PASSIVE PILES SUBJECTED TO EXCAVATION INDUCED SOIL

MOVEMENT: AN OVERVIEW
Rajesh Prasad Shukla
Research Scholar
IIT Roorkee, Roorkee- 247667, UK, India.
shuklarajesh4687@gmail.com

ISBN: 978-81-923320-6-2

Proceedings of
International Conference on Sustainable Energy and Built Environment

Abstract: In urban areas, lateral soil movements induced by deep excavation of the foundation pits may
influence the performance of adjacent working pile foundation and sometime it may cause failure. So it is
very important for a civil engineers to evaluate the pile response under lateral soil movement. Moving
soil induces additional settlement, deflection, bending moment and stress in the piles and, this can cause
the reduction in the serviceability and failure of the piles. During the last two decades a good number of
experimental and analytical studies have been conducted by various researchers to determine the effect of
excavation on the adjacent piles. Many of studies have conducted for study and academics purpose only
and result cannot be used in field. An attempt is made in this article to review the available literature on
piles subjected to lateral soil movement. Based on critical review of literature, some critical areas have
been identified those need more attention from researchers.
Keywords: excavation, pile, passive, soil movement

Paper ID: ICESGT009

1. Introduction
India is second most populated country in the world and
population growth rate is very high in metropolitan
cities due to rapid urbanization and immigration form
rural area. Within last few years, construction industry
have experienced very rapid growth. This has lead a
scarcity of land in Indian cities so engineers will have to
optimize the utilization of space and construct multistorey building near vicinity of existing building. Now,
engineers have left only one choice to use deep
foundation to support the massive infrastructure and
high-rise buildings. Pile foundation is a deep foundation
and generally use to transfer the structural loads to the
deeper strong subsurface strata, especially in areas
where soft soil is found in the upper soil layers.
Pile foundation can be subjected to lateral, vertical or
moment loading. Laterally loaded piles may be
classified as active piles or passive piles, based on load
transferring direction between the piles and surrounding
soils [1]. An active pile is principally loaded at the top
and lateral load is transferred to soil; for example
offshore structure, transmission tower etc. Passive piles
are used to sustain lateral thrust arising due to horizontal
movement of surrounding soil along pile shaft; such as
piles subjected to lateral soil movement because of deep
excavation, landslide, slope movement, tunneling, and
embankment loading and behaviour of piles under soil
Organized by: School of Mechanical and Building Sciences
VIT University, Vellore 632014, TN
12-13 March, 2015

movement is different for all four cases [2]. Piles

installed for landslide stabilization purpose mostly does
not subjected to vertical loading and heavily reinforced
to provide the sufficient resistance against lateral soil
pressures. In case of tunneling, excavation is performed
at some depth below the ground level. Embankment
induced loading exert pressure from the top. In all these
case pile subjected to passive loading, but in case of
excavation in urbanized area if piles fail due to
excavation that may lead to a big loss of property and
lives.
In many cases, pile foundations are designed primarily
to support active loadings only, but an existing pile
foundation may experience passive loading. The
excavation induced lateral loads may induce additional
bending moments, settlement and deflections in the pile,
which may further lead to structural distress and failure.
Prediction of pile response subjected to lateral loading
arising from excavation-induced lateral soil movement
is a complex issue since soil movement in the presence
of pile, cannot be easily and accurately estimated [3].
Various case histories are listed in literature where
stability of structure have been threatened as a result of
decrease in density of soil and additional bending
moment due to excavation-induced lateral soil
movement. In some cases, pile foundation failed along
with structure due to unsupported excavation.
Excavation can be carried out before construction of
piles but in few conditions, it becomes inevitable as

