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Side Resistance of Large Diameter Bored Piles Socketed into Decomposed Rocks
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ABSTRACT: The design of large diameter bored piles socketed into rock has received considerable attention
in sedimentary rocks but has only occasionally been addressed in igneous and metamorphic rocks. Design
methods based on the performance of sockets in sedimentary rocks have been proposed in literature, but it is
uncertain how applicable they are to other rock types. Large diameter (>600 mm) rock-socketed piles were used
in several recent developments in Hong Kong, which involved 13 large-scale pile-load tests in various decom-
posed rocks. The test piles varied in length from 20 to 60 m and in diameter from 1.0 to 1.3 m. The test loads
were as high as 30 MN. This provides a golden opportunity for a study of the performance of piles socketed
in igneous, volcanic, and metasedimentary rocks decomposed as a result of subtropical weathering. In total, 35
pile tests (including 13 in Hong Kong) in decomposed rocks together with 44 other tests in sedimentary rocks
are reviewed. Side resistance is analyzed with regard to rock type and is compared to the findings and correlations
published by others. The rate of mobilization of side resistance was generally scattered in the test results, as
were the general shapes of the resistance-displacement relationships. A trend line was established relating the
unconfined compressive strength to side resistance for granitic rocks. During bidirectional multistage tests, a
reduction in the socket stiffness was observed with the second test stage. For a given displacement, the side
resistance mobilized in the second stage was less than in the first.
INTRODUCTION • Review the existing design practice for rock socket side
resistance, particularly in decomposed rocks.
Development in Hong Kong has been characterized by high • Examine the suitability of existing methods of predicting
density building works and large infrastructure projects con- rock socket side resistance using loading tests from the
centrated on small areas of flat reclaimed lands. Deep piled literature and a number of tests presented in this paper,
foundations are commonly required to support high vertical including the six carried out recently.
dead and live loads and lateral wind loads imposed by these • Identify trends in behavior based on the potential contrib-
structures. Large diameter circular bored piles (drilled caissons uting factors of rock type and unconfined compressive
or piers >600 mm and up to 2.5 m in diameter) constructed strength (UCS).
using rope operated grabs and reverse circulation drilling • Examine the effects of multistage bidirectional loading on
(RCD) techniques have often been used in Hong Kong. Pile rock sockets.
depths may exceed 80 m and working loads can reach as high
as 20 MN. In the past, the use of rock sockets has been infre-
quent, with most large diameter bored piles founded at rock In total, 35 pile tests (including 13 in Hong Kong) in de-
head level or in soil. However, the need to improve the effi- composed rocks together with 44 other tests in sedimentary
ciency of pile designs and higher design loads is providing an rocks are reviewed. The Kong Kong tests were predominantly
increasing requirement for rock-socketed piles. Design loads carried out in igneous rocks including granitic and volcanic
are limited for piles relying upon end bearing in rock, even if types, whereas most of the tests in the literature were in sed-
the measured rock strength is higher than the pile concrete imentary rocks. The Hong Kong tests also tended to be on
strength. This is due to uncertainty about the rock quality over piles of larger diameter (all >1.0 m) and in rock of higher
the whole pile diameter, which may be lower than expected UCS than the cases reported in the literature. They were pri-
because of weathering or construction effects. marily intended to investigate the feasibility of using rock
In Hong Kong, the number of large diameter rock socket socket side resistance in design rather than using the presumed
pile designs undertaken to date has been relatively small, and, end-bearing stresses detailed in PNAP 141 [Building Ordi-
in practice, rock socket friction designs are verified by field nance Office (BOO) 1990] and to establish design rock socket
load testing. The writers were recently involved with six large- side resistance values.
scale loading tests on large diameter bored piles socketed into The focus of this paper is on the prediction of socket side
weathered rocks in Hong Kong. Rock socket ‘‘side resistance’’ resistance rather than toe-resistance (end-bearing) or pile-head
or ‘‘friction’’ was back-analyzed from the test results. In this settlement. Side resistance is analyzed with respect to the em-
paper, the objectives are to pirical correlations of Horvath et al. (1983) recommended by
the Geotechnical Engineering Office (GEO) (1996) in Hong
1
Assoc. Prof., Hong Kong Univ. of Sci. and Technol., Clear Water Bay, Kong and with other correlations proposed in the literature.
Kowloon, Hong Kong. E-mail: cecwwng@ust.hk Both side resistance capacity and, where possible, the ‘‘mo-
2
Formerly, Postgrad. Student, Dept. of Civ. Engrg., Hong Kong Univ. bilization’’ of side resistance is considered. ‘‘Mobilization’’ re-
of Sci. and Technol., Clear Water Bay, Kowloon, Hong Kong.
