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Lateral Deflection of Horizontally Loaded Rigid Piles in Elastoplastic Medium

Article  in  Journal of Geotechnical and Geoenvironmental Engineering · March 2013

DOI: 10.1061/(ASCE)GT.1943-5606.0000771

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 Technical Note

Lateral Deflection of Horizontally Loaded Rigid

Piles in Elastoplastic Medium
Ernesto Motta1

Abstract: This paper deals with the design of rigid piles under lateral load. In many practical situations pile displacements may be the limiting
factor in the design; thus, an allowable displacement analysis instead of an allowable stress analysis may be more appropriate in the foundation
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design. A nonlinear elastoplastic closed-form solution for the evaluation of the response of rigid piles under lateral load is presented. The de-
rived equations allow determining the lateral displacement and load distribution for a given combination of the applied forces, H0 and M0 , at the
pile head. The approach can be applied either for cohesive or cohesionless soils. For greater generality, the solution has been given in nondimensional
form. A comparison with the Broms solution for a free rigid pile in cohesionless soil is also presented. Comparisons with experimental results show
that the proposed approach may fit in a reliable way the nonlinear load-displacement response of a free rigid pile. DOI: 10.1061/(ASCE)GT.1943-
5606.0000771. © 2013 American Society of Civil Engineers.
CE Database subject headings: Piles; Shafts; Rigidity; Design; Lateral loads; Deflection; Elastoplasticity.
Author keywords: Piles; Shafts; Rigid piles; Pile design; Lateral load; Lateral deflection; Analysis.

Introduction
In the design of rigid piles under lateral loads it is of great importance
to determine the allowable working load as well as to evaluate the
shaft lateral displacement. In a rigid pile failure takes place when the
lateral resistance of the soil is fully mobilized along the whole
length. Matlock and Reese (1960) have shown that the rigidity of
a pile is strictly dependent on the ratio of the flexural stiffness of the
pile, EI, and the foundation soil modulus, Es . Methods to determine
how the pile will behave in relation to lateral load have been pro-
posed by Vesic (1961), Davisson and Gill (1963), and Lytton (1971).
Kasch et al. (1977) compared results obtained with various methods
and found that these methods led to similar results. Kasch et al.
(1977) also found that the ratios of the length to diameter, L/D, which
could be used to classify a pile as rigid, should not exceed a value of
∼6. Many authors considered the failure of a soil-pile system based
on a given pile deflection. For example, Coyle and Bierschwale
(1983) assumed as the ultimate lateral force on a rigid pile in clay the
value that induces a pile rotation of 2
.
A practical approach for evaluation of the limiting lateral re-
sistance of rigid piles was given by Broms (1964a) for cohesionless
soil and by Broms (1964b) for cohesive soil. Based on the rigid-
plastic behavior of the soil-pile interaction, the method does not
allow estimating the lateral deflection of the pile. However, in many
practical situations pile displacements may be the limiting factor in
pile design. Thus, an allowable displacement analysis instead of an
allowable stress analysis may be more appropriate in foundation design.
Prediction of horizontal pile displacement under working loads
can be carried out by simply assuming an elastic behavior of the
1
Associate Professor, Dept. of Civil and Environmental Engineering,
Univ. di Catania, 95125 Catania, Italy. E-mail: emotta@dica.unict.it
Note. This manuscript was submitted on July 20, 2010; approved on May
14, 2012; published online on May 16, 2012. Discussion period open until
August 1, 2013; separate discussions must be submitted for individual
papers. This technical note is part of the Journal of Geotechnical and
Geoenvironmental Engineering, Vol. 139, No. 3, March 1, 2013. ©ASCE,
ISSN 1090-0241/2013/3-501–506/$25.00.
surrounding soil; however, even under low working loads the soil
may reach its limiting lateral load somewhere. In fact, experimental
evidence has shown that an elastoplastic model for surrounding soil
is more appropriate than a simple elastic model in providing better
prediction of the pile movement and bending moments (Ismael and
Klym 1978). The p-y method developed by McClelland and Focht
(1956) is a useful procedure for the design of piles and drilled piles
under lateral loads. The reaction of the soil is related to the lateral
movement of the pile by means of nonlinear load transfer functions.
Methods to estimate the p-y curves were developed by many authors;
however, these approaches do not lead to closed-form solutions.
On the other hand, numerical procedures are not justified in many
circumstances. Therefore, simplified procedures may be adopted for
quick estimation of lateral displacements in single piles. For ex-
ample, analytical solutions have been presented by Hsiung (2003)
and Hsiung et al. (2006). Some elastic-plastic solutions were also
given by the writer for the case of a laterally loaded long single pile
(Motta 1994a) and an axially loaded long single pile (Motta 1994b)
based on the load-transfer concept. More recently, Klar and Randolph
(2008) presented a load-displacement solution based on energy
minimization. Usually, these simplified approaches assume that the
limiting lateral load is constant with the depth but many soils, such as
normally consolidated clays or sands, may exhibit a limiting lateral
load that increases linearly with the depth.
In this paper, an elastic-perfectly plastic behavior for p-y curves
is used and the behavior of single rigid piles against transversal
forces is investigated. The limiting lateral load was assumed either
constant or increasing linearly with the depth. Some closed-form
solutions were deduced that take into account the nonlinear be-
havior of the soil-pile interaction. These solutions can be used in
practical situations for quick prediction of the soil-pile response in
rigid piles in terms of soil reactions and lateral deflections under
working loads.
Theoretical Analysis
The analysis presented here was carried out for a limiting lateral load
that was either constant or increasing linearly with the depth. The