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piles are already there. Influence of excavation on pile

foundation depends on the soil characteristics, structure,
pile characteristics and environmental condition.
A deep excavation in nearby of urbanized area for the
construction will pose a serious threat to structure due to
reduction in confining pressure, reduction in the shaft
friction, drawdown of water table and relief of vertical
pressure due to soil movement towards the cut. The
relief of vertical pressure may cause ground subsidence
around the excavation. Excavation of soil with higher
magnitude of coefficient of earth pressure can leads to
seepage induced settlement [4]. Byrne et al. (1984) [5]
presented a simple method to analyze lateral free-field
soil displacements. The stiffness of the soil was
represented by springs.
Literature is full of studies on pile foundation subjected
to tunneling induced soil movement and excavation
induced soil movement but there are very limited
studied are reported in the literature on the behaviour of
piles under excavation induced soil movement. During
the last ten years, only a small number of investigation
on the behaviour of pile and pile groups subject to
excavation-induced soil movement have been carried by
researchers. An attempt has been made in this article to
review the available literature on analytical and
experimental studies on the behaviour of pile foundation
subject to excavation-induced soil movement. Based on
study, some critical areas have been identified which
need more attention from scientific world and
researchers.
2. Analysis Methods
Evaluation of piles behaviour is required to provide
some guidelines for future construction in urbanized
area. Performance of pile can be determined by
experimental study, theoretical study and numerical
analysis. Experimental studies can be further divide into
two categories; full scale testing or model study. The
literature review is divided into three main sections;
namely, (a) field studies, (b) laboratory experiments (c)
theoretical studies.
2.1 Field studies
Various field case histories are listed in literature where
effects of soil movement on piles performance have
been studied.
Hannink and Van Tol (1988) [6] reported that 41 terrace
house at the north side of Rotterdam, in Netherlands,
was subjected to a large soil movement, due to an
unstable quay nearby. Piles foundation had not offered
resistance against soil movement and stresses in the
piles had exceeded the allowable limit.
It was
visualized that the foundation piles may soon
experience complete failure and to prevent this,
remedial measurement will have to be taken
immediately as for as possible. This case study has

highlighted the importance of designing aspects of piles

to consider the lateral movement of soil in future, near
vicinity of foundation.
Finno et al. (1991) [7] analyzed the performance of
groups of step-tapered piles located near a 15 meter
deep tieback supported excavation adjacent to tapered
pile foundation of a large structure. Lateral deformation
of sheet pile wall and lateral and vertical deformation of
main column was measured in the field. A finite
element analysis has been also performed. Lower and
upper bound solution were given after analysis. Finite
element computation of the induced bending moments
in the piles during construction of the cut and an
analysis of the existing foundation conditions indicated
that the resulting moments are not large enough to cause
cracking in the piles. Sheet-pile extraction as close as
5m to the main-column pile caps caused the pile caps to
translate toward the excavation by an amount lesser than
one half of the displaced width of the sheet pile.
Poulos (1997) [8] found that the excessive ground
movement due to unsupported excavation near the
corner of building leaded to the failure of piles
supporting the building. Due to excessive ground
movement, large settlement was recorded near one of
corner of building. The maximum lateral movement at
the corner of top of building was 1.2 m, while maximum
settlement was 0.9 m. It was revealed that the lateral
movement have caused the overloading of pile and
finally caused the failure of piles. However, this study
was unable to describe the mechanisms of large strain
development due to soil deformation ad movement. It
was suggested in analysis to perform the grouting to
encounter the problem but this idea was not succeed.
The problem was back analyzed numerically to study
the effects of excavation on piles. From study it was
demonstrated that the pile head movement increases as
soil movement increases until soil movement reached
about 200mm, after this depth soil was just flowed over
pile and this cannot impose any load on pile so pile did
not experience any further movement. This study had
provided sufficient evidence that the failure of pile
foundation was directly outcome of unsupported
excavation near the corner of existing buildings.
Thasnanipan et al. (1998) [9] analyzed four cases of pile
damage due to excavation associated soil movement in
the soft clay of Bangkok city. Problems were modeled
and analyzed by two dimensional finite element analysis
and concluded that the failure is due to development of
high magnitude of strain. Same problem was checked
again by dynamic load test to predict the piles response.
Kok et al. (2009) [10] presented a case study of piles
subjected to soil movement due to a open excavation in
Malaysia. The depth of the soft marine clay was varied
from 5m to 7m from the ground level. SPT N value for
very soft marine was zero. At the time of construction
of pile cap, piles group was subjected to open

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excavation induced soil movement. Some piles were

experienced cracking and some were broken due to
large magnitude of induced bending moment in the
piles. A pictures of pile groups is shown in figure 1.