3
Formerly, Postgrad. Student, Dept. of Civ. Engrg., Hong Kong Univ.
fers to the progressive development of side resistance with
of Sci. and Technol., Clear Water Bay, Kowloon, Hong Kong. local displacement of the pile in the socket. The methods ex-
4
Prof., Hong Kong Univ. of Sci. and Technol., Clear Water Bay, Kow- amined for predicting the magnitude of socket side resistance
loon, Hong Kong. all relate side resistance to the UCS of the rock or concrete
Note. Discussion open until January 1, 2002. To extend the closing (generally whichever is weakest). Rowe and Pells (1980) sug-
date one month, a written request must be filed with the ASCE Manager gested that side resistance capacity and the nature of the side
of Journals. The manuscript for this paper was submitted for review and
possible publication on February 22, 2000; revised April 11, 2001. This
resistance-displacement relationship are influenced by the
paper is part of the Journal of Geotechnical and Geoenvironmental socket stress distribution, which is complex, being influenced
Engineering, Vol. 127, No. 8, August, 2001. 䉷ASCE, ISSN 1090-0241/ by the development of toe resistance, socket dimensions, and
01/0008-0642–0657/$8.00 ⫹ $.50 per page. Paper No. 22286. elastic parameters. Horvath et al. (1983) and others demon-
642 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001
strated that such factors as socket roughness could also have TABLE 1. Classification of Rock Material Decomposition Grades of
an effect on side resistance. However, generally, information Hong Kong [Simplified from GCO (1988)]
of this detail is not available for analysis in this paper and an General characteristics for granite and
emphasis is placed upon UCS and rock type. Descriptive Grade volcanic rocks and other rocks of equivalent
term symbol strength in fresh state
TYPICAL GROUND CONDITIONS IN HONG KONG Residual soil VI Original rock texture completely destroyed
Can be crumbled by hand and finger pressure
The geology of Hong Kong is influenced heavily by sub- into constituent grains
tropical weathering. Typically, superficial deposits of fill, al- Completely V Original rock texture preserved
decomposed Can be crumbled by hand and finger pressure
luvium, and marine deposits overlie decomposed rocks of var- into constituent grains
ied depth or colluvium on hillsides, beneath which lies fresh Easily indented by point of geological pick
rock. Rock material weathering in Hong Kong rarely produces Slakes when immersed in water
a homogeneous weathered rock mass where all rock material Completely discolored compared with fresh
is decomposed to the same degree, or even in simple weath- rock
ered profile where the degree of decomposition decreases pro- Highly IV Can be broken by hand into smaller pieces
decomposed Makes a dull sound when struck by geologi-
gressively with depth and core stone-bearing profiles may be cal hammer
encountered. Table 1 sets out the classification of rock decom- Not easily indented by point of geological
position grades used in Hong Kong [Geotechnical Control Of- pick
fice (GCO) 1988]. Generally the term ‘‘rock’’ refers to material Does not slake when immersed in water
of decomposition Grades I–III; therefore, ‘‘rock socket’’ refers Completely discolored compared with fresh
mainly to sockets in this material. The common rock types in rock
Moderately III Cannot usually be broken by hand; easily
Hong Kong include granites and granodiorites, volcanic tuffs, decomposed broken by geological hammer
rhyolites, breccia, metasiltstones, and marbles. Makes a dull or slight ringing sound when
struck by geological hammer
Completely stained throughout
CONSTRUCTION OF ROCK SOCKETS Slightly II Not broken easily by geological hammer
decomposed Makes a ringing sound when struck by geo-
Rock-socket friction may be affected by the method of con- logical hammer
struction with regard to the socket wall roughness, which can Fresh rock colors generally retained but
vary with the method of excavation. In Hong Kong, currently stained near joint surfaces
most rock sockets in bored piles are excavated by RCD under Fresh I Not broken easily by geological hammer
water or bentonite. However, in the past, hand-dug methods Makes a ringing sound when struck by geo-
logical hammer
have also been used. Chisels tend to be used for break through No visible signs of decomposition (i.e., no
thin layers of hard rock, cobbles, and obstructions. RCDs discoloration)
(Tomlinson 1994) consist of a series of hollow drill rods and
stabilizers leading to a drill head having a number of roller
cutters. The type and arrangement of the cutters can be ad- DESIGN FOR ROCK-SOCKET FRICTION WORLDWIDE
justed depending on ground conditions. In Hong Kong, the
drive engines and control platform are normally fixed on the A number of empirical relationships have been published
temporary casing above ground level, although mobile units for estimating the capacity of rock-socket side resistance. All
mounted on crawler cranes can also be used. RCDs continu- are based on studies of field load test results and laboratory
ously remove soil and broken rock while drilling by airlifting tests and relate socket friction capacity to the UCS of rock or
the material upward through the hollow drill rods. After ex- concrete, generally whichever is weakest. Most of the load
cavation by RCD, the pile bore and base are usually cleaned tests considered were carried out in sedimentary rocks having
by airlifting and concrete is placed by tremie pipe under water lower strengths than typical rock types encountered in Hong
or bentonite. Enlarged bases may be formed using a bell-out Kong.