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 following assumptions have been made to derive general expres-
sions for the soil-pile response:
1. The pile is assumed infinitely stiff and the only motion allowed
is pure rotation as a rigid body around a point located at some
depth below the ground surface.
2. An elastic-perfectly plastic behavior of the p-y curves has been
adopted to simulate the interaction of the pile with the sur-
rounding soil as shown in Fig. 1. Therefore, the soil reaction,
which is simply assumed as a function of the pile movement,
will be elastic until a limit value of the horizontal displacement
is reached.
3. The stiffness, Es , of the p-y load transfer functions is constant
with the depth.
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• Case 3: In this case, the applied forces are strong enough to yield
the soil also at the bottom of the pile and for a certain depth b
[Fig. 2(c)]. The soil-pile interaction will be purely elastic only
in the middle part (L 2 a 2 b) of the pile. The total failure of the
soil-pile system will occur when the horizontal forces increase
and a 1 b 5 L.
Some general expressions can be deduced as will be described
subsequently.
Case 1
This is the elastic case. The value of the lateral load for the unit width
at the top and base of the pile can be found by simply imposing the
equilibrium conditions and are, respectively [Fig. 2(a)]

4H0 L þ 6M0
Soil-Pile Interaction for a Constant Limit p1 ¼ ð3Þ
L2
Load along the Pile Depth
2H0 L þ 6M0
When the lateral resistance of the soil-pile system is constant with p2 ¼ ð4Þ
L2
the depth, as in the case of cohesive soil (Broms 1964b), then
The point of rotation of the pile is located at depth x below the
plim ¼ su DNc ð1Þ
ground surface given by
where plim 5 limiting lateral load per meter length, su 5 undrained 2H0 L þ 3M0
shear strength, D 5 pile diameter, and Nc 5 bearing capacity factor, x ¼ L ð5Þ
3H0 L þ 6M0
which according to Broms (1964b), can be taken equal to 9. In the
derivation of the limiting lateral force, Broms (1964b) omitted
the upper 1.5D of the pile because of the lower value of Nc . Indeed,
the limiting lateral load varied between plim 5 2su D at the ground
surface and plim 5 9su D at a depth 3D below the ground surface. If
the modulus of the soil reaction of the p-y curves is denoted with Es ,
the limit displacement for which yielding occurs is
plim
ylim ¼ ð2Þ
Es

After the soil yields, its reaction will not increase with the pile
movement.
The following three cases will be distinguished in the analysis, as
illustrated in Fig. 2:
• Case 1: Up to a certain value of the horizontal force, H0 , and the
moment, M0 , applied at the pile head, the pile displacements will
be anywhere less than the limit value given by Eq. (1) and the soil-
pile interaction will be purely elastic [Fig. 2(a)].
• Case 2: As forces H0 and M0 increase, the limit value, ylim , of the
p-y curves will be exceeded up to a certain depth a below
the ground surface [Fig. 2(b)]. The soil reaction will be equal
to the limiting lateral load, plim , while in the lower part of the pile
the soil-pile interaction will still be elastic.

