Pag 601 A 650

8
ANALYSIS AND DESIGN OF PILE

FOUNDATION IN PERMAFROST
ENVIRONMENTS
In permafrost, there are many additional considerations that control the

behavior of piles. In Section 4.3, the mechanical and deformation (creep)
behavior of frozen soils having high ice and unfrozen water contents was
shown to be greatly afTected by changes in temperature. Also, the foundations are
frequently subjected to large uplift forces caused by frost action in the active layer.
This causes vertical forces on the grade beams or pile caps and frost grip or
adfreeze forces along the si des of piles.
Two distinct soil condition-thaw stable and thaw unstable-necessitate
altogether different types of pile analysis. In this chapter, basic definitions
peculiar to permafrost are presented first, followed by general pile design
consideration and piles subjected to vertical and lateral loads. Based on the
behaviour of piles in permafrost, a design procedure has also been developed.
8.1
DEFINITIONS
The following definitions and terms applicable to permafrost have been used in
this chapter.
Active Layer The top layer of ground above the permafrost table that is
subject to annual freezing and thawing. This is also termed as annualfrost
zone that thaws each summer and refreezes each fall.
Afreeze Bond Strength The bond or the adhesive strength that is developed
between the pile surface and the surrounding frozen soil.
589
590
ANALYSIS ANO DESIGN OF PILE FOUNDATION
Cold Regions Regions where frost penetrates the ground to a depth of about
0.3 m or more at least once in 10 years.
Creep The time-dependent shear strain or shear deformation behavior
under undrained conditions. Frozen soils exhibit substantial deformation
under sustained loading dueto a complex phenomena of melting of ice and
movement of water accompanied by a breakdown of the ice and their bonds
with soil particles. This may result in plastic deformation of pore ice and soil
particle readjustment.
Freezing lndex The accumulated freezing days below OC during a single
freezing season. lt actually is the area between the OC line and the curve of
mean daily temperatures below OC and is represented by the number of
degree-days. It is generally used as a measure of potential frost penetration
below ground.
Freezeback Time The time required for freezing the artificially thawed
ground or warm soil-slurry backfilled in an annular space around a pile
placed into the augered hole. Freezeback occurs dueto natural conduction
from the surrounding permafrost.
Frost-susceptible Soils Soils in which significant ice segregation occurs due
to the growth of ice tenses when water flows to the freezing plane. Most
widely accepted criteria for frost-susceptible soils is due to Casagrande
(1932), which states that nonuniform soils containing more that 3 percent of
particles smaller than 0.02 mm and uniform soils containing more that 10
percent smaller than 0.02 mm particle size can be classified as frostsusceptible soils.
Frost Depth The depth below ground surface to which the soil or rock
freezes in winter. This depth depends on the ground temperature during
winter, the soil type through which frost penetrates, and the ground surface
conditions (e.g., depth of snow cover, vegetation, and exposure to sunlight).
Frost Heave lt is the upward movement of ground due to the formation and
growth of ice lenses in frost-susceptible soils.
Frost Table The frozen surface to which thawing of the seasonal frozen
ground has occurred at any time in spring and summer. This table is in the
active layer.
Frozen Ground lt is the zone in ground where soil or rock is at the
temperature below OC.
DEFINITIONS
591
lce-poor Frozen Soils Soils that do not have enough ice content to fil! the
pore spaces completely. Normally, these soils have bulk density greater
than 1700 kg/rn 3 and also exhibit sorne intergranular contact. Therefore,
interparticle friction can be mobilized in these soils.
Ice-rich Frozen Soils Soils that contain ice in excess to that required to fill
pore spaces. Thus, there is no grain to grain contact in these soils. Bulk
density-including segregated ice-for these soils is typically less than
about 1700 kg/m 3 .
Latent Heat of Fusion The amount ofheat that is required to melt the ice or
freeze the water in a unit volume of soil without changing the temperature.
Non-frost-susceptible Soils These soils do not display ice segregation during
freezing. Most sands and gravels that do not contain silt fall in this category.
These soils do not exhibit frost heave that is characteristic during freezing
Basically, soils that are not frost susceptible are frost stable and therefore
fall in this category.
Permafrost The thermal condition of the ground when the soils or rocks are
permanently frozen orare at temperature below OC continuously for over
at least two consecutive winters and the intervening summer. Mosture or
ice may or may not be present in these materials.
Permafrost Degradation (fhawing) The process that results in a decrease in
permafrost thickness oran increase in the active layer dueto artificial (e.g.,
removal of an insulating vegetation layer or construction activity) or
natural (e.g., climatic warming) causes resulting in thawing.
Permafrost Table The surface that represents the upper boundary of
permafrost.
Primary Creep A characteristic exhibited by frozen soils when their creep
rate or deformation rate under constant stress continuously decreases with
time. It appears that at low stress levels, low ice content, or ice-poor frozen
soils exhibit this behavior.
Seasonal Frost The freezing phenomena of the soils below ground ca used by
subzero surface temperatures. This keeps the earth materials frozen only
during winter months.
Secondary Creep Characterized by frozen soils when their creep rate is
constant with time. This is also called steady-state creep. Ice-rich frozen
soils under moderate stress conditions exhibit this behavior.
592
ANAL YSIS AND DESIGN OF PILE FOUNDATION
Tertiary Creep Characterized by an accelerated creep rate. This would

