Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

Issues for the Reduction of the Embedded Length of Cantilevered Steel Tubular
Retaining Wall Pressed into Stiff Ground
Naoki SUZUKI
Construction Solutions Department, Giken Ltd., Japan
Email: suzuki.n@giken.com

Koji KAJINO
Department Leader, Press-in Technologies Support Department, Giken Ltd., Japan

ABSTRACTDue to the performance improvement of construction machines and the increase in case studies in mountainous areas,
cases have increased where the pile foundation is supported by a bedrock as a bearing layer. In a rock layer that is thoughtsuitable as a load bearing foundation because of its high strength and high deformation modulus compared with those ingeneral ground, it is considered that the embedded length into rock could be shortened if a rational design method were
established. Consequently, the existing knowledge and guidelines are sorted out in this paper, focusing on thecharacteristics of rock mass, modelling of horizontal bearing capacity characteristics of foundations, and the behavior ofshort piles subjected to lateral loading, for extracting issues arising when proposing cantilevered steel tubular pile
retaining walls with shortened embedded length in a relatively stiff rock layer. At the end, issues arising at a time ofmaking the embedded length shorter in a rock layer will be described.
Key words: horizontal bearing capacity, stiff ground, steel tubular pile, embedded length, cantilevered retaining wall

1. INTRODUCTION
In the pile foundation structure with the expected

the Socket Pile has been widely used as a load bearing pile

vertical and horizontal bearing capacities, a rock layer byPells, 1999). It is a construction method developed mainly

which the bearing capacity can be stably obtained tends toin North America, UK and Australia in the 1960’s, and it

be selected as a load bearing layer. Due to the performance

effectively secures vertical and horizontal bearing

improvement of construction machines and increase incapacities, ensuring a certain embedment into a rock layer.

case studies in mountainous areas, cases have increased

However, no cases have been reported in Japan.

method especially overseas (Rowe, 1984; Williams, 1981;

where the tubular pile installation is supported by a rockOn the other hand, especially when aseismic

foundation (Fig. 1).
Generally, rock is thought to be a good load bearing
layer. However, if the embedded length is determined by
the semi-infinite length obtained from Chang’s equation,
there are some existing issues: the construction methods
are limited since the embedded length becomes large as
the pile stiffness increases; and the design is economicallyirrational., To solve these issues, the authors have been
studying rationalization of the design method by making
the embedded length shorter for cantilevered steel tubular
pile retaining walls installed in stiff ground. For example,- 159 -

Fig. 1 A case study of the installation (Seki et al., 2016)

Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

performance is required recently, high horizontal stability

limit the displacement as with general ground. However,has been required in the rock layer. However, there arein the case where only the pile toe is embedded into rockmany researches into vertical bearing capacity (e.g.,

in a multi-layer including a hard rock layer at deep depth,

Okahara et al. (1989); Nanazawa et al. (2015); JGCA

it is possible that an unexpected failure mode may take2016) and horizontal resistance for deep foundations (e.g.,place on the basis of the discontinuous plane as a failure

Yoshii et al. (1982); Matsuo et al. (2000); Takahashi et al.,surface, when the pile is subjected to horizontal resistance.

2000), but few researches into horizontal resistance forOn the other hand, the International Society of Rockpiles have been reported except for Akazawa et al. (2016).

Mechanics (ISRM) recommends the following 10

From the background described above, the objective

parameters as indices to describe the existing form ofof this paper is to extract and sort out the issues in

discontinuous planes quantitatively: direction, separation

proposing structures with short embedded lengths in

distance, continuity, roughness, wall strength, pore width,

relatively stiff ground including soft and hard rocks. In thisfilling material, seepage water, number of sets, and block

paper, existing researches and guidelines are sorted out, bysize (Rock Net Japan, 1985).

focusing especially on the characteristics of rock layers,

In addition, Takahashi et al. (2014) reported for amodelling of horizontal bearing capacity characteristics ofsloped ground, “The destruction of the slope ground waspile and wall foundations, and the behavior of short piles

thought to be influenced by the discontinuities, but it was

subjected to horizontal loading.

thought that as a whole, almost horizontal slip line wasformed and destroyed, gradually progressing in the depth

