Geotechnical Engineering Proceedings of the Institution of Civil Engineers

Shearing resistance during pile installation http://dx.doi.org/10.1680/geng.14.00066

in sand Paper 1400066
Lim and Lehane Received 02/04/2014 Accepted 27/11/2014
Keywords: foundations/granular materials/piles & piling

ICE Publishing: All rights reserved

Shearing resistance during pile

installation in sand
Jit Kheng Lim BEng, MEng, PhD Barry Lehane BE, MAI, DIC, PhD
Research Associate, School of Civil, Environmental and Mining Winthrop Professor of Geotechnical Engineering, School of Civil,
Engineering, The University of Western Australia, Crawley, WA, Australia Environmental and Mining Engineering, The University of Western
Australia, Crawley, WA, Australia

This paper examines the detailed stress changes recorded by surface stress transducers equipped on model piles
during jacked installation of various piles at sand sites with different groundwater regimes and sand characteristics.
Three separate types of shear stress–displacement characteristics are observed and these are explained using findings
from existing laboratory and field-based studies on soil-pile–penetrometer interface friction. The findings advance
understanding of factors influencing the shearing resistance developed during displacement pile installation in sand,
which is an important consideration for pile driveability assessments.

Notation 2. Background
Cu coefficient of uniformity For many decades, the direct shear apparatus (DSA) has been
D pile diameter used to study the interface shearing behaviour between soils and
D50 mean particle size construction materials (e.g. Al-Douri and Poulos, 1992; Desai et
Dr relative density al., 1985; Jardine et al., 1992; Potyondy, 1961). The limitations
emax maximum void ratio of the direct shear device were highlighted by Kishida and
emin minimum void ratio Uesugi (1987), who proposed a better alternative known as a
G operational shear modulus simple shear interface apparatus (SSIA). Parametric studies
K normal stiffness conducted by Uesugi and Kishida (1986), Frost et al. (2002),
L pile length Lings and Dietz (2005) and DeJong and Westgate (2009), among
qc cone tip resistance others, using either the DSA or SSIA, found that the major
R interface surface roughness factors influencing the interface behaviour are the sand type and
Rn relative roughness relative roughness (Rn), that is, the ratio of a measure of the
Sr degree of saturation interface surface roughness (R) to the mean effective particle
uo ambient pore pressure size (D50).
˜y interface slip dilation
˜ó n9 changes in radial effective stress during shearing Unlike the DSA and SSIA, the ring shear apparatus (RSA)
äcv constant volume interface friction angle allows for unlimited shear displacements and exhibits smaller
ór radial total stress end effects; it is therefore claimed to model the large displace-
ó r9 radial effective stress ment interface behaviour relevant to a displacement pile more
ô shear stress realistically. Various types of RSA have been explored by Tika
ôpeak peak shear stress (1999), Kelly (2001), Corfdir et al. (2004) and Ho et al. (2011)
to investigate a range of aspects related to the drained interface
shearing resistance in sand. The results showed that particle
1. Introduction damage together with a change in interface roughness following
The shearing resistance developed during displacement pile large displacement shearing lead to different ultimate interface
installation in sand is an important consideration for pile friction angles from those derived using the DSA. It is
driveability assessments. Although laboratory interface tests have important to note that conventional DSA, SSIA and RSA
greatly improved understanding of the interface shearing charac- interface tests are generally performed under constant normal
teristics, confidence in their direct application to the large load (CNL) conditions and focus mainly on the mobilised
displacement and rapid shearing induced during pile installation interface friction angles.
is limited, owing to the difficulty in replicating the correct
boundary conditions in laboratory test set-ups. This paper Boulon and Foray (1986) suggested that the pile shaft interface
presents examples of shear stress and radial stress data recorded shearing mechanisms should be intermediate between the con-
during jacked pile installation in a variety of different sand types stant normal load and constant volume conditions, and can be
and hence provides added insights into the mechanisms operating modelled approximately by imposing a (linear) spring with an
at the pile shaft–sand interface. appropriate stiffness (K) normal to the interface (termed the