normally lead to soil failure and is exhibited at high stress levels.
Thaw Settlement Downward movement of ground due to the dissipation of
water on melting of excess ice in the soil.
Thermal Conductivity A measure of the quantity of heat that will flow
through a unit area of unit thickness in unit time under a unit temperature
gradient.
Thermal Diffusivity The ratio of thermal conductivity and the volumetric
heat capacity and is an index ofthefacility with which a substance will ha ve
temperature change.
Volumetric Heat Capacity The amount ofheat that is required to change the
temperature of a unit volume of material by one degree.
8.2
GENERAL DESIGN CONSIDERATIONS
Chapter 2 (Section 2.6.2) described various types of piles used in the permafrost
environment, Chapter 3 (Section 3.4.4) provided information on installation
methods for these piles, and Chapter 4 (Section 4.3) covered the mechanical and
deformation (creep) behavior of frozen soils. This chapter discusses the analysis
and design of piles in permafrost environment.
The design of pile foundation in permafrost area is influenced primarily by the
following factors:
1. The type and use of the structure (e.g., if the structure imparts heat to the
underlying permafrost then the depth of active layer-the depth below
which soil is permanently frozen-increases). This causes thawing offrozen
soils, resulting in the decrease of soil strength and the increase of
settlements.
2. Strength and deformation characteristics of foundation soils (e.g., mechanical properties and deformation (creep) behavior of frozen soils are
temperature dependent). Frequently, these soils ha ve high ice content (ice in
excess to that required to fill pore spaces), thus there is no grain to grain
contact. Therefore, these soils exhibit temperature unstable behavior. This
has been discussed in Chapter 4 (Section 4.3) and will be further discussed
in Section 8.2.1.
3. Ground thermal regime (e.g., temperature profile below ground both in
summer and winter). Assessment of ground temperatures should be made
both prior to and after construction during the entire life of the structure
because the behavior of frozen soils is greatly affected by temperatures.
593
4. Nature of foundation soils. If these soils are frost susceptible (their pore
space is such that on freezing they encourage the growth of ice lenses if
water is available), then these soils heave dueto frost action resulting in the
application of adfreeze forces (upward forces along pile surface in an active
zone dueto frost heave) on piles during winter. These soils also exhibit thaw
consolidation (downward movement of ground due to escape of water on
melting of excess ice) resulting in the application of downdrag forces on pile.
Section 8.2.2 further discusses frost heave forces, and Section 8.3.3 discusses downdrag forces applied along the pile surface. lf foundation soils are
composed of competent material such as ice-free rock, dense glacial till,
non-frost-susceptible soils (clean, well-drained sand or gravel), then pile
foundation design can be carried out in a conventional manner and frozen
conditions can be neglected. On the other hand, if the materials are frost
susceptible and are thaw unstable, then the following design concepts and
procedures should be used.
8.2.1
Load-Settlement Behavior of Foundation in Frozen Soils
The load-settlement behavior of frozen soils depends on interparticle friction,

