2008). Consequently, soil-mix design is not further discussed herein. Selected aspects of the geotechnical design are the main focus."

Jan 1, 2015

By Timothy C. Siegel

Accurate representation of the geotechnical resistance distribution is critical in evaluating the performance of piles and pile groups for design. A current practice is to infer the geotechnical resistance distribution based on measured changes in strain during conventional top load pile testing. Especially for drilled and bored piles, the residual load is typically assumed to be negligible both during testing and after the application of the structure load. A practical result is that the compressive structural load is anticipated to be opposed primarily by the shaft resistance with little or no mobilized toe resistance. The predicted top deflection is estimated as the combined elastic compression plus the movement necessary to mobilize shaft resistance. The development of residual load (and associated negative skin friction) results in a significantly different design condition. Negative skin friction tends to force the pile into the ground and develops residual load in the pile that contributes to the internal compressive load. Significant toe resistance can be mobilized in order to resist the combination of negative skin friction and the sustained compressive load. The pile movement becomes a function of the toe penetration required to mobilize sufficient resistance to reach a balance of forces. In an effort to study the development of residual load in augered cast-in place (ACIP) piles, the authors installed and monitored strain gages that were embedded in an 18-inch diameter ACIP pile at a site in southeast Georgia. The results of this study indicate that residual load develops over time and reaches a distribution that is consistent with the principles of the unified design of piles. It is concluded that residual load develops in ACIP piles (as well as all drilled and bored piles by the same mechanisms) and that the residual load should be considered in the interpretation of load tests and in the pile design, particularly in the estimation of the single pile and pile group settlement.

Jan 1, 2009

By Arash Khosravifar

The seismic design of extended pile shafts for the combined effects of dynamic shaking and liquefaction-induced lateral spreading is investigated using nonlinear dynamic finite element analyses (NDA). Results of NDA parameter studies are used to illustrate how inertia and lateral spreading loads combine during shaking. The NDA results are used to evaluate equivalent static analysis (ESA) methods. Implications for design practice are discussed.

Jan 1, 2010

By Anil Bhandari

Using subsurface data collected at each drilled shaft location is an ideal approach for conducting drilled shaft design. However, conducting subsurface tests at each drilled shaft location and subsequently performing the drilled shaft design can be a daunting task for a noise barrier wall that is divided into six (6) sections and stretches for approximately four (4) miles. In addition, having individual drilled shaft designs complicates the construction process. Grouping the subsurface conditions into broad categories and performing the design for each of those categories is an attractive alternative to the design per boring approach. Currently there are no existing guidelines to aid a designer on grouping the subsurface conditions for the drilled shaft design for the noise barrier walls. Therefore, a method was developed based on the Standard Penetration Test (SPT) N values of the near surface soils to categorize the soil profiles into distinct categories. Since the soil engineering properties of the near surface soils are known to be critical for drilled shaft lateral capacity, these soils were emphasized in the methodology. This method was successfully implemented for the design of drilled shafts supporting the noise barrier walls along the I-20 in Columbia, SC. For this project, two distinct soil profiles, labeled as ?strong? and ?weak?, were used. An overview of the soil profile grouping methodology is presented as well as the vertical and lateral drilled shaft capacity analyses for this project for the two general soil profiles. The analyses indicated that the axial capacity governed the design in the ?weak? soil profile and the lateral capacity controlled the design in the ?strong? soil profile. However, this is not a generalization and whether the axial or the lateral capacity governs the design of drilled shaft depends on the soil profile and design loads. Nonetheless, our findings emphasize that both lateral and axial capacity should be checked for drilled shaft design even when the vertical load are minor.

Jan 1, 2011

By R. J. Yan

There was a plant equipped with a 32000t Hydraulic Press to be built, under which a box foundation of 22.5m x 15m x 14.25m (depth) with a base slab of, varying thickness was proposed. The subgrade reactions, bending moments and settlements needed to be determined by means of in-situ model test. A model of the same materials as the prototype scaled to l/10 was embedded in-situ with simulated depth in the bedrock. A lot of data obtained from 39 bench marks, 32 elongation measuring points, 30 couples of electric resistance strain gauges and 24 pressure cells attached to the model foundation enables all the quantities required to be found out. Since it was put into operation, the settlements measured has reasonably agreed with the test results and the foundation has been in good condition.