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Geotechnical Engineering Shearing resistance during pile
installation in sand
Lim and Lehane

constant normal stiffness (CNS) condition). The CNS test has at the pile shaft, as the operational normal stiffness reduces as the
become more popular after it was realised that the degradation of dilation at the interface increases.
shaft friction with cycling observed in the field (Murff, 1987;
Poulos, 1988; White and Lehane, 2004) could only be replicated Direct monitoring of shaft stresses on an instrumented model pile
in laboratory interface tests if the CNS condition was used in is certainly the most desirable approach to improve understanding
place of the more generally employed CNL mode. of the shearing behaviour at a pile shaft. This approach captures
the true pile penetration mechanism and soil flow, real boundary
Pile shaft friction degradation was further investigated using CNS conditions, actual particle damage and fines migration, and
conditions in the DSA to examine the influence of relative varying normal stiffness – none of which can be simulated
density, sand type, surface roughness, normal stress and normal completely satisfactorily in laboratory interface tests. However,
stiffness on the monotonic, cyclic and post-cyclic responses the scarcity of an accurate and highly repeatable earth pressure
(Airey et al., 1992; DeJong et al., 2003, 2006; Mortara et al., cell equipped on the pile shaft has been a major obstacle.
2007, 2010; Porcino et al., 2003; Tabucanon et al., 1995) and
was incorporated into the SSIA (Evgin and Fakharian, 1996) and A multi-sleeve friction attachment for a cone penetrometer was
RSA (Kelly, 2001) devices. One striking feature revealed by the developed at the Georgia Institute of Technology (GT) to examine
CNS–RSA experiments (Kelly, 2001), as indicated in Figure 1, is the relationship between interface shear strength and surface
the shear stress brittleness observed when shearing a calcareous roughness directly through in situ measurement (DeJong and
sand against a rough interface to large displacement; this Frost, 2002; Frost and DeJong, 2005). The attachment comprises
response was not observed in silica sand. Lehane et al. (2005) four individual friction sleeves, each of which can be assigned a
showed that CNS tests will always only approximate the response different texture (representing the required surface roughness)
and located at different positions relative to each other. In
keeping with the observations from laboratory interface tests, the
results show that interface shearing resistance depends critically
300 K ⫽ 0 kPa/mm on the surface roughness. Their experiments were performed in a
K ⫽ 100 kPa/mm
K ⫽ 400 kPa/mm single monotonic push in contrast to small incremental driving/
K ⫽ 1000 kPa/mm jacking stages (associated with shear reversal) characteristic of
Shear stress: kPa

200 displacement pile installation.

An instrument, referred to as a surface stress transducer (SST),

100 developed at Imperial College London (ICL) in collaboration
with Cambridge Insitu (Bond et al., 1991), is arguably one of the
most suited to measuring pile shaft friction characteristics. It
0 allows for a designated surface roughness to be specified and
0 100 200 300 400 measures both radial stress and shear stress acting on the pile
Normal stress: kPa
shaft simultaneously. The instrument is the key component in the
(a)
Imperial College pile (ICP), which has been used with con-
siderable success in various ground conditions around Europe
300 K ⫽ 0 kPa/mm (Bond, 1989; Chow, 1997; Lehane, 1992). The ICP programme,
K ⫽ 100 kPa/mm however, only covered two siliceous sand sites (i.e. Labenne and
K ⫽ 400 kPa/mm
K ⫽ 1000 kPa/mm Dunkirk) as well as recent experiments in a laboratory testing
Shear stress: kPa

200 chamber (Jardine et al., 2009, 2013), leaving considerable scope

to examine pile shaft shearing characteristics of sands under a
variety of different conditions.
100
Field experiments using the SST have recently been undertaken
at The University of Western Australia (UWA) to explore sand
sites of different mineralogy and groundwater regimes. The
0
0 100 200 300 400 programme employed two newly fabricated SSTs with diameters
Normal stress: kPa of 65 mm and 135 mm, as well as one of the 100 mm diameter
(b) SSTs used on the ICP. Results obtained with these devices at
three different sand sites are presented here and their contrasting
Figure 1. Effective stress paths from CNS ring shear tests shaft friction responses are used to provide fresh insights into
shearing: (a) Sydney silica sand; (b) Barry’s Beach calcareous sand the mechanisms operating at the pile shaft–sand interface. It is
against rough interface (after Kelly, 2001) noted, however, that, compared to full-scale driven piles, the
model piles employed are smaller in diameter, tested in lower