tool. As far as the writers are aware, no information on the
wall roughness achieved using an RCD has been published in Research in North America
the literature. For excavation by hand-dug methods, measure-
ments of wall roughness have been recorded to be around 7 Rosenberg and Journeaux (1976) studied the results of a
mm in Hong Kong (Lam et al. 1991). limited number of field load tests on small diameter piles
In other countries, rock augers, flight augers, percussion (200–610 mm). They proposed a tentative relationship be-
drills, core barrels, and shot barrels (Williams and Pells 1981; tween the UCS of rock r (MPa) and the ultimate side resis-
Reese and O’Neill 1988) are also under water or bentonite and tance qs (MPa) as follows:
within dry bores. In Australia, for sockets drilled by bucket qs = 0.375(r)0.515 (1)
auger and short flight auger, measurements of wall roughness
in mudstone were reported by Williams and Pells (1981). The Horvath and Kenney (1979) reviewed the results of load
asperity heights generally were from 15 to 20 mm. Pells et al. tests on rock-socketed piles and anchors from, mainly, Austra-
(1980) reported far lower asperity heights of around 2 mm for lia, Canada, the United Kingdom, and the United States, in-
sockets in sandstone excavated by various techniques. A pos- cluding 49 tests on piles with diameters between 410 and
sible reason given for the difference in roughness between the 1,220 mm. The majority of the piles were socketed into sed-
mudstone and sandstone sockets is that the sandstone was gen- imentary rock types, mostly shale or mudstone. They reported
erally harder than the mudstone and involved slower drilling socket friction to generally become fully mobilized at a dis-
rates (Williams and Pells 1981). Horvath et al. (1983) reported placement of around 6 mm (0.5–1.5% of the pile diameter).
the results of load tests carried out in weak shale in Canada. A correlation was suggested between qs (MPa) and the com-
Excavation was by auger and the average asperity height mea- pressive strength of the weaker socket material (concrete or
sured in a conventionally drilled socket was around 13 mm. rock) rc (MPa) for the piles given by
It is likely that asperity height is dependent on rock type and
strength in addition to the method of excavation. qs = b兹rc (2)
Research in Australia TABLE 2. Presumed Safe Vertical Bearing Stress for Foundations on
Horizontal Ground in Hong Kong [Simplified from PNAP 141 (BOO
In Australia, most experience in the design of rock-socket 1990)]
piles has been gained in mudstone, shale, and sandstone. One
Presumed
example is the Melbourne mudstone, which Chiu and Johnston
bearing
(1980) described as having characteristics very similar to over- stress
consolidated clays. Williams et al. (1980b) described the re- Category Granitic and volcanic rock (kPa)
sults of a number of field load tests in Melbourne mudstone.
The socket friction-displacement relationships exhibited peak, 1(a) Fresh to slightly decomposed strong rock of 7,500
material weathering grade II or better, with
followed by residual friction behavior, although the residual total core recovery of >95% of grade and
values were only around 5% less than the peak values for minimum uniaxial compressive strength of
‘‘rough’’ sockets. ‘‘Rough’’ sockets were defined by minimum rock material r not less than 50 MPa
statistical requirements for asperity height and angle and were (equivalent point load index strength PLI50a
achieved with excavation by conventional bucket augers. Wil- not less than 2 MPa)
liams et al. (1980a) also described the results of tests in Mel- 1(b) Slightly to moderately decomposed moderately 5,000
strong rock of material weathering grades II
bourne mudstone of which at least one reached peak friction or III or better, with total core recovery of
at a displacement of 6 mm. >85% of grade and minimum uniaxial com-
Williams and Pells (1981) suggested a design method based pressive strength of rock material r not less
on the results of Williams et al. (1980b), Pells et al. (1980), than 25 MPa (PLI50a not less than 1 MPa)
and Horvath (1978) but with emphasis placed on test results 1(c) Moderately decomposed moderately strong to 3,000
in Australia. For cases in which the socket wall is sufficiently moderately weak rock of material weathering
Grades III or IV or better, with total core re-
rough to prevent brittle side shear behavior, a curve for the covery of >50% of grade
ratio of qs to rc termed the ‘‘side resistance reduction factor’’ a
Point load index strength (i.e., PLI50 values) of rock quoted is equiv-
␣ is used. The side resistance factor decreases with increasing alent value for 50-mm-diameter cores (ISRM 1978).
rc. A further factor  is applied to take into account a vari-
644 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001
the contribution of toe resistance is only taken into account at the rate of movement has reduced to an acceptably low value
the ultimate limit state. Therefore the contribution of toe re- before the next load increment or decrement is applied. Two
sistance may potentially become irrelevant altogether if the to five loading and unloading cycles are commonly used in
working load requirement governs the design. each test, each consisting of a number of increments or dec-
rements. The loading procedures and acceptance criteria de-
TYPICAL INSTRUMENTATION ARRANGEMENTS AND pend on the type of project being undertaken. Generally, a
LOAD TEST PROCEDURES (IN HONG KONG) minimum rate of settlement of approximately 0.05 mm in 10
min is required before the application of further load incre-
Instrumentation Arrangement ments or decrements (BOO 1980). The maximum test load is
often around twice the design working load, although the ul-
In Hong Kong, for instrumented load tests, strain gauges timate pile capacity may not necessarily be reached.
and extensometers are installed within the pile shaft in addition Frequently, rock-socketed test piles are sleeved over their
to devices installed at the pile head to measure displacement. upper sections to minimize shaft friction in the upper soil lay-
Strain gauges such as vibrating wire type gauges provide an ers and maximize the load applied to the top of the rock
estimation of vertical strain at points along the pile shaft. By socket. This reduces the requirements of the loading reaction
estimating the pile shaft modulus of deformation, each strain system and improves the possibility of mobilizing substantial
measurement can be transformed to a normal stress and then socket resistance. In the cases in which the writers were in-
to a force. The load-depth distribution in the pile shaft is cal- volved, the sleeves consisted of bitumen-coated steel liners
culated from where the ‘‘load transfer’’ due to skin friction is surrounded by a soft grout annulus.