Jan 1, 2010

By Janaka J. Kumara, Takashi Kurashina, Yoshiaki Kikuchi, Takahiro Yajima

"The inner frictional resistance of open-ended piles depend heavily on the degree of soil plugging. Many factors including pile diameter, relative density and end conditions of the piles influence the degree of soil plugging. In this paper, the effects of inner sleeves attached at the pile base on the inner frictional resistance are discussed. The experiments were conducted on a medium-dense sandy ground using smallscale model piles. The results suggest that the inner frictional resistance is influenced by sleeve height for 50 mm diameter piles although it is independent for 30 mm diameter piles. The results also indicate that soil plug height is influenced by the sleeve height. The results of the incremental filling ratio (IFR) showed that penetration of non-sleeved piles is closer to unplugged state than the sleeved piles. The results of the IFR also reveal that the degree of soil plugging is affected by the sleeve height for 50 mm diameter piles although the variation is very limited in 30 mm diameter piles. The results on the coefficient of lateral earth pressure suggested that it increases from 1.08 – 1.75 when the sleeve height is increased from 10 – 100 mm for 50 mm diameter piles.INTRODUCTIONPrevious studies have shown that the behaviour of open-ended piles is different from closed-ended piles (Szechy, 1961; Randolph et al., 1979; Paikowsky and Whitman, 1990). Open-ended driven piles are widely used for deep foundations, in particular in offshore deep foundations. Generally, it is accepted that a short open-ended pile produces a smaller bearing capacity than a similar closed-ended pile (Nauroy and Tirant, 1983). However, a long open-ended pile can produce a similar bearing capacity as a closed-ended pile due to a large inner frictional resistance mobilised between the inner pile shaft and inner soil (Lehane and Randolph, 2002). The ultimate bearing capacity of an open-ended pile, Qu consists of three components as given in Eq. 1."

Jan 1, 2017

By Dan Brown

A method is outlined for computing the contribution of a micropile group to global stability of a sliding mass. The forces in the micropile are computed in a way which accounts for the effect of soil mass movement on the mobilization of axial and shear forces and which maintains compatibility between shear and axial force as a function of displacement. The method provides a rigorous model to incorporate the pile forces into the stability calculations, including the effect of pile forces on the resultant shear and normal forces at the sliding surface. This paper demonstrates the proposed solution using a simple example slope.

Jan 1, 2007

By Gerald Verbeek, Erick Baziw

Dynamic soil analysis (DSA) in geotechnical practice is intimately related to the capability of measuring the necessary soil properties of shear modulus and absorption. In DSA the methods of analysis are based upon the stress-deformation response of soils due to imposed shear strains. Typically the soil profile is numerically modeled as linear visco-elastic system. This technique is referred to as the Equivalent Linear (EL) method, and it requires the specification of the input parameters of low-strain (<10-5) shear modulus, modulus reduction, and the equivalent viscous damping ratio, which is directly related to the soil absorption value. Downhole seismic testing (DST) has proven to be a very accurate tool for estimating low strain shear modulus values as long as source wave raypaths are taken into account, especially for near-surface investigations. DST has also been utilized to estimate low-strain interval absorption values. In these cases standard frequency domain absorption estimation algorithms (such as the spectral ratio technique) are utilized where it is assumed that the source waves are traveling along the same travel path, which is obviously not the case for near surface DST investigations. This paper outlines a unique DST absorption estimation methodology, which is carried out in the time domain and takes into account source wave travel paths. 1. INTRODUCTION There is considerable interest in methods of geotechnical in-situ engineering that provide accurate estimates of the shear wave velocity and the associated absorption values in the ground, since these parameters form the core of mathematical theorems to describe the elasticity/plasticity of soils and they are used to predict the soil response (settlement, liquefaction or failure) to imposed loads (whether from foundations, heavy equipment, earthquakes or explosions).