2. CHARACTERISTICS OF ROCK

direction from the top.” Regarding the problems on

2.1. Overview

discontinuities like this, it is difficult to verify them byCompared with general ground, rock has highnumerical analysis. Collection and sharing of the results

strength and high deformation modulus, which is suitable

are therefore hoped, including those for other structures

for a load bearing layer. However, investigation methods

than pile foundations.

and design parameters of rock are different from those forgeneral ground, and various methods have been proposed(Rock Net Japan, 1985). In addition, their characteristics

2.3. Failure Criteria
In the tunnel excavation analyses by finite element

are very different, depending on the type of rock.

method (FEM) or finite difference method (FDM), theFurthermore, few design methods have been clearlymodels based on the Mohr-Coulomb and Drucker-Prager

prescribed in design guidelines.

failure criteria are commonly used. In these models,Consequently, the characteristics in consideration of

rupture envelope lines are often described by linear

horizontal stability and the points of attention in eachrelationship, and the shear strength increases linearly withstandard are sorted out here.

confining pressure. These are developed mainly toevaluate soil materials. On the other hand, it has been

2.2. Discontinuity
In the design of discontinuous rock mass, technicalshown by experiments that the slope of the failure

evaluation of discontinuous surfaces such as joints,

confining pressure. For this reason, especially in the casebedding planes and faults becomes issues. Since theof a large overburden, these models mentioned above

vertical bearing capacity of the rock also depends on crack,cannot describe the rock strengths at low confining

many uncertain factors are involved in the evaluation ofpressures by the same strength parameters as those at high

the ground parameters, and it is difficult to estimate theconfining pressures (Nakaoka and Hata, 2017).

envelope of rocks becomes small with the increase insupporting force calculation formula. For example, in the

Hoek-and Brown (1980) had proposed a practicaldesign of vertical bearing capacity in JRA (2017), upper

failure criterion that has a parabolic rupture envelope line,

limits of bearing capacities are set for soft and hard rockin which necessary strength parameters can be definedwith uniaxial compressive strength as a guide. On thefrom the rock observation and uniaxial compression

other hand, the horizontal bearing capacity is designed tostrength of rock cores.

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Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

Furthermore, in the case where the ground around theareas, cases have increased where the pile foundation isfoundation plane consists of intact rock, the residual

supported by a bedrock layer. However, it is possible thatstrength after the peak strength tends to become smaller.

fractures may develop in the rock, or rock strength will

When the ground around the foundation surface is in such

become smaller due to stress relief by the construction,a condition like this, JRA (2017) is suggesting the use ofwhich needs to be carefully watched. In addition,

lower values of cohesion and the angle of internal friction

especially in Japan, rock formations are widely distributed

after/before the material shows plastic behavior.

in mountainous areas. Stratification is however often very
complex, and it is required to improve accuracy of, and to

2.4. Construction Methods
Due to the performance improvement of construction

establish a verification method on the penetration into load

machines and the increase in case studies in mountainous

For example, it is often the case that borehole

bearing foundation.
exploration is carried out about every 30 m in architectural
construction sites in Japan. As described previously, since

Table 1.

Reference to Rock in Japanese Design codes

it is thought that there may be unevenness in the rock

Design codes

Japan Road
Association(JRA),
2017

Railway
Technical
Research
Institute(RTRI),
2008

Port andHarbour
Associationof Japan(PHAJ),
2007

layers in mountains, considerations should be given to

Rock has a large strength as a material, and a large
bearing capacity can be expected, when a uniform
rock is used as a load bearing layer. However, incase there are discontinuities, or rock is susceptible
to effects such as slaking, there are cases where
sufficient bearing capacity cannot be expected,
compared with uniform rock. It is therefore
necessary to investigate these effects in advance,
when rock is used as a load bearing layer
When considering skin friction of pile in the design,
it is required to obtain necessary design informationby conducting individual loading tests. Also, for theconstruction method, in which rock is pre-drilled,
and piles and sheet piles are buried after filling thehole with sand, it is necessary to carry out
individual loading tests and to evaluate and verify
horizontal and vertical bearing capacity
characteristics used in the design.
The behavior, especially short pile foundation, isclose to that of spread foundation or caisson
foundation, and it is important to properly set thedesign limit. However, in this standard, design limit
values of lateral displacement and rotational angle
are set, considering the continuity with direct
foundation and caisson foundation. Therefore, thesame design values to those for the pile foundationin general design can be applied to horizontal
displacement and rotational angle, even forespecially short pile foundation.
It is known that the property of ground around a pile
may be different from that obtained soil
investigation, depending on the type of pile
installation. This may affect the bearing capacity inthe direction perpendicular to the pile axis. Carefulconsideration should be given since there are cases
where the ground resistance became smaller due toa poor construction that might have loosened thesurrounding ground.