deduced. In Hong Kong, gauges are usually positioned around Tests having load applied using varying methods between
the shaft perimeter in sets of two, three, or four at designated two or more stages are referred to as ‘‘multistage tests.’’ An
levels and the average reading of each set is used for calcu- example may be a pile having an Osterberg cell installed at
lations. The vertical spacing of each set may vary from 500 the pile base. During the first test stage, loading may be ap-
mm to 5 m. For rock-socketed piles, strain gauges are nor- plied at the pile head by hydraulic jacks and kentledge only,
mally spaced at around 500 mm within the socket. For shorter and during the second stage, the Osterberg cell may be pres-
rock sockets, the stress distribution across the pile shaft may surized to apply a downward load to the pile base and an
be nonlinear; therefore, there is uncertainty as to the accuracy upward load to the pile shaft.
of the measurement of the average stress by strain gauges po-
sitioned around the shaft parameter. ROCK-SOCKET PILES UNDER REVIEW
Extensometers are used to measure shortening over speci-
fied lengths of the pile shaft. These may be single mechanical Table 3 summarizes details of the 13 tests of Hong Kong.
rods anchored at a designated level to measure shortening from The tests were generally carried out in the preliminary stages
the pile top. Also, retrievable extensometers, extracted after of the respective projects. They were intended to investigate
testing and using a single rod anchored at a number of levels, the feasibility of using rock-socket side resistance in design,
and multipoint borehole extensometers, which have a number rather than using the presumed end-bearing stresses detailed
of separate rods each with its own anchor, have been used. in PNAP 141 (BOO 1990), and to establish design rock-socket
Alternatively, or in addition to these instruments, one may opt side resistance values. Also, some of the rock types tested were
for embedded extensometers. These consist of single rods an- not volcanic or granitic rocks and therefore could not be de-
chored at each end and installed at various levels within the signed using the presumed values in PNAP 141. The chosen
shaft. methodology falls under the PNAP 141 clause permitting the
Dial gauges or electronic displacement transducers are used use of a ‘‘rational’’ approach to foundation design. Based on
to measure the pile-head deflection with respect to reference the loading test results, the use of rock-socket side resistance
beams installed at ground level. Optical leveling of the pile in design for each of the specific projects was approved by the
cap and the reference beams is also carried out. In the cases relevant checking bodies and detailed design and construction
in which the writers were involved, during load testing, the proceeded accordingly. Of the buildings being supported by
reference beams moved between 1 and 5 mm. Ideally, precise the piles, the settlements at this stage are, to the writers’
levels should be used, but ordinary levels are often chosen knowledge, within acceptable structural limits.
instead. With the exception of the hand-dug caisson reported by Lam
For the compressive static load testing of bored piles, hy- et al. (1991), excavation was by RCD under water or benton-
draulic jacks are commonly used to apply load to the pile head ite. The geological descriptions including the rock decompo-
whereas kentledge is used as the reaction system. The kent- sition grade and the rock quality designation (RQD) were as-
ledge is normally comprised of stacked concrete blocks, steel signed by geologists. Rock types have also been classified
billets, or Universal steel sections. The measurement of the generally as being granitic, volcanic, or metasedimentary. The
applied load is achieved using load cells positioned under each USC ¯ r values were either measured directly by laboratory
hydraulic jack. Occasionally, an additional hydraulic jack will tests or estimated from a correlation with the point load index
be installed at the base of the pile. This may be an Osterberg- test (PLIT) results. In the PLIT, rock specimens in the form
type load cell (Osterberg 1989) and is used to apply load di- of core, cut blocks, or irregular lumps are broken by appli-
rectly to the pile at its base while applying an uplifting force cation of a concentrated load through a pair of spherically
to the pile shaft. The cell will normally be of a similar di- truncated conical platens with a tip radius of 5 mm. Little or
ameter to the pile shaft and is pressurized using hydraulic lines no specimen preparation is needed [International Society for
leading up to ground level. A third method of loading is the Rock Mechanics (ISRM) 1985]. A factor of 24 was applied to
uplift test. The pile is jacked upward against a reaction system the PLIT result, as suggested for weathered granite by the
supported on reaction pads/piles installed on either side of the GEO (1991). The suggestions of the ISRM Commission on
test pile. Testing Methods were adopted for the PLIT tests (ISRM 1985)
and also the UCS tests (ISRM 1978). In the cases in which
Procedures of Load Testing the writers were involved, the UCS values reported in Table
3 are the average values over the depth of the rock socket.
In Hong Kong, tests are generally maintained-load tests in Generally three or four tests in total were performed for each
which the load is applied in increments, each being held until socket. It is suggested that, for purposes of comparison, the
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001 / 645
TABLE 3. Database of Hong Kong Load Tests under Review
same or similar testing methods should be adopted in the fu- in Australia (Pells et al. 1980). In Table 3, average socket
ture by other researchers. An anomaly may be observed in the diameters have been reported and are used for calculations.
results in Table 3. Pile 12 was tested in rock, which was too Table 4 summarizes key details of the 66 other tests from
decomposed to allow a UCS test to be conducted, and the test the literature. Some contributed to the various empirical cor-
may be considered to be nontypical of the remaining tests in relations for side resistance in the literature detailed earlier.