Jan 1, 2019

By Dario Libano

"The Line 5 Extension, in Sao Paulo, Brazil, is currently the most important investment in public transportation by Sao Paulo’s state government. It will connect the south part of the city to the city center, crossing through four other major Metro lines and stations; all currently in operation. The total extension of the line is 11 km (6.8 mi), and includes a new parking yard for the trains and 11 new stations. The Brooklin Station, one of the new stations due to be open and operating in 2016, has a unique geometry of five secant shafts.The original design included constructing five secant shafts stabilized by two plastic slurry walls using conventional grab technology. One slurry wall, along the Santo Amaro Avenue, was to contain the contamination plumes, and another was for temporary support to enable the excavation of the shafts. The final retaining wall design was changed to a concrete structural diaphragm wall that reduced the construction time of the shafts by half, allowing the contractor to meet the construction schedule. This solution also avoided dewatering effects in a geological region characterized by Quaternary sediments and environmental contamination plumes. It was the first time that a hydromill was used in such a situation in Brazil. The hydromill, by overcutting the panels, increased the quality of the joints, and decreased the probability of having seepage into the shafts. The hydromill also created a seepage barrier and avoided movement of the contaminated plumes.The GeologyLocal geology is composed of a superficial Quaternary soil, basically soft organic clays and sands and gravels. From the depth of 8 m (26 ft) until 18 m (59 ft), geology is composed by tertiary medium compact sand with thin silt-clay layers. From 18 m (59 ft) down, there are alternations between compact silt-sands layers with very hard clays layers. Each is approximately 5 to 10 m (16.4 ft to 33 ft) thick.The Initial Basic DesignThe original basic design of the Brooklin Station was to be constructed from five 40 m (131 ft) diameter intersecting circular shafts, all in a line along the axis of the Metro tunnel, in 555 days. In the excavation sequence, the odd shafts were first excavated, waterproofed and had part of their inside cast-in-place structure built before the even shafts were excavated. During the excavation of the even shafts, part of the odd shaft’s support was demolished and connected with the even support. A 0.8 m (2.6 ft) thick plastic slurry wall, acting together with the wire mesh reinforced shotcrete support, ensured the excavation stability around the five shafts."

Jan 1, 2014

By Jom Gentry

Acrylamide chemical grout (C3H2NO) has been successfully used for over 50 years to control groundwater and stop infiltration. This paper will address three unique projects involving the control of groundwater with each study providing special circumstances and geological conditions: encapsulation of radioactive hazardous waste in the United States, a tailings dam for a large copper/gold mine in Argentina and 27 miles of leaking subway in Canada. The primary reasons for selecting acrylamide grout were based on the following characteristics: thinnest chemical grout on the market, a true solution grout which contains no suspended solids in the blended product, flexible gel set times, and a 362 year half-life in soil as determined by the U.S. Department of Energy.

By Jon Sinnreich

Ensuring the accuracy of collected data during deep foundation static load tests is of paramount importance. Typically, pile head displacements are measured relative to a purpose-built reference system, which is assumed to be fixed. This study presents a simplified error analysis of this assumption, illustrates the potential magnitude of these errors, and proposes an improved method of pile head displacement monitoring.

Jan 1, 2009

By Patrick J. Hannigan

The pile foundation designer typically performs a subsurface exploration program and static pile capacity calculations before selecting a pile foundation type, length, and capacity. During construction, a pile installation criterion must be established to meet these design requirements. This installation criterion usually consists of a minimum penetration resistance or blow count to confirm pile capacity and may also include a minimum embedment requirement. This text will focus on use of wave equation analysis and dynamic measurements to meet design requirements. BEFORE THE WAVE EQUATION Since the mid-1800s, over 450 dynamic formulas for pile driving control have proliferated. In their simplest form, these formulas relate hammer energy to the work of soil resistance, or simply: W ? h = R ? s (1) Where W = ram weight h = ram drop height or stroke R = pile capacity s = pile penetration per blow

Jan 1, 1990

Jan 1, 1989