safety against it, and to disturbance on the ground surface
due to construction. Mori et al. (2016) have sorted out
points to look at for each construction method on support
piles. It is also known that axial force occurs due to arotation at the pile toe when the embedded length is short.
Especially for open-ended steel tubular piles, the pile edge
is susceptible to local failure.
2.5. Points Considered in Japanese Criteria
Here, the points to consider on this theme in eachguideline is quoted in Table 1. As seen in the table, rockis considered different from usual geotechnical materials,
but there are no generalized concepts in any guideline fora variety of rock types, and effects caused by the adopted
construction method ． It seems the final judgement iscurrently up to the designer.
3. DEVELOPMENT OF FOUNDATION ANALYSIS
Design methods at each research organization are
sorted out here. Broadly speaking, the design methods forthe horizontal bearing capacity performance of pilefoundation or wall foundation are divided into limit
equilibrium analysis, elastic subgrade reaction, combined
subgrade reaction method and others. Each method has its
merits and demerits, such as complicated calculation
scheme and evaluation of ground resistance force. The
most appropriate method is currently selected, dependingon their applicability (Table 2).

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Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

3.1. Limit Equilibrium Analysis
The limit equilibrium analysis evaluates horizontal
resistance of piles from the balance of the subgrade

3.2. Elastic Subgrade Reaction Method
Assuming the soil is elastic, horizontal resistance ofreaction at the ultimate condition of soil and the external

piles is calculated as a beam on an elastic floor. The pileforces. This is to assume empirically the distribution of

behavior is calculated from the following differential

subgrade reaction, and may include one that assumes

equation that is satisfied by the deflection curve of thequadratic parabolic relationship, and one that assumes thebeam:subgrade reaction by linear relationship or by arbitrary

EI

curves (Engel, Broms).
This method has a merit that the calculation can beeasily carried out with several parameters, but it has a

d 4y
p 0
dx 4

where,
x: depth from the ground surface, andy: deflection at a depth of x.

due to the assumed ultimate situation. Note that from the(2016) pointed out that the safety factor of moment for
rotation can be used to understand the behavior of shortpiles. If combined with another method described later,
there may be possibility to use this method to evaluatehorizontal resistance of piles.
Table 2.

(2)p  kx m y n

drawback that displacement cannot be directly calculated
model experiment to simulate soft rock, Akazawa et al.

(1)This may include a widely used Chang’s method
where n =1 and m = 0 are assumed in Eq. (2) above (JRA1999). In this method, it is assumed that the horizontal
subgrade reaction has a linear relationship withdisplacement. Okahara et al. (1989) collected data fromthe horizontal loading tests on actual piles and clarified

Overview of analysis methods

MethodLimit Equilibrium Analysis

Elastic Subgrade Reaction Method

Combined Subgrade Reaction Method

Section

3.1

3.2

3.3

image

subgradereactione.g. reference /design codee.g. Embedded
Lengthpu=αKpσv’ (ΣMa=ΣMp)
RTRI (2004)
L≧1.2L0

p=kxmyn
p=Aputanh(kxy/Apu) (k=k0(y/y0)n)Kubo (1966), PHAJ (2007),
API (2002), ACTEC (2007)
L≧2.25/β-3.0/β, L≧1.5lm1

p=kxmyn , pu=αKpσv’
JRA (1999), ACTEC (2007)-

Other
MethodSectionRotational Displacement Method

Shear Deformation Method

FEM

3.4.1

3.4.2

3.4.3

JRA (2017)

Lianyang et al.(2000)

Wakai (1999)

image

e.g. reference /design code

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Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

that the elastic range was more than 1 % of the pilefollowed, especially in stiff ground where pile stiffness isdiameter, regarding the characteristic point on the Weibull

large compared with shear stiffness of the ground, smaller

distribution curve as the elastic limit.

displacement is estimated than the elastic subgrade

In addition, PHAJ (2007) sets n = 0.5, and it is said
to be in good consistency with the experimental results.

reaction method above, and the estimated displacement iscloser to the experimental value.