Table 3; the differences should be kept in mind in the analyses The details and measurements shown in Table 4 are consistent
to follow. with Table 3, although the level of detail is generally lower.
In the load tests with the writers’ involvement, the axial load The RQD is not shown and whether or not the excavation was
distribution in the rock socket was determined using strain ‘‘dry’’ or ‘‘wet’’ (constructed under bentonite or water) is un-
gauges installed within the pile shaft and by estimating the known in many cases. For a number of tests in granitic rock
pile shaft modulus. The average strain across the socket was in Singapore, the pile diameters are also unknown. Possibly
taken to be equal to the average reading of the gauges at each some of these tests were on small diameter rather than large
level. For the piles with which the writers were directly in- diameter piles. Note that, in a few cases, the sockets were
volved, the average strain gauge readings were checked by artificially roughened. The UCS values shown were obtained
calculating the total socket shortening from the readings and using a range of methods, including empirical correlations
comparing these with the shortening measured by rod exten- with PLIT results and standard penetration test results.
someters. The difference in the results varied between 5 and
13%. The modulus was generally deduced using laboratory
test results on concrete core samples taken from the pile shaft DISPLACEMENT INDEX (DI)
and by considering the variation of modulus with strain over
the duration of the loading test using gauges located near the The database contains side resistance values recorded at
top of each pile. With the axial load distribution known, the varying displacements and degrees of mobilization. Therefore,
unit socket side resistance was calculated accordingly. For a DI is assigned. This is an approximate measure of the pile
most of the piles with which the writers were involved, the ‘‘local’’ displacement and degree of mobilization of side re-
calculated toe resistance accounted for only up to 17% of the sistance for a given maximum side resistance value. The ‘‘lo-
socket side resistance. The side resistance value q̄max shown is cal’’ displacement is the pile displacement deduced at the ver-
the maximum recorded or extrapolated for each test and is the tical center of the rock socket using the measured pile-head
‘‘mean’’ value, averaged over the whole socket length. For the movement and shaft shortening at the rock socket midpoint.
multistage tests, only the first stage results are shown because The DI values are assigned by observation of the field side
of uncertainty over rock socket behavior during reloading un- resistance-displacement relationships. An index A is assigned
der altered socket conditions and using varying loading meth- to test results, which are observed to be close to the fully
ods. The results of the successive test stages are covered later. mobilized value, and is defined by the displacement reaching
In Fig. 1, side profiles of Piles 1–5, obtained using Koden a minimum of 1% of the socket diameter and the gradient of
echo sounding devices, are shown. Profiles for the other piles the resistance-displacement relationship becoming <30 kPa/
were not available. Only one section is shown for each pile mm at the end of the curve (at the completion of the test).
and the accuracy of the measurements was insufficient to allow An index B is assigned to test results not achieving an index
wall roughness to be measured precisely (i.e., to the precision of A but recorded at a displacement of at least 0.4% of the
of a few millimeters). However, with the exception of Pile 4, pile diameter and for which the gradient of the resistance-
the socket dimensions of the piles are clearly irregular. Pos- displacement relationship is <200 kPa/mm at the end of the
sibly this was a result of the drill head ‘‘flapping’’ (moving curve. An index C is assigned to the remaining results. The
and vibrating laterally) within the socket. This was found to various proposed displacement indices are illustrated graphi-
produce rougher sockets in excavation by auger in sandstone cally in Fig. 2.
646 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001
FIG. 1. Measured Wall Profiles of Hong Kong Rock-Socket Piles (Constructed by RCD): (a) Pile 1; (b) Pile 2; (c) Pile 3; (d) Pile 4; (e) Pile 5
MOBILIZATION OF ROCK-SOCKET FRICTION The results with a DI of A are shown in Fig. 3(a). Four of
the tests in the figure were in sedimentary rock and were on
The available side resistance-displacement relationships for piles with diameters of approximately 700 mm. The three re-
the tests being studied are shown in Fig. 3. For tests in which maining tests were in volcanic and granitic rock with pile di-
the peak load was reached after a succession of loading and ameters of 1,200–1,320 mm. The tests have been labeled and
unloading cycles, the curve shown is the virgin loading line further details may be found in Tables 3 and 4. When classified
(this connects the results for load increments greater than all as DI = A rock sockets, the degree of mobilization and final
previous loads when applied). Displacement ␦¯ is the mean lo- displacement of each curve in the figure are high. However,
cal displacement (at the vertical center of the rock socket). For the shapes of the curves are highly varied. The initial mobi-
multistage tests, only the results for the first loading stage are lization of side resistance occurs at varying rates between
shown. The successive loading stages will be covered in detail piles. The displacements at which noticeable yielding occurs
in later sections. generally range between 4 and 10 mm. Three of the piles-
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001 / 647
TABLE 4. Database of Non-Hong Kong Load Tests under Review
Structural requirements for foundations are given in terms placement of 1% of the pile diameter. The trend lines estab-
of maximum settlements and do not take into account the rate lished above are also included, together with 95% confidence
of mobilization of side and base resistance. Therefore, it would limits.
be useful to also consider the resistance obtained at limiting
displacements in addition to the maximum resistance. In Fig. Relationship with Decomposition Grade
5(b), the results in granitic rock for piles in Hong Kong are
The Hong Kong tests were conducted in rocks varying from
shown as recorded at a displacement of 1% of the pile diam-
decomposition Grade IV/III to II. From the descriptions of the
eter (approximately 10 mm). The general trend of behavior is
rock decomposition grades in Table 1, it would be expected
similar to that identified in Fig. 5(a), and the trend line is given
that rock strength and hence side resistance would decrease
by the equation
with the decomposition grade increasing from II to IV/III. Fig.