Figure 1 Piles group after soil movement [10]

2.2 Laboratory studies
Laboratory study can be dividing into two following
sections; Centrifuge studies and 1g model tests.
Matsui et al. (1982) [11] has carried a model test study
on piles subject to soil movement in the sand as well as
in clay. The test equipment consisted of three parts, a
main body of the apparatus, recording systems and an
air pressure control device. The result of model study
was compared with theoretical study.
Poulos and Chen (1996 &1997) [12-13] presented
results of a series of small-scale model tests on a single
instrumented piles. This testing was latter extended to
analyses piles group behaviour under a linearly varied
horizontal soil movement of soil. All ttests were
repeated for free-head piles group and caped piles
group. It was revealed that group effect is a function of
the number of piles, position of the pile within the
group, head fixity condition and spacing between pile
group. An expression for induced bending moment due
to soil movement was presented. The result of study had
shown good agreement with the boundary element
analysis. Maximum pile bending moment is shown in
figure 2.
Shen (1999) [14] studied single pile and pile groups
under supported excavation and found that the induced
bending moment increased with increase in excavation
depth for all cases irrespective of member of piles,
spacing of piles and other parameters. However, after
collapsing of retaining wall, the induced bending
moment was not increasing. It revealed that the sand
was flowed around the foundation without imposing any
additional load.

Figure 2 Effect of soil movement on bending

movement [13]
Leung et al. (2000) [15] conducted centrifuge model
tests on a single pile in sand behind the stable and
collapsible retaining wall. The centrifuge model test was
conducted at 50g. Zinc chloride (ZnCl2) solution was
used as a soil in the side of excavation. Figure 3 shows
the centrifuge model setup. A tube was used to drain off
the soil (zinc chloride solution) from the latex bag
through the valve. Soil excavation was simulated by
releasing the ZnCl2 from latex bag through opening of
valve. It was found that the deflection and induced
maximum bending moment on the pile are decreased
exponentially with increase in the distance between
retaining wall and the pile. After, collapsing of retaining
wall, the induced bending moment was not increased.
The experimental result are compared with the
theoretical results and showed a good agreement. But in
theoretical analysis many assumption have been made
that does not reflect real field condition.

Figure 3 centrifuge model setup for testing [15]

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Lim (2001) [16] found out that in case of clay, the pile
deflection and bending moment are less as compared to
sand. In case of collapsed retaining wall, pile deflection
was reduced over elapse of time.
Ong (2004) [2] carried out to centrifuge model tests to
find out the effects of excavation-induced soil
movement on free-head piles group and caped piles
group adjacent to an un-strutted excavation in clay
behind a collapsed and a stable retaining wall. The
Centrifuge tests were conducted at 50g. It is reported
that a single pile experience less maximum bending
moment than pile group. Variation of maximum pile

bending moment maximum pile deflection with distance

of pile behind retaining wall are shown in figure 4 and
figure 5 respectively. For identical location in the pile
group, front piles in pile group subjected to higher
deflection and bending moment than rear piles due to
group interaction effect. Negative bending moment has
induced due to group interaction effect and it caused the
reduction in the deflection and magnitude of bending
moment along the length piles and the pile group.
Measured free-field lateral soil movement profiles are
shown in figure 6.