On the other hand, American Petroleum Institute (API,2002)

expresses

horizontal

subgradereaction

Analysis methods to take shear deformation into

byconsideration include Sato et al. (1996). In this method,

hyperbolic function of displacement and depth in a similar

the behavior of piles is obtained from the assumptions that

logic as PHAJ (2007).

a linear slip surface is created in front of a rigid bodyfoundation, and that shear force acting on the slip surface

3.3. Combined Subgrade Reaction Method
In this method, the limit equilibrium analysis method

is proportional to the rotational angle.

is used near the ground surface, where deformation is large
and in a plastic region, while the elastic subgrade reaction

3.4.3. FE Method
With the development of computers, 3-dimensional

method is used in the elastic region below. This elasto-

FEM analyses have often been used (e.g. Wakai, 1999;

plastic analysis gives an easy theoretical explanation, andAgui et al., 2014). In this method, multi-layered ground tois often used, since theoretical values are highly consistentwhich the application would be difficult in other methods

with the experimental data in a practical range (JRA, 1999;

can be easily dealt with, and calculation parameters can be

ACTEC, 2007).

considered for each individual layer.
Other than the FE method, those for discontinuous

3.4. Others
Other methods may include FEM and FDM. Unlike

rock mass with fractures as described previously may

the ones described above, the continuity of ground can beelement method (DEM) and discontinuous deformationconsidered in these methods. As will be described later,

analysis (DDA). In each case, fractures are quantitatively

especially when the shear modulus of rock becomes large

evaluated and used in the analysis (Kuraoka, 1998). In

compared with elastic modulus, it is pointed out that thedealing with rock mass as discontinuous body in the FEM,

elastic subgrade reaction method gives large displacement

joint elements are used. This method is effective to(Lianyang et al., 2000).

describe the behavior of pile foundation, since it can be

include rigid body spring model (RBSM), discretethought that the accuracy in calculated stress and3.4.1. Rotational Displacement Method
In the case of foundations with short piles for the pile

displacement is high, and that it is suitable for limit

stiffness, it is pointed out that horizontal resistance isproblems, though it is difficult to analyze large

difficult to evaluate by the spring on an elastic floor (e.g.

deformation behavior such as toppling. In the real design,

Aoki et al., 1983; Iwakami et al., 2001). For shorthowever, drawbacks may be that it is difficult to obtainfoundations such as caisson foundations and caisson typeparameters required, and that it takes time to carry out thepile foundations, it is generally common to consider

calculation.

equilibrium analysis of slip and infinitesimal deformation

rotational displacement and floating, and to evaluate theground reaction at the foundation bottom (JRA, 2017).

4. EMBEDDED LENGTH

3.4.2. Shear Deformation Method

4.1. Determination of Embedded Length
Determination of pile embedded

lengthfor

In FDM, considering the effects of ground and rockcantilevered steel tubular piles can be divided into thethat affect the pile behavior and yielding, it is proposed tofollowing three. a) The limit equilibrium analysis, b)

use an existing method to calculate ultimate resistance of

Elastic subgrade reaction method and c) others.

ground, and to calculate rock resistance (Keming Sun,a) The limit equilibrium analysis described before is1994). Lianyang et al. (2000) suggests that if this logic isa method to consider the factor of safety at a depth where- 163 -

Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

subgrade reactions and rotational moments due to thesubgrade reaction are balanced.