particle interlocking, cohesion, and the bonding of particles by ice. The bonding
ofparticles by ice, however, is the dominant factor that controls the behavior of
frozen soils. At very high ice content (ice-rich frozen soils), the behavior of frozen
soil is similar to that of ice, and factors such as temperature, pressure, strain rate,
grain size, crystal orientation, and density influence its behavior. However, at low
ice content (ice-poor frozen soils), the presence of unfrozen water films that
surround the soil particles begin to influence soil behavior because interparticle
forces, especially in fine-grained frozen soils, become effective.
When a frozen soil is subjected to deviatoric stress, it develops stress
concentration on the ice component between soil particles. Similar stress
concentrations on the ice may develop dueto hydrostatic pressures. These would
result in pressure melting of ice in frozen soils causing an increase in the amount
of unfrozen water with pressure. It has been reported by Tsytovich (1960), Low
et al. (1968) and Chamberlain et al. (1972) that pressure melting due to the
application of hydrostatic or deviatoric stresses result in water flows to regio ns of
lower stresses where it freezes again. This movement ofwater under stress results
in breaking of structural and ice-cementation bonds. The mineral particles may
therefore slip. This is a time-dependent process and may result in strength
reduction of the soil. On the other hand, an increase in soil strength may take
place due to the formation of sorne new ice-cementation bonds and increase in
intermolecular bonds caused by simultaneous consolidation effects. This timedependent strength decrease or increase in low-ice-content soils is important in
understanding the behavior offrozen soils under loads. Such soils can be tested in
uniaxial compression creep tests on cylindrical frozen soils. As shown in
Figure 8.la, if a series of uniaxial compression creep tests are carried out at the
same temperature, then creep curves for different constant stress levels are
594
ANALYSIS AND DESIGN OF PILE FOUNDA TION
t)
~
____ __
,,._
...
t5
..s
/\
.,.Q
/\
.,Q
/\
A.Q
/\
,.Q
Strength,
tl
ir
1
t2
_j_--------_J_ h
t4
----------
1
d
a=f(t)
ij
1
-------t1
(a)
Figure 8.1 Behavior offrozen soil under uniaxial creep test at constant temperature. (a)
Typical plots of data from uniaxial compression creep tests conducted at a constant
temperature and confining pressure (Ladanyi, 1972), (b) strain-time relationship in a
constant stress creep test.
595
Creep or point
ot rupture
Strain, E
....__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Time, t
o ---11---------Primary
Steady state
Accelerated
creep
creep
creep
(b)
represented by plots shown on the lower right-hand comer of this figure. These
curves show that three distinct stages of creep, as shown in Figure 8.1 b, can be
observed.
The first stage is called primary creep, which exhibits a continually decreasing
creep rate or slope of the time (t) and strain (e) plot. The second stage is called
steady-state creep where the slope is constant and a minimum creep rate is
reached. The third stage is when creep rate continually increases leading to failure
and is termed as tertiary or accelerated creep. The portion of the total curve,
each segment of curve represents, depends on the material and the stress level.
Primary creep dominates at low stress level in low-ice (ice-poor) content frozen
soils, while steady-state creep is exhibited by ice-rich soils under moderate stress
levels. At high stress levels, accelerated creep occurs leading to specimen failure
after a short period of time.
In Figure 8. ta, horizontal lines have been drawn at constant time t 1 , t 2 t 6
At any one time, say t 2 , the stress (u) and the corresponding strain (e) have been
plotted on the top side of this figure. These are isochronous (equal time) stressstrain curves. These plots show that stress-strain plots for frozen soils are time
dependent. Furthermore, iffailure is defined by an arbitrary strain, e1 , then failure
stress, u1 , or the strength for each time can be obtained from Figure 8.la and can
be plotted with time as shown on the Iower left-hand section of the figure. This
shows that the strength of frozen soils is time dependent and decreases with time.
Furthermore, similar