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Geotechnical Engineering Shearing resistance during pile
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Lim and Lehane

stress regimes and were installed using an incremental jacking the sand strata between 2 m and 2 .5 m (where examination is
procedure. focused in this paper) has an average qc value of about 3 .5 MPa
and average Dr values ranging from 30% to 45% (i.e. loose to
3. Test sites medium dense).
The jacked pile installations with the SST were performed at
three normally consolidated sand sites, characteristics of which 4. Test piles
are described in the following paragraphs. The model test piles employed are (reduced-scale) closed-ended
steel piles with outer diameters (D) of 65 mm, 100 mm and
Site A: Shenton Park site is located about 5 km from Perth city 135 mm. Each pile is instrumented with a single stainless steel
centre and comprises a sub-rounded to sub-angular, siliceous SST, which is fixed at about 0 .7 m above the pile tip. The
dune sand underlain by a weakly cemented limestone at a depth position is approximately ten times the pile diameter (10D) above
of about 10 m. The water table is at the base of the sand layer. the pile tip for the 65 mm diameter pile, where conditions can be
The sand maintains a level of saturation of between 10% and considered relatively stable and free from major end effects
14% (outside treed areas; see Lehane et al. (2004)) and contains (Campanella and Robertson, 1981). The heights above the pile tip
a small amount of carbonates (less than 5%); these conditions for the 100 mm and 135 mm diameter piles are about 7D and 5D,
provide the potential for very light cementation and/or suction respectively. The piles were installed to an average embedment
between particles. The sand is uniformly graded with a mean length of about 3 m, which resulted in a range of pile slenderness
particle size (D50) of 0 .42 mm and coefficient of uniformity (Cu) ratios (L/D) comparable to typical prototype piles.
of about 2 .5. Maximum and minimum void ratios (emax and emin)
are 0 .79 and 0 .44, respectively, and the constant volume friction A CPT truck provided the reaction to install the model piles in a
angle measured under triaxial conditions is 328 (Schneider, series of either 100 mm or 250 mm long jacking strokes at an
2007). average jacking speed of about 6  2 mm/s at sites A and C. A
faster rate (averaging about 15 mm/s) was employed for the test
Site B: South Perth Esplanade site is a residential re-development programme at site B owing to the limited time frame allowed to
area located close to the Swan River in the centre of Perth. The work within the commercial site. The piles were fully unloaded
mean water table level is at a depth of 1 .5 m and varies from this after each jacking stroke and left for a brief pause period of
mean by up to 0 .5 m due to tidal effects. The site comprises a between 1 and 5 min before jacking recommenced; this incre-
well-compacted sand fill in the upper 1 .5 m and is underlain by mental procedure was an attempt to mimic the cyclic shearing
alluvial silica sand. Classification tests on the sub-rounded to involved in the pile installation process.
sub-angular alluvial sand indicated D50 and Cu values of 0 .49 mm
and 1 .9, respectively. Properties of the alluvial sand are very Prior to installation, the model piles were shot-blasted to a
similar to those found at Shenton Park. centre-line average roughness of approximately 8 m, which was
seen to have reduced to about 4 m after pile removal. Previous
Site C: Ledge Point site is adjacent to Ledge Point village, about research (e.g. Ho et al., 2011; Yang et al., 2010) suggests that the
100 km north of Perth. The test site comprises coastal dune sands changes of both roughness (R) and particle size (D50) during pile
with a calcium carbonate content of 90%. The sand is angular installation are most critical for shearing displacement within the
and uniformly graded with D50 of 0 .25 mm and Cu of about 2. first metre and during the first few shearing cycles; these effects
The constant volume friction angle in triaxial compression was diminish as shearing continues. Therefore, despite a shorter total
398 and the emax and emin were recorded as 1 .21 and 0 .90 displacement compared to that of the prototype piles, the relative
respectively (Sharma, 2004). The in situ water content varied roughness (Rn ¼ R/D50) that governs the interface friction angle
between 5% and 8%, which is equivalent to a degree of saturation along the pile shaft has been reasonably modelled in the
(Sr) of between 10 and 20%. experiment.

Data from Cho and Santamarina (2001) suggest that, for the 5. Effect of stress level
given Sr and D50 values, suction pressures within the sands at The test piles were installed to relatively shallow depths (up to
sites A and C were negligible. Lehane (1992) also showed an 4 m) and therefore the effect of lower stress levels on the
absence of any suction pressures in sand with a similar D50 and experimental results is worthy of consideration. The shearing
Sr value at Labenne. behaviour at a pile shaft has been shown by Boulon and Foray
(1986) and many others to behave more closely to the constant
Cone penetration tests (CPTs) were performed in close proximity normal stiffness (CNS) condition, for which the normal stiffness
to the test piles at these three sites. Figure 2 compares typical (K) can be expressed as
profiles of cone tip resistance (qc) and corresponding in situ
relative densities (Dr) estimated from correlations proposed by ˜ó n9 4G
K¼ ¼
Jamiolkowski et al. (2001), assuming medium compressibility for 1: ˜y D
sites A and B and high compressibility for site C. It is seen that