Figure 4 Effect of distance between piles and retaining wall on bending moment [2]

Figure 5 Effect of distance between piles and retaining wall on pile head deflection [2]

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Fukuoka (1977) [17] analyzed an instrumented model

pile installed in a small iron box of dimensions 100mm
x 200mm. A uniform soil movement was achieved
through a jack. The experiment was conducted at 1g
environment. The study concluded that the pile
deflection profile is a function of flexural rigidity of the
pile.
White et al. (2008) [18] used slender piles and evaluated
pile behaviour under a free-field lateral soil movements
imposed through a soil filled shear box. Large-scale
lateral load tests were performed in cohesive soil under
undrained condition. Relative pile response and soil-pile
displacements were measured. Based on experimental
study results, an analysis approach was developed using
soil p-y curves. A unique dataset and analysis method
has been provided to evaluate the lateral of slender
piles.
Madhumathi (2009) [19] conducted model tests on piles
embedded in loose and medium dense sand behind a
retaining wall with variable L/D ratio. Maximum pile
head deflection was higher for shorter pile (L/D=10) in
loose sand whereas it is higher for longer pile (L/D=27)
in the medium dense sand. Induced bending moment
was more for longer piles than shorter piles irrespective
of the density of sand. Pile head deflection and the
bending moment was increased exponentially with
decrease in the distance between wall and the piles.

Qin and Guo (2010) [20] conducted model test on

vertically loaded single piles in sand subjected to either
a uniform or a triangular profile of soil movement.
Results were shown in the form of max bending
moment, shear force and pile deflection profile. It had
concluded that the triangular profile caused 95-160%
higher ultimate bending moment than uniform soil
movement and vertical loading caused 5 to 17% higher
value of maximum bending moment.
Shukla (2012) [21] conducted a very economical
experimental investigations on model single and pile
groups (2x1, 3x1, and 2x2). A specially designed
wooden shutter was installed in a model tank to
simulate excavation induced soil movement. Excavation
induced soil movement caused an increase in the lateral
displacements and vertical settlement of single piles and
group of piles under working load. The lateral
displacement of pile and pile group were decreased with
increase in spacing of pile groups. The lateral
displacement increased with increase in number of pile
within a pile group. Piles arranged in a line parallel
perpendicular to excavation surface shown more
deflection than piles arranged in perpendicular to
excavation surface and single pile. Effect of pile
embedment on lateral deflection is shown in figure 6.

0.25

Pile cap lateral displacement

2x1, s=3d
2x1, s=4d

0.2

2x1, s=6d

0.15

3x1, s=3d
3x1, s=4d

0.1

3x1, s=6d
2x2, s=3d

0.05

2x2, s=4d
2x2, s=6d

0
5

10

15

20

L/d

Figure 6 Effect of embedment depth on lateral displacement of pile cap [21]

2.3 Theoretical Studies
Poulos and Chen (1996) [22] presented two stage
analyses to analyse the pile response due to unsupported
excavation induced lateral soil movement, involving the
finite element method and boundary element method. It
was proved in analysis that pile response in unsupported
excavation is different from supported excavation. A
design chart was prepared for free head single piles. It

was shown that pile head condition is an important

parameter that greatly influence the pile bending
moment
Poulos and Chen (1997) [3] used finite element method
and boundary element method to determine the effect of
unsupported excavation induced lateral soil movement
on the pile foundation. Piles response was observed
different for braced and unsupported excavation. Key
factors influencing the behaviour of piles was identified
as excavation depth, soil properties and file head

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condition. Stiffer soil has experience lesser soil