¯ rc)0.5
qs = 0.19( (8) 7 shows the relationship between decomposition grade and
side resistance. The side resistance results are as recorded at
It should be noted that (4) and (8) are only based on socket a displacement of 1% of the pile diameter in granitic and vol-
length-to-diameter ratios of <3.5. canic rocks. Each increment of decomposition grade is spaced
Side resistance normalized by UCS is plotted against UCS evenly along the horizontal axis, and materials having two
for granitic rocks in Fig. 6. This demonstrates the nature of decomposition grades (identified by geologists) are shown
the correlation between the two variables by a rapid drop in halfway between the two increments. It is recognized that the
the normalized resistance with increasing UCS. In Fig. 6(a), evaluation of decomposition grade is subjective and is by no
the results in granitic rock with DI equal to A or B only are means accurate enough to provide rock strength, particularly
shown, and in Fig. 6(b), the results are as recorded at a dis- between various rock types. Not surprisingly for some of the
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001 / 651
FIG. 5. Maximum Achieved Side Resistance versus UCS for Granitic Rocks: (a) DI = A or B; (b) at Socket Displacement of 10–13.5 mm (1% of
Socket Diameter)
decomposition grades, there is a range of results. This may be dry (by hand-dug methods). In the limited data in Fig. 8, there
due to a variation in the UCS, rock type, and construction is no obvious variation in capacity as a result of construction
method. However, a trend line can be drawn as shown in the under bentonite in Hong Kong.
figure. This could be used for preliminary prediction of side
resistance capacity without having information such as UCS
available. The 95% confidence limits of the trend line are also MULTISTAGE TESTS
included. Side resistance capacity in rock of higher decom-
Six of the Hong Kong tests were multistage tests and only
position grades is particularly useful to designers if there is
the results of the first stage have been studied to this point in
uncertainty over rock quality over the whole socket length and
diameter. the paper. Four tests were multistage tests incorporating Os-
terberg cells and the side resistance-displacement relationship
of each is shown in Fig. 9. Both ‘‘positive’’ and ‘‘negative’’
Construction Effects
local displacement and side resistance are shown, which are
Up to now, little has been mentioned on the effects of var- defined as being in the downward and upward directions, re-
ious methods of construction on side resistance capacity. Fig. spectively. In Fig. 9(a)–(c), the first loading stage was a con-
8 shows the maximum side resistance plotted against UCS for ventional downward loading test with load applied by kent-
piles in granitic rock in Hong Kong with DI equal to A or B. ledge and hydraulic jacks at the pile head only. The pile was
The piles constructed under bentonite (by RCD) are distin- then unloaded by removing the kentledge, and the pile was
guished from the piles constructed under water (by RCD) or loaded again by activating the Osterberg cell installed near the
652 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001
FIG. 6. Maximum Achieved Side Resistance Normalized by UCS versus UCS for Granitic Rocks: (a) DI = A or B; (b) at Socket Displacement of
10–13.5 mm (1% of Socket Diameter)
base of the pile. This pushed the pile upward against the the interface, tending to cause dilation and leading to an in-
socket. crease in normal horizontal stresses and hence an increase in
Pile 1 [Fig. 9(a)] and Pile 4 [Fig. 9(b)] behaved similarly. side resistance.
The displacement and degree of mobilization is low in the first The socket of Pile 5 [Fig. 9(c)] clearly reached the capacity
stage, due in part to the displacement being restricted by end of side resistance during the first test stage, although prior to
bearing on rock, and ultimate side resistance is not reached. this the response was stiff. The residual pile displacement of
The socket response is less stiff in the second stage, particu- the end of the stage is high, being around 4% of the pile
larly for Pile 1, and for any given displacement, the measured diameter, and a considerable amount of side resistance is pro-
side resistance is less than in the first stage. For Pile 1, at a duced in pushing the pile back to its original position. This is
displacement of 0.03% of the pile diameter in Stage 1, the in fact greater in magnitude than the first stage capacity. Sim-
normalized side resistance is 0.7, but it is only 0.1 for the ilar to Piles 1 and 4, the stiffness during the second stage is
same displacement during Stage 2. A possible explanation for lower than the first stage. If the displacement were rezeroed
the behavior is that the first loading stage caused a loss of at the start of the second stage, initially for a given displace-
bond or ‘‘true cohesion’’ in the socket and broke off asperites ment, the measured second stage side resistance would be less.