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Geotechnical Engineering Shearing resistance during pile
installation in sand
Lim and Lehane

qc: MPa Dr
0 2 4 6 8 10 0 0·2 0·4 0·6 0·8 1·0
0 0
Site A Site A

Site B Site B

0·5 Site C 0·5 Site C

1·0 1·0

z: m bgl
z: m bgl

1·5 1·5

Focus area Focus area

2·0 2·0

2·5 2·5

3·0 3·0
(a) (b )

Figure 2. Comparison of CPT end resistances (qc) and estimated

relative density (Dr) using correlation by Jamiolkowski et al.
(2001) for three investigated sand sites

where ˜ó n9 is the changes in radial effective stress during 6. Results and discussion
shearing due to interface slip dilation of ˜y, G is the operational Despite having comparable qc values and stress levels in the
shear modulus of the sand mass confining the pile shaft during focus area between 2 m and 2 .5 m (see Figure 2), the installation
the shearing and D is the pile diameter. records at the three sites displayed different trends. Representa-
tive cases showing profiles of radial total stress and shear stress
Under the constrained conditions adjacent to a pile, the sand recorded during installation are presented on Figures 3 and 4,
stiffness (and thus the normal stiffness) at a given strain level is which show data obtained with the 65 mm diameter piles at sites
larger at higher stress levels. Therefore, as shown in Lehane et al. A and B and the 100 mm diameter piles at sites A and C. The
(2005), although the level of dilation is lower at high stress traces shown correspond to the measured stresses while the piles
levels, the product of the operational shear stiffness and the were moving and when the piles were stationary in between the
interface slip dilation can be greater or less than the correspond- jacking stages. It is seen that the shaft stresses at site A remained
ing product at low stress levels. In addition, the strongly dilative about constant during shearing, whereas both radial and shear
response at high stress levels observed by Kelly (2001) and stresses at sites B and C reduced as shearing continued. The
presented in Figure 1 (discussed later) does not support the reductions were recovered (to different degrees) during subse-
contention that dilation effects are small at high stress levels. quent jacking strokes following shear reversal in the unloading–
Therefore, given the inverse dependence on diameter shown in reloading processes.
Equation 1, the combination of the smaller diameters of the
model piles employed in the experiments and the lower stress The variations of shear stress (ô) with radial total stress (ór) and
regime is expected to lead to a broadly similar normal stiffness radial effective stress (ó9r ) (referred to as TSP and ESP, respec-
condition to full-scale piles. tively) recorded for a typical loading stage at the three test sites

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Geotechnical Engineering Shearing resistance during pile
installation in sand
Lim and Lehane

Shaft stresses: kPa Shaft stresses: kPa

⫺20 0 20 40 60 ⫺20 0 20 40 60
2·0 2·0

2·1 2·1

2·2 2·2

SST depth: m bgl

SST depth: m bgl

2·3 2·3

2·4 2·4

2·5 2·5
Shear Radial Shear Radial
(a) (b)

