Helical Piles

Howard A. Perko
Copyright 0 2009 by John Wiley & Sons, Inc. All rights reserved.

Helical Piles

A Practical Guide to Design and Installation

Helical Piles
A Practical Guide to Design and
Installation

Howard A. Perko, Ph.D., P.E.

John Wiley & Sons, Inc.

This book is printed on acid-free paper. 
∞

Copyright © 2009 by Howard A. Perko. All rights reserved.

Published by John Wiley & Sons, Inc., Hoboken, New Jersey

Published simultaneously in Canada

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Library of Congress Cataloging-in-Publication Data:

Perko, Howard A.
Helical piles : a practical guide to design and installation / Howard A. Perko.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-470-40479-9 (cloth)
1. Steel piling. I. Title.
TA786.P47 2009
624.154—dc22 2009019343

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1
 Contents

Foreword xi
Preface xiii
Acknowledgments xv

Chapter 1 Introduction 1
1.1 Basic Features 2
1.2 Terminology 5
1.3 Invention 6
1.4 Early U.S. Patents 13
1.5 Periods of Use 23
1.6 Modern Applications 25
1.7 Environmental Sustainability 31

Chapter 2 Installation 37
2.1 Equipment 37
2.2 General Procedures 40
2.3 Special Procedures 48
2.4 Installation Safety 53
2.5 Torque Measurement 59
2.6 Torque Calibrations 67
2.7 Field Inspection 71

v
vi Contents

Chapter 3 Basic Geotechnics 75

3.1 Subsurface Exploration 75
3.2 Field Penetration Resistance 80
3.3 Soil Classification 84
3.4 Bedrock 89
3.5 Site Suitability 94
3.6 Shear Strength 96

Chapter 4 Bearing Capacity 103

4.1 Helix Spacing 103
4.2 Individual Bearing Method 105
4.3 Cylindrical Shear Method 118
4.4 Limit State Analysis 122
4.5 Shaft Adhesion 124
4.6 LCPC Method 126
4.7 Pile Deflection 127
4.8 Simple Buckling 132
4.9 Advanced Buckling 142
4.10 Down Drag 147

Chapter 5 Pullout Capacity 151

5.1 Theoretical Capacity 151
5.2 Minimum Embedment 158
5.3 Effect of Groundwater 163
5.4 Group Efficiency 165
5.5 Structural Capacity 168
5.6 Cyclic Loading 170

Chapter 6 Capacity-to-Torque Ratio 173

6.1 Early Empirical Work 173
6.2 New Emperical Justification 176
6.3 Energy Model 179
6.4 Simple Shaft Friction Model 185
6.5 Other Theoretical Methods 187
6.6 Precautions 187
6.7 Exploration with Helical Pile 190
 Contents vii

Chapter 7 Axial Load Testing 191

7.1 Compression 191
7.2 Tension 196
7.3 Loading Procedures 201
7.4 Interpretation of Results 205
7.5 Other Interpretations 207

Chapter 8 Reliability and Sizing 215

8.1 Factor of Safety 215

8.2 Helix Sizing 217
8.3 Computer-Aided Sizing 220
8.4 Statistics 225
8.5 Field Adjustments 229
8.6 Reliability 231

Chapter 9 Expansive Soil Resistance 235

9.1 Expansive Soils 235
9.2 Foundations on Expansive Soils 238
9.3 Active Zone 245
9.4 Pile Design 248
9.5 Early Refusal Condition 253

Chapter 10 Lateral Load Resistance 257

10.1 Rigid Pile Analysis 258
10.2 Flexible Pile Analysis 261
10.3 Pile Groups 268
10.4 Effect of Helical Bearing Plates 269
10.5 Effect of Couplings 270
10.6 Lateral Load Tests 270
10.7 Emperical Results 274
viii Contents

10.8 Lateral Restraining Systems 277

10.9 Seismic Resistance 285

Chapter 11 Corrosion and Life Expectancy 295

11.1 Corrosion Basics 295
11.2 Galvanic Corrosion 299
11.3 Zinc Coatings 300
11.4 Passivity 305
11.5 Powder Coating 306
11.6 Design Life 307
11.7 Sacrificial Anodes 315
11.8 Special Topics 320