movement. Design chart for maximum bending moment
and deflection was presented.
Chow and Yong (1996) [23] presented a method to
analyze the piles under free-field soil displacement.
Piles and soil were represented by beam elements and
the modulus of subgrade reaction respectively.
Zhang et al (2009) [24] developed a numerical analysis
using finite difference method to predict the behaviour
of piles subjected to excavation-induced lateral soil
movement in nonhomogeneous soils. Response of a
single pile is determined under a free-field soil
movement. The Mindlins equation was employed to
calculate the shielding effect of passive pile groups due
to pile-soil-pile interaction. Test results were compared
with centrifuge model tests and concluded that method
has provided the reliable estimates. However, the major
limitation of presented method is that the soil cannot
model as a linear elastic springs. This assumption may
only estimate the upper bound of the maximum bending
moments and pile deflections.
Zhang et al. (2011) [25] proposed a two-stage method
which overcomes some deficiencies of the Winkler
model. Considered the influence of vertical working
load into account. The present method was verified by
comparing the calculated results with solutions from
BEM and centrifuge test data. With the increase in
vertical load, the excavation-induced axial force
decreases gradually. The variation rates of both the
maximum settlement and axial force gradually decrease
with the increase of vertical load. With the increase of
vertical load, the excavation-induced axial force
decreased gradually.
Ramadan et al. (2013) [26] presented a three
dimensional FEM analysis for cohesive soil and found
that increase in the diameter of pile caused the decrease
in decreases both bending moment and lateral deflection
of pile. It was recommended to use a connecting beam
to connect pile head.
Zhang et al. (2013) [27] Developed a modified loadtransfer models for the surrounding soil and the pile
soil interface. Using a Double-Spring model, a twostage nonlinear analysis was proposed to determine the
response of piles. This method gives comparatively
more accurate result that other theoretical methods.
Increase in working load caused an increase in
settlement and decrease in the excavation-induced axial
force.

3. Concluding Remarks
From the literature review it is concluded that there are
a good number of studies are available in literature. All
studies revels that the excavation induced soil
movement affects the performance of piles. Soil
movements caused addition bending moment, lateral

displacement and vertical settlement of pile and pile

group. Factors affecting performance of piles are consist
of number of piles, spacing between piles, working
load, embedment depth of pile, type of excavation
(supported or unsupported) and depth of excavation,
distance between piles and excavation surface. A lots of
experimental studies have been conducted, but most of
studies are on the single pile and a few studies have
conducted on piles group as well. Most of them are
useful for research purpose only and they cannot
directly applicable in the field. Studies, Shen, (1999)
[14], Lim, (2001) [16], Leung et al., (2000) [15], Leung
et al., (2003) [16], Ong et al. (2004) [2], Leung et al.,
2003 [17] have used zinc chloride solution as a
substitute for soil in the excavated portion. Behaviour of
zinc chloride solution is different from soil and lateral
stresses imposed by clay and solution differs by a
considerable amount. Pore Pressure is an important
criteria for clay and generation of pore pressure in zinc
chloride solution is different from soil so these studies
cannot simulate the real condition in the field. Most of
numerical studies suffered from serious shortcomings;
some (Poulos and Chen, 1996 [12], Zhang et al, 2009)
[24] have assumed soil as a linear elastic spring that has
affected the result by a considerable amount. Most of
existing methods have neglected the influence of
vertical working load and influence depth on
excavation-induced additional pile responses, and some
of them have not considered the nonlinear
characteristics of pilesoil interaction properly. Only
Shukla (2012) [21] and Zhang et al. 2013 [27] has
considered the vertical settlement for study and revealed
that there is significant amount of settlements in pile
group under passive loading. Most of studies are on
pile group response due to retaining wall supported
excavation and only a few have considered the
unsupported excavation.
Various new potential area have found in this analysis.
To simulate real field condition, larger pile group with
changing in diameter and length can be analyzed in
laboratory as well as in full scale tests. Various pile
head conditions are possible in the fields so it has to be
incorporated in research. Effect of separation of soil and
soil arching effect are also important factor that may
affect the pile behaviour under passive condition and
needed to be considered in analyzing the piles behaviour
under excavation induced soil movement. Uniformly
graded sand is used in the earlier studies but to assess
the true performance a well grade sand can be used. The
influence of vertical load on vertical pile responses
induced by soil excavation is significant and should be
taken into account.
Acknowledgement
This study was conducted during post graduate study at
IIT Kanpur. The author is very thankful to the Head of

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Department of Civil Engineering, IIT Kanpur for

providing facilities to perform the literature study.

Author is also thankful to the Prof. Nihar Narjan Patra,

IIT Kanpur for his valuable suggestion.

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