Figure 3. Profiles of radial and shear stresses during installation

of 65 mm diameter model piles at (a) site A and (b) site B

are presented in Figure 5. At all sites, after a small reduction in sures. Yang et al. (2010) provide evidence indicating a greater
ór, continued shearing results in an increment of radial stress tendency for pore pressure generation in the dilative shear band
accompanying an increment of shear stress. This behaviour adjacent to the pile shaft–sand interface following displacement
reflects the effects of constrained dilation during interface shear- pile installation, due to grain crushing and a reduced sand
ing, such as those observed during load tests in previous ICP permeability. The effective stress path (ô and ó r9) estimated using
experiments (e.g. Lehane et al., 1993) and those seen in CNS the interface friction angle (äcv ¼ tan1 [ô=ó r9]) of 258 (which
interface shear tests. At site A, where radial effective stresses was also found applicable at site A) is shown on Figure 5(b). This
(ó r9) can be assumed equal to radial total stresses, the sand path suggests that pore pressures reduced by about 20 kPa below
remains at critical state conditions during continued large ambient pressures when the peak shear stress was developed.
displacement shearing (i.e. constant ô and ó r9 when the maximum Such brittleness was also shown by SSTs below the water table in
shear stress is attained). In contrast, the shear stresses reduced compression tests at Labenne (Lehane, 1992) when the pile
considerably at sites B and C after the peak values were reached. accelerated under load control when peak capacity was mobi-
lised.
At site B, the higher penetration rate (about four times faster than
at site A) and the fully saturated conditions suggest that negative The more crushable and angular calcareous sand at site C
pore pressures were generated during the start of the jacking compared to the siliceous sands at sites A and B suggests that the
phase and that these then dissipated as shearing continued, post-peak drop in shear stress evident on Figure 4(b) and Figure
resulting in lower effective stresses. The tendency for shear 5(c) arose due to contraction following particle breakage as
stresses to stabilise towards the end of each jacking stage coupled shearing continued (e.g. Coop and Lee, 1993; Luzzani and Coop,
with the recovery in shear stresses that can be developed during 2002); such contraction leads to a drop in radial effective stress
each subsequent jacking stage (as seen on Figure 3(b)) is acting on the pile shaft and hence a reduction in shear stress. This
consistent with the development of transient excess pore pres- permanent change in fabric is consistent with the progressive

5
Geotechnical Engineering Shearing resistance during pile
installation in sand
Lim and Lehane

Shaft stresses: kPa Shaft stresses: kPa

⫺20 0 20 40 60 ⫺20 0 20 40 60
1·4 1·4

1·6 1·6

1·8 1·8
SST depth: m bgl

SST depth: m bgl

2 2·0

2·2 2·2

Shear Radial Shear Radial

2·4 2·4
(a) (b)

Figure 4. Profiles of radial and shear stresses during installation

of 100 mm diameter model piles at (a) site A and (b) site C

reduction in installation shear stresses shown on Figure 4(b). tion, which do not represent the initial curve stiffness accu-
Further evidence of this effect is seen on Figure 1 (Kelly, 2001), rately.
which shows considerable brittleness of shear stresses in large-
scale CNS ring shear tests on Barry’s Beach calcareous sand, but 7. Conclusion
no brittleness on the Sydney silica sand. CNS direct shear Interpretation of the data observed during jacked installation of
interface tests conducted at low stress levels on the Ledge Point instrumented displacement piles at three sand sites indicated the
sand (Lehane et al., 2012) also revealed post-dilative contraction following trends.
after initial dilation.
(a) Shear stresses developed on the shafts of piles are directly
The measured local shear stresses were normalised by their related to the radial effective stress and interface friction
corresponding peak shear stresses (ôpeak) for a range of different angle, by way of Coulomb’s friction law.
(and typical) jacking stages and are presented in Figure 6. It is (b) No post-peak reduction in shaft shear stress occurs during
evident that the shear stresses for the model piles at site A jacked pile installation in dry silica sands. Post-peak
increased to a certain plateau, which were then maintained as reductions in shear stress can, however, arise when the silica
shearing continued. At site B, shear stress brittleness was sands are saturated and installation is rapid. Such reductions
observed during jacking into a water-bearing sand stratum. A are due to the dissipation of negative excess pore pressures
similar trend to that seen at site B was recorded at site C when and do not reflect any significant change in the fabric of the
installing a model pile into a calcareous sand layer above the sand at the pile shaft.
water table. It should be noted that the shear displacements in (c) Actual brittleness (i.e. structural damage) occurs in
Figure 6 (also in Figure 3 and Figure 4) are crude estimations compressible sands sheared against a rough interface, which
in the absence of displacement measurements during penetra- results in particle breakage and associated contraction with a

6
Geotechnical Engineering Shearing resistance during pile
installation in sand
Lim and Lehane

δcv ⫽ 25°
30 consequent reduction in radial and shear stresses on the pile
shafts during shearing.
20
Acknowledgements
τ: kPa

10 The authors thank Professor Richard Jardine of Imperial College

ESP ⫽ TSP London (ICL) for providing the 100 mm diameter surface stress
u0 ⫽ 0 kPa
transducer (SST). The contributions of previous undergraduate
0
0 10 20 30 40 50 60 70 students at the University of Western Australia, Daniel Brook and
σr, σ⬘r : kPa Thomas Pine, are gratefully acknowledged. The first author would
⫺10 (a)
like to acknowledge the scholarship given by the Malaysian
δcv ⫽ 25° government through Universiti Teknologi MARA (UiTM). This
30
research project was funded by an Australian Research Council
ESP Discovery grant.
20
τ: kPa

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installation in sand
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