Chapter 12 Foundation Systems 325

12.1 Basic Foundation Plan 325
12.2 Foundation Loads 332
12.3 Pile Cap Design 341
12.4 Manufactured Pile Caps 354
12.5 Bridges and Boardwalks 354
12.6 Concreteless Design 360
12.7 Lateral Bracing 360

Chapter 13 Earth Retention Systems 363

13.1 Lateral Earth Pressure 363
13.2 Retaining Walls 367
13.3 Excavation Shoring 374
13.4 Timber Lagging 379
13.5 Helical Soil Nails 381
13.6 Grading and Drainage 387
13.7 Post-Tensioning 387
13.8 Wall Repair 389

Chapter 14 Underpinning Systems 393

14.1 Foundation Repair 393
14.2 Underpinning Brackets 395
 Contents ix

14.3 Rotational Bracing 401

14.4 Floor Slab Support 404
14.5 Braced Excavations 410

Chapter 15 Economics 419

15.1 Cost and Availability 419
15.2 Foundation Economics 421
15.3 Measurement and Payment 425

Chapter 16 Proprietary Systems 429

16.1 Grouting Systems 429
16.2 Ground Anchors 433
16.3 Special Helix Shapes 433
16.4 Underpinning Systems 435
16.5 Enhanced Lateral Resistance 436
16.6 Composite Piles 439
16.7 Special Couplings 439
16.8 Future Development 440

Chapter 17 Building Codes 441

17.1 IBC 2006 441
17.2 IBC 2009 442
17.3 Product Evaluation Reports 444
17.4 AC358 Criteria Development 445
17.5 New Evaluation Criteria 447
17.6 Forthcoming Codes 449

Appendix A. Common Symbols

and Abbreviations 451
Appendix B. Summary of Prior Art 455
Appendix C. Load Tests Results 465
Appendix D. Nomenclature 477
Glossary of Terms 483
Bibliography 491
Index 508
 Foreword

Helical piles offer a versatile and efficient alternative to conventional deep foundations
or anchors in a wide variety of applications. This technology has enjoyed an increased
awareness and use by engineers in recent years, a trend which is due at least in part
to the efforts of Howard Perko and the members of the Deep Foundation Institute’s
Helical Foundations and Tie-Backs Committee.
With this greater implementation of helical piles comes an increased need for
a comprehensive guide to the current state of knowledge regarding the appropriate
methods of design and installation. Howard’s book is a much needed resource to meet
that need and will serve as the authoritative and comprehensive reference on helical
piles.
The fundamental mechanisms by which helical piles develop resistance to load are
described in a manner consistent with basic principles of soil mechanics. Along with
the thorough description of installation methods and equipment that is provided, the
concepts used for design and quality control/quality assurance follow logically. The
section on corrosion and life expectancy is particularly important now as applications of
helical piles expand into greater use with permanent structures with longer intended
service periods. Applications for helical piles are described which may prove novel
to many engineers and open opportunities for innovation and development of more
cost-effective solutions.
In summary, this text provides a valuable reference on an emerging technology
that should serve as an important resource for any practicing engineer or constructor
involved in the design or construction of foundation or earth support systems.

Dan Brown, Ph.D., P.E.

Dept. of Civil Engineering, Auburn University
Dan Brown and Associates, PLLC

xi
 Preface

Helical piles have been used in construction for over 200 years. Today, there are over
50 helical pile manufacturing companies in at least twelve countries on four continents.
There may be more than 2,000 helical pile installation contractors in the United States
alone.
In the past, helical piles were an interesting alternative that some geotechnical
engineers would take into consideration in special cases. Fifteen years ago, helical piles
were barely mentioned in undergraduate and graduate civil engineering studies. Now
helical piles are well known by most practicing engineers and should be considered
an essential part of any graduate course in foundation engineering. Helical piles have
gained in popularity to the extent that they are used more frequently than other deep
foundations in some geographic locations. Even owners and developers are beginning
to request helical piles.
At the time of this writing, an average of 1,500 people per week visit the trade Web
site www.helicalpierworld.com. Over 100 technical papers and numerous articles have
been written about helical piles. There are 163 U.S. patents pertaining to helical piles.
The Helical Foundations and Tie-Backs committee of the Deep Foundation Institute
(DFI), a professional trade organization, formed in 2001 and has been one of the
largest DFI committees.
Helical piles were adopted into the International Building Code in 2009. Helical
piles most certainly have a bright future in geotechnical engineering and foundations
construction. Yet most of the information about these systems is contained in propri-
etary manuals published by helical pile manufacturing companies. An unbiased and
universally applicable text dedicated to the design and installation of helical piles is
needed to compile the current state of knowledge and practice in the industry. The
goal of this book is to satisfy that need.