In addition, it is expected that a phenomenon similar
to cyclic loading takes place at the time of earthquake.

b) A product of a characteristic value β, which is the

Nagao and Fujimori (2007) investigated the seismic

stiffness ratio of pile to ground and the embedded length

performance of the self-sustaining retaining wall. ACTEC

L is also often used for evaluating whether the embedded(2007) has carried out dynamic loading test, varying thelength is sufficient. In this evaluation, it is known thatembedded length from 1.9 / β to 3.0 / β, and has reported

there is little difference in behavior when βL = π or more.

that the shorter the embedment depth is, the closer the

In Japan, often-used βL values are 3.14 for rivers (Bureau

behavior where the pile rotates from the pile toe becomes.

of Construction, Tokyo Metropolitan Government, 2008),
3.0 for roads (ACTEC, 2007), 2.5 for temporary structures(JRA, 1999), and 2.25 for architectural structures (AIJ,

5. SUMMARY
In evaluating horizontal stability of steel tubular pile2001). In addition, in the ground where the stiffness

foundation embedded into rock mass, existing knowledge

linearly increases in the depth direction, using a stiffnessthat is considered important has been compiled, focusing

5

factor T (=√𝐸𝐼 ⁄𝑛ℎ ) (where nh is values of the coefficientof modulus variation) the embedded length is expressedon a) the characteristics of rock mass, b) modelling ofby a short pile (rigid) if it is shorter than 2T, and by a longdetermination method of pile foundation embedded length.

pile (elastic) if it is longer than 4T (Michael and John

As a result, the following points are thought to become2007).

issues in shortening the embedded length:c) On the other hand, assuming that, in the case wherehorizontal

1.

bearing

capacity

characteristic

and

c)

Rock mass has discontinuities such as fractures. Its

horizontal load works, the embedded length is given bylayer also exhibits non-linear behavior. To assume

the depth lml where the bending moment becomes 0

the pile behavior in rock in plastic state, attention has(primary bending moment = 0) for a pile of which theto be paid to that discontinuities. Rock mass may belength is long enough, the PHAJ method described earlier

loosened during construction. Since embrittlement

defines the factor of safety for that depth. In addition,

due to stress relief is apprehended in rock mass, it isespecially for piles that are thought to be used in multi-

necessary to select a proper construction method.

layered ground, it may be difficult to evenly use the2.

The horizontal stability of the foundation may be

estimation from stiffness of both ground and steel tubular

underestimated when assuming a beam on an elastic

piles as mentioned above. For these problems with multi

floor in a rock mass with high stiffness comparedparameters, investigation has been carried out to study thewith that of the pile. In addition, in a multi-layered

effect given to the behavior of the embedded length byground, behavior on the rock surface is unclear.

numerical calculation methods such as FEM analysis,

3.

In the case where the embedded length is short, theincluding the pile top fixture conditions (e.g. Kanaizuka

behavior of pile under horizontal resistance is2002).

different from that for piles in semi-infinite lengthand is in a failure mode of rotation from the pile toe.

4.2. Cyclic Load/ Aseismic Stability
It is known that in a typical ground, deformation

It is pointed out that residual displacement in an

increases when subjected to cyclic loading (San-Shyan

subjected to cyclic loading. The effects on rock

Lin and Jen-Cheng, 1999; Kubo, 1966). Under cyclicshould be clarified.

ordinary ground becomes large, especially whenloading in an ordinary ground, it is pointed out that
residual deformation converges in the case of long piles,
whereas in the case of short piles, deformation tends tobecome large as cyclic loading progresses. It is necessary
to investigate the effect of cyclic loading for rock althoughrock mass tend to be stable and not likely to become

From now when high aseismic performance isrequired, in order to make a more rational design, it will
become an important issue to clarify the way the rocksurface should be treated after plasticity occurs, and theeffect of construction on rock foundation.

plastic even on the ground surface.

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Proceedings of the First International Conference on Press-in Engineering 2018, Kochi

6. ACKNOWLEDGEMENTS
In this paper, study in a technical committee of theJapan Geotechnical Consultants Association (JGCA).

International Press-in Association (IPA) was compiled

foundations with rock as load bearing layer. (in(TC1: technical committee on the application ofJapanese)2016. Review board report on investigation of pile

cantilevered steel tubular pile retaining wall to stiff

Japan Road Association (JRA). 1999. Guideline of roadground). The author is indebted to each committee

works and temporary structures. (in Japanese)

member and the advisor for their valuable opinions.

Japan Road Association (JRA). 2017. Specifications ofroad bridges and explanations, IV: lower structures.
(in Japanese)

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