Fig. 2. Soil-pile interaction for a limiting lateral load constant with the
Fig. 1. Constitutive law for the p-y curves adopted in the analysis depth

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 If M0 5 0, then x ¼ ð3 2 6h 2 6mÞ
2
ð16Þ
p
L 8ð1 2 hÞ3
p2 ¼ 1 ; x ¼ 2L ð6Þ
2 3
The horizontal displacement of the pile head can be deduced con-
If H0 5 0, then sidering that at depth a below the ground surface the horizontal
deflection must be y 5 plim =Es , which gives
p2 ¼ p1 ; x ¼
L
ð7Þ

p a
2 yh ¼ lim 1 þ ð17Þ
Es x
Thus, the effect of M0 is to reduce the depth of the rotation center.
The horizontal displacement at the pile head is simply given by while the horizontal dimensionless displacement is

p1 4ð1 2 hÞ2 ð4h þ 6m 2 1Þ

yh ¼ ð8Þ yL ¼ 1 þ ð18Þ
Es ð3 2 6h 2 6mÞ2
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For greater generality, it is more convenient to express the equa- It follows, according to the assumed elastoplastic model, that the
tions in a nondimensional form by introducing the following di- horizontal deflection of the pile is a nonlinear function of the applied
mensionless forces: forces. It is possible to show that Case 2 occurs if h and m satisfy
both of the following conditions:
H0 M0
h ¼ ; m ¼ ð9Þ 4h þ 6m . 1 ð19Þ
plim L plim L2

where plim 5 limiting lateral load. 2h2 þ 2h þ 6m # 1 ð20Þ

Thus, for example
Case 3
p1
¼ 4h þ 6m ð10Þ When the applied forces at the pile head further increase, the soil
plim
will also start to yield in the lowest part. Referring to Fig. 2(c), the
following expressions can be derived:
x 2h þ 3m
¼ ð11Þ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
L 3h þ 6m a 1 þ h 2 3 2 3h2 2 6h 2 12m
¼ ð21Þ
L 2
In the same way, a dimensionless horizontal displacement at the
pile head can be defined as pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
b ¼ 1 2 h 2 3 2 3h2 2 6h 2 12m ð22Þ
yh E s L 2
yL ¼ ¼ 4h þ 6m ð12Þ
plim
x 1 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi
¼ 3 2 3h2 2 6h 2 12m ð23Þ
It is possible to show that Case 1 occurs if L 2

4h þ 6m # 1 ð13Þ 1þh
yL ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð24Þ
3 2 3h2 2 6h 2 12m
When p1 5 plim , then 4h 1 6m 5 1; thus, yL 5 1. Being in elastic
conditions, the nondimensional head displacement will vary line- Case 3 occurs if
arly from 0 to 1 until the plastic state is reached. 2h2 þ 2h þ 6m . 1 ð25Þ

and
Case 2 h2 þ 2h þ 4m # 1 ð26Þ
The soil will begin to yield first in the upper part of the pile; how-
ever, the soil reaction will not increase further because the limiting Therefore, any combination of H0 and M0 such that h2 1 2h 1
lateral load has already been attained. By imposing translational and 4m . 1 is not an allowable state for a soil-pile system. Fig. 3 shows
rotational equilibrium conditions, the extent of plastic zone a is the dimensionless head displacement [Eq. (24)] of a rigid pile with
given by a limiting lateral load constant and with the depth for values of
dimensionless head bending moments of m 5 0, 0:025, and 0:050.
4H0 L þ 6M0 2 plim L2 The range of m 5 0  0:050 may cover most practical situations.
a ¼ ð14Þ For example, for an undrained shear strength su 5 100 kPa, pile di-
2ðplim L 2 H0 Þ
ameter D 5 1 m, and pile length L 5 6 m, M0 5 810 kN=m when
m 5 0:025.
and, in a dimensionless form

a 4h þ 6m 2 1 Soil-Pile Interaction for a Limit Load Linearly

¼ ð15Þ
L 2ð1 2 hÞ Increasing with the Depth

The dimensionless distance x/L of the point of rotation, taken from This case may be expected for a cohesionless soil or for a cohe-
the bottom of the plastic zone [see Fig. 2(b)], is sive normally consolidated soil with a limiting lateral load equal