xiii
 Acknowledgements

Several professionals in industry helped by proofreading and editing various chapters of

this book, contributing images, and providing general feedback. Their contributions
are gratefully acknowledged.
Most notably, my good friends and current employers, Bill Bonekemper and Brian
Dwyer of Magnum Piering, Inc., contributed in a number of ways, from photographs
and load test results, to unwavering moral support. Also, I recognize my former
supervisors, Ron McOmber, chairman of the board of CTL|Thompson, and Robert
Thompson, founder of CTL|Thompson, who supported the book by providing load
test data, laboratory swell test data, and company resources for printing and computing
as well as for their review of Chapter 9 and all the guidance through the years.
Support for this book also was provided by helical pile manufacturing representa-
tives, researchers, professionals, and faculty members. Gary Seider and Don Deardorff
of Chance Civil Construction/Hubbell, Inc. reviewed Chapters 1 and 2, provided a
copy of HeliCap software, and contributed several images. Tony Jacobsen and Justin
Porter of Grip-Tite Manufacturing Co., LLC reviewed Chapters 1 and 2 and provided
helpful discussions. Darin Willis of Ram Jack Systems Distribution, LLC reviewed
Chapters 4,6, 8, and 10 and provided load test data, several images, and a copy of
RamJack Foundation Solutions software. Jeff Tully of Earth Contact Products, Inc.
provided project photographs and reviewed Chapters 1 and 2. Steve Petres and Wei-
Chung Lin of Dixie/MacLean Power provided load test data, a description of their
inventions, and an image for Chapter 16. John Pack, senior engineer with IMR in
Wheat Ridge, Colorado, reviewed Chapter 9. Mamdouh Nasr of Shaw Construction in
Dubai provided load test results and images from finite element analysis of helical piles.
Dr. Amy Cerato, assistant professor at Oklahoma University, provided copies of her
presentations and papers for reference and incorporation into Chapter 5. Rich Davis of
www.helicalpierworld.com provided industry statistics.Gary Bowen, an independent

xv
xvi Acknowledgements

consultant from Mill City, Oregon, is appreciated for providing his unpublished paper
on capacity-to-torque ratios and also his assistance with review Chapter 6. Eileen
Dornfest, senior geologist and project manager, with Tetratech in Fort Collins, CO, is
appreciated for reviewing Chapter 9. I would also like to thank my friends at Mueser
Rutledge Consulting Engineers, especially Peter Deming, Sitotaw Fantaye, and
Kathleen Schulze, for selecting me to work with on drafting the New York City helical
pile building code and for Sitotaw Fantaye’s precursory review of Chapters 4, 5, 6, 10,
and 11. As a special note, I thank Dr. John Nelson, retired professor from Colorado
State University, author of one of the most well regarded books on expansive soils,
and my Ph.D. advisor for helping to develop my technical writing skills, teaching me
most of what I know about expansive soils, and for his review of Chapter 9.
A number of colleagues from CTL|Thompson, Inc. helped with the book, often in
their spare time. Robin Dornfest, Chip Leadbetter, and one of my early mentors, Frank
J. Holiday, reviewed and edited Chapter 3. Chief structural engineer James Cherry
helped indirectly through the years by teaching a soil engineer about foundation design
and structural analysis as well as directly contributing by reading and editing Chapters
7 and 12. Staff members Becky Young and Antoinette Roberts prepared the database
of swell tests contained in Chapter 9. Chief environmental engineer Tom Norman
and business development manager Timiry Kreiger assisted with the environmental
benefits of helical piles contained in Chapter 1.
I also recognize three well-known experts in the helical pile industry: Bob Hoyt,
independent engineering consultant, Sam Clemence, distinguished professor from
Syracuse University, and Al Lutenegger, distinguished professor from the University
of Massachusetts Amherst. I thank them for their many contributions to the industry.
Their work provided a foundation for this book. I owe much of my professional
growth to listening to their lectures and reading their papers. I am honored to have
had many personal conversations with them through the years. I am also thankful for
Sam Clemence’s review of Chapters 4, 5, and 6.