at the pile-socket wall interface. This apparently occurred even However, the side resistance continues to rise rather than peak
though significant yielding is not observed during the first and the pile eventually achieves far higher side resistance than
stage. The effect in Stage 2 is more pronounced in Pile 1. The in the first stage. At the first stage, the normalized capacity is
socket then regained some stiffness with further displacement. only 0.4 or 40% of the third stage maximum value. In the first
This may be due to broken rock fragments being pushed along stage, it is likely that extensive bond loss occurred in the
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001 / 653
FIG. 7. Maximum Achieved Side Resistance versus Decomposition Grade for Hong Kong Granitic and Volcanic Rocks
FIG. 8. Effects of Construction Method on Maximum Side Resistance versus UCS Relationship for Granitic Rocks in Hong Kong (DI = A or B)
socket. The work-hardening behavior of the second and third However, if the second stage displacement were rezeroed at
stages may be related to broken rock fragments tending to the start of the stage, the measured side resistance would be
cause dilation with continued displacement, increasing the side around 0.7. Generally Pile 6 is consistent with the previous
resistance in a similar way to Pile 1. three cases, having a stiffer first stage and a lower side resis-
Pile 6 [Fig. 9(d)] differs from Piles 1, 4, and 5 in that the tance for a given displacement during the second stage. A loss
first stage was an Osterberg cell loading stage and loading by of bond during the first stage was likely to have occurred.
kentledge came second. It appears that the capacity of side Fig. 10 shows the multistage side resistance-displacement
resistance may have been reached during the first stage and relationships for Pile 9. The first test stage was a pullout test
some residual displacement occurred. The initial socket stiff- and the second was a conventional downward loading test. The
ness cannot be clearly defined during the second stage because second test stage had a slightly stiffer response than the first
of some missing data points. However, considerable side re- stage, which may be due to Poisson’s ratio effects. During a
sistance is produced as the pile is displaced to its original pullout test, the pile shaft would contract, whereas for a down-
position, the normalized side resistance being around 0.6 or ward loading test, the shaft would expand. A contraction
60% of the first stage capacity at zero displacement. At this would decrease the normal stresses on the pile-socket inter-
point, clearly yielding occurs with a considerable loss of stiff- face, possibly decreasing the friction capacity, whereas the op-
ness. The first stage capacity is reached at a displacement of posite would occur for the compression test.
1.0%. If the second stage side resistance is read off at the same Pile 7, shown in Fig. 11, was also tested using a multistage
displacement, it is similar in magnitude, being around 0.9. test with the two stages both being downward loading tests.
654 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001
FIG. 9. Side Resistance-Displacement Relationships for Multistage Osterberg Cell Tests: (a) Pile 1 (Volcanic Tuff ); (b) Pile 4 (Metasedimentary); (c)
Pile 5 (Granodiorite); (d) Pile 6 (Granite)
FIG. 10. Side Resistance-Displacement Relationships for Pile 9 (Mul- FIG. 11. Side Resistance-Displacement Relationships for Pile 7 (Mul-
tistage Pullout Test) tistage Soft-Toe Test)
The first stage had a void located at the pile toe, and this was of Poisson’s ratio effects, higher normal stresses and hence
then grouted for the second stage. During the second stage, higher side resistance capacity may be achieved. Using finite-
the pile clearly achieved a far higher capacity of side resistance element models, Rowe and Armitage (1987a) observed that
(a difference of approximately 50%). This may be due to two for perfectly smooth sockets the difference in average side
reasons. Possibly, during the first stage there was an ingress resistance between tests with a void at the pile base and tests
of grout into existing or new cracks or fractures opened during with a solid base may be as much as an order of magnitude.
the first stage loading. Also, varying stress distributions in the Generally, for the multistage tests, two phenomena are ob-
pile shaft as a result of the differing toe conditions may have served. First, for the bidirectional loading tests, a reduction in
affected the capacity of side resistance. With a grouted or solid the socket stiffness occurs with the second test stage, which
toe, the pile shaft stresses would generally be higher for a is likely to be due to a loss of bond or ‘‘true cohesion’’ in the
given side resistance because of the mobilization of base re- first stage. For a given displacement, the side resistance mo-
sistance simultaneously with side resistance. Therefore greater bilized in the second stage is less than in the first. However,
compression of the pile shaft would be expected, and because with continued displacement, resistance continues to increase
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / AUGUST 2001 / 655
in the second test stage, exhibiting work hardening behavior. compressive strength of rock or concrete. The major conclu-
Higher side resistance may even be reached in the second stage sions from the study are as follows:
at larger displacements than the side resistance capacity proven
in the first test stage. The phenomenon was observed for both • In all rocks studied in the paper, the rate of mobilization
tests in which positive side resistance is mobilized in the first of side resistance and the shapes of the resistance-dis-
stage (a downward loading stage) and negative side resistance placement relationships were generally scattered. The ul-
is mobilized in the second stage (an upward loading stage) and timate side resistance was reached at different displace-
tests in which the order of loading is reversed. The results ments in different sockets. No strong correlation can be
suggest that the application of a second stage of loading in the drawn between the shapes of the relationships and the
opposite direction to the first stage has greater significance socket length and diameter.