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Fig. 3. Dimensionless head displacement for a limiting lateral load

constant with the depth

Fig. 4. Soil-pile interaction for a limiting lateral load linearly increa-

to zero at the ground surface and linearly increasing with the
sing with the depth
depth, thus

plim ðzÞ ¼ uz ð27Þ

H0 M0 yh E s
h ¼ ; m ¼ ; yL ¼ ð33Þ
where u ðFL2 Þ 5 slope of the limiting lateral load and z 5 depth uL2 uL3 uL
from the ground surface. Broms (1964a) suggested the following
value of u for cohesionless soils: Thus

u ¼ 3g Kp D ð28Þ a 4h þ 6m
¼ ð34Þ
L 1 2 2h
where g 5 bulk unit weight of the soil and Kp 5 Rankine passive
2
earth pressure coefficient. For a linear variation of the limiting lateral x ¼ ð2h þ 3mÞð1 2 6h 2 6mÞ
ð35Þ
load, whatever the horizontal forces applied at the pile head, yielding L ð1 2 2hÞ ð3h þ 6mÞ 2 ð2 2 4hÞð2h þ 3mÞ2
2
will occur in the soil because at the ground surface the limiting lateral
load is zero. Thus, Cases 1 and 2 may be distinguished as will be " #
shown subsequently and as illustrated in Fig. 4. ð2 2 4hÞð3h þ 6mÞ 2 ð4h þ 6mÞ2 4h þ 6m
yL ¼ 1þ
ð1 2 6h 2 6mÞ2 1 2 2h
Case 1 ð36Þ
Referring to Fig. 4(a), the following can be obtained:
Case 1 occurs if

4H0 L þ 6M0 48h4 þ 64h3 þ 48h3 m þ 216h2 m 2 72h2 2 156hm

a ¼ ð29Þ
uL2 2 2H0
þ 16h þ 18m þ 144hm2 2 72m2 # 1 ð37Þ

uaðL 2 aÞ2 Case 2

x ¼ ð30Þ
uað2L 2 aÞ 2 2H0
According to Fig. 4(b) and imposing equilibrium conditions, the
following expressions can be derived for Case 2:
uaðL 2 a 2 xÞ
p2 ¼ ð31Þ
x
a c2

 ¼ ð38Þ
L 2A
yh ¼ ua 1 þ a ð32Þ
Es x
b A
¼ 1 2 ð39Þ
It is convenient to introduce the following nondimensional param- L c
eters linking the applied horizontal forces with the extensions of the
plastic and elastic zones along the pile as well as the displacement at x 1 2 ða/LÞ 2 ðb/LÞ
¼ ð40Þ
the pile head: L 1 þ ða/LÞ 2 ðb/LÞ

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yL ¼ 1þ
a a
ð41Þ and M0  0). This suggests that to make safe use of the Broms
x L (1964a) equations for rigid piles in cohesionless soils, a design
reduced length for the pile should be adopted in the calculations.
where Finally, for reliable prediction of pile displacement under
a working load, the proposed method requires knowledge of the
c ¼ 1 þ 2h ð42Þ equivalent modulus of the soil reaction, which actually may not be
constant with the depth. However, this uncertainty can be partly
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
removed by observing that in the plot of the horizontal head dis-
A ¼ 1 2 3m þ ð1 2 3mÞ2 2 ðc3 =2Þ ð43Þ placement versus the applied force, the initial stiffness, Kin , is given
from Eq. (36) by
Total failure in the soil will occur if  
dh 1
¼ ð45Þ
8h3 þ 12h2 þ 6h 2 18m2 þ 12m ¼ 1 ð44Þ dyL yL50 4 þ 6ep
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The nondimensional location of the point of rotation ða 1 xÞ/L of and in dimensional form
a rigid pile in a soil whose limiting lateral load is linearly increasing  
with the depth is located between 0.670 and 0.794L, increasing as dH0 Es L2
¼ ð46Þ
the horizontal force increases up to its limit value. Fig. 5 shows dyh yh50 4L þ 6e
a plot of the nondimensional head deflection deduced from Eqs. (36)
and (41) and for various values of nondimensional forces h and m. where e 5 load eccentricity and e 5 e/L 5 nondimensional load
In Fig. 5 the values of m 5 0, 0:025, and 0:050 are in the range eccentricity. From Eq. (46), it follows that
of usual working loads. For example, if u 5 3gKp D and assuming
f0 5 30
, g 5 20 kN=m3 , D 5 1 m, and L 5 6 m, then a value of
Es ¼ 4L þ2 6e Kin ð47Þ
m 5 0:025 means M0 5 650 kN=m. L
In the Broms (1964a) approach for cohesionless soils the ultimate
lateral force is deduced with the assumption that the toe reaction and Thus, if test results are available for a given site and initial stiffness
the point of rotation are located at the bottom of the pile. This as- Kin of the load-deflection curve is determined, then Eq. (47) could
sumption produces an overestimation of the limiting lateral re- be used for quick estimation of the equivalent modulus of soil reac-
sistance. The location of the point of rotation is dependent on the tion Es utilized in the proposed approach.
values of H0 and M0 applied at the pile head. Thus, the error in the
evaluation of the lateral resistance in cohesionless soil may be
significant, as shown in Fig. 6, where the nondimensional limit Comparison with Experimental Results
forces, hlim , given by the Broms (1964a) approach and that given by
the present analysis are plotted as a function of the nondimensional Mayne et al. (1995) referred to laboratory tests on 26 medium-sized
eccentricity e 5 e/L 5 m/h 5 M0 /H0 L. It can be seen that the dif- shafts with diameter D 5 89 mm and length/diameter ratios of
ferences between the two solutions may be very high, especially for L=D 5 3, 4, 6, and 8. The soil was prepared from kaolinitic slurry
high eccentricity. The relative scatter varies from about 30% for with the following index properties: liquid limit of wL 5 33; plastic
e/L 5 0 up to about 67% for e/L approaching infinity (i.e., H0 5 0 index of PI 5 11; specific gravity of Gs 5 2:65; clay fraction 5 33%;