than the direction of loading specifically. In fact, there is no • By studying maximum side resistance against the uncon-
evidence to suggest that the direction of loading significantly fined compressive strength, generally the results in sedi-
affects side resistance. This phenomenon should be considered mentary rocks were higher than those in granitic and vol-
in design, particularly when live and cyclic loading conditions canic rocks. The sedimentary rock results were scattered
are prominent. At working load, a lower stiffness should be above the lower bound of the suggested design range of
considered than that indicated by the results of compression Horvath et al. (1983). The limited data for piles in granitic
loading tests only. The results also have implications to the rocks indicated lower side resistance than predicted by
general understanding of the behavior of rock sockets, as they some equations published in the literature. An average
suggest that some amount of damage (loss of bond) to the trend line was established for the available data in granitic
socket occurs in the first stage, even if yielding is not obvious. rocks, which is consistent with the curve of the lower
Therefore, yielding of a socket may actually occur at a lower bound of Horvath et al. (1983).
displacement than suggested by the resistance-displacement re- • An average trend line together with 95% of confidence
lationship for a conventional single stage test. This aspect of limits for the correlation of the capacity of side resistance
pile behavior clearly deserves further research. with rock decomposition grade was identified for results
The second phenomenon is that a variation in the pile toe in granitic and volcanic rocks in Hong Kong encompass-
conditions can affect the capacity of a socket in side resistance. ing data points from Grades II to IV/III rocks. This cor-
The results with ‘‘soft toe’’ considered in this paper are limited relation may be useful for a fast estimation of side resis-
to one pile only and the results should be treated with caution. tance in different decomposed rocks. The correlation
Possibly the behavior is related to a variation in the mobilized should not be used for sockets >3 m in length or for
stress distribution around the toe and socket, as discussed by sockets being designed for uplift capacity.
Rowe and Armitage (1987a). From the available information • In the limited available data, there is no observed signif-
in this paper most were tests on piles with solid toes. However, icant difference in the capacity of side resistance for pile
variations in the socket stress distribution may be expected as sockets constructed under bentonite or under water/day in
a result of varying socket dimensions and elastic parameters, granitic rocks in Hong Kong.
as suggested by Rowe and Pells (1980). A study of the effects • During bidirectional multistage tests, a reduction in the
of such parameters was not possible in this paper because of socket stiffness was observed with the second test stage,
a lack of available information. However, caution should be which is likely to be due to a loss of bond or ‘‘true co-
exercised in applying the observed relationships for side re- hesion’’ in the first stage. For a given displacement, the
sistance capacity in this paper to the design of sockets with side resistance mobilized in the second stage was less than
length-to-diameter ratios varying significantly from those pre- in the first. However, with greater displacement, work
sented in this paper. The variation in rock elastic properties is hardening behavior was evident in the second test stage.
taken into account to some degree by specifying a relationship • There is no evidence to suggest that the direction of load-
for a given rock type only. The same applies in general to ing significantly affects side resistance. Instead, the results
other design correlations and methods that are empirically suggest that the application of a second stage of loading
based and do not include socket dimensions or elastic prop- in the opposite direction to the first stage has greater sig-
erties as variables. The writers intend to pursue this research nificance than the direction of loading specifically.
through the use of finite-element modeling in the future.
ACKNOWLEDGMENTS
SUMMARY AND CONCLUSIONS This research project is supported by a research grant CRC96/99.EG04
from the Cooperative Research Center scheme of the Research Grant
A database of large-scale field load tests on rock-socketed Council of the Hong Kong Government of the Special Administrative
piles was reviewed with regard to rock-socket side resistance. Region. The writers would like to acknowledge the contributions pro-
vided by the Kowloon-Canton Railway Corp., Mass-Transit Railway
In total, 35 tests in decomposed rock, of which 13 were tests Corp., Ove Arup and Partners Hong Kong Ltd., Gammon Construction
on piles of diameter greater than or equal to 1 m in Hong Ltd., and the Geotechnical Engineering Office of the Hong Kong Gov-
Kong, and 44 tests in sedimentary rock were studied. Obser- ernment of the Special Administrative Region, all of which provided
vations were made on the mobilization and capacity of socket some of the test data analyzed in this paper. In particular, the help of
resistance and were compared with design formulas proposed Messrs D. Gerken, I. Thomas, S. C. Lee, and J. Blake of the Kowloon-
in the literature. Capacity was reviewed predominantly in re- Canton Railway Corp., John Sekula of the Mass-Transit Railway Corp.,
D. Symth of Gammon Construction Ltd., Drs. S. Hill, B. Littlechild, and
lation to the unconfined compressive strength of rock or con- G. Plumbridge of Ove Arup and Partners Hong Kong Ltd., and Prof. C.
crete (whichever is weakest) and rock type. Other, more de- K. Shen and Dr. D. Rigby, former Hong Kong University of Science and
tailed information such as socket roughness, which may have Technology members, are highly appreciated.
allowed further analysis, was generally not available. The
Hong Kong tests were in decomposed granitic, volcanic, and REFERENCES
metasedimentary rocks, whereas the tests from the literature
Buildings Ordinance Office (BOO). (1980). ‘‘Pile foundations.’’ Prac.
were predominantly in sedimentary rocks. To categorize re-
Note for Authorised Persons and Registered Struct. Engrs., No. 66,
sults of side resistance based on degree of mobilization, a DI 1997 Revision, Buildings Department, Hong Kong.
was defined and applied to the database. Results were studied Buildings Ordinance Office (BOO). (1990). ‘‘Foundation design. Building
in relation to variables such as rock type and the unconfined (construction) regulations 1990—Part VI.’’ Prac. Note for Authorised