Fig. 6. Comparison between the Broms (1964a) solution and the

Fig. 5. Dimensionless head displacement for a limiting lateral load present analysis for the ultimate lateral resistance of rigid piles in co-
linearly increasing with the depth hesionless soils

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Fig. 7. Comparison between measured and computed pile deflections
and water content 30–40%. The load eccentricity with respect to the
ground line was e 5 20 mm. The clay was overconsolidated by
applying a prestress vertically and then rebounding to atmospheric
pressure. Mayne et al. (1994) fitted the test results in terms of load-
displacements by hyperbolic law, which allowed good agreement
with the experimental results. However, an alternative interpretation
of the nonlinear load-displacement response was given by Motta
(1997) according to the presented equations relating the pile dis-
placement to the applied load. Fig. 7 shows a comparison between
the measured and computed values of the horizontal displacement,
yh , versus the applied horizontal load, H. Despite the clay being
overconsolidated, the experimental results were better fitted with the
equations presented for a linearly increasing limit load. Ultimate
horizontal forces of approximately 260, 480, 700, and 1,250 N were
deduced for L/D 5 3, 4, 6, and 8, respectively. This allowed es-
timating the slope for limiting lateral load u from Eq. (44). An
average value of Es 5 1,250 kPa was assumed by evaluating initial
stiffnes Kin of the experimental curves and then deducing Es from
Eq. (47). For all the analyzed cases the analytical solution satis-
factorily fit the experimental data.
Conclusions
A nonlinear elastoplastic analysis for rigid shafts in soils in which
the limiting lateral load was constant or varied linearly with the
depth has been presented. Based on elastic-perfectly plastic con-
stitutive law, the derived equations allow determining the lateral
deflection and load distribution of the soil reaction for a given
combination of applied forces H0 and M0 at the pile head. For greater
generality, the solution has been given in dimensionless form. The
comparison with the experimental results showed that if the choice
of the modulus of the lateral reaction is appropriate, the equations
presented may give reasonable results for the evaluation of the
nonlinear load-displacement response of a free rigid shaft.
It has also been shown that for free rigid piles in cohesionless
soils, which is where the limiting lateral load linearly increases with
506 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / MARCH 2013
View publication stats J. Geotech. Geoenviron. Eng., 2013, 139(3): 501-506
the depth, the Broms (1964a) approach may give values of the ul-
timate horizontal force on the unsafe side. This occurs because
Broms (1964a) assumed that the point of rotation is at the pile tip, and
this is not true for high eccentricities of lateral force H0 . In this case,
in applying the Broms (1964a) equations, it could be convenient to
introduce a conventional reduced pile length or an appropriate factor
of safety to determine the allowable horizontal force. However, the
presented approach can be utilized only for rigid shafts. For practical
purposes, this means a ratio of L/l , 2 in which l 5 ðEI/Es Þ0:25 for
a soil with a modulus Es constant with the depth or l 5 ðEI/nh Þ0:20
for a soil with modulus Es linearly varying with the depth;
i.e., Es 5 nh z. Finally, it must be stressed that the analysis was made
only for a single rigid shaft. Therefore, group effects that may
significantly modify the load-displacement response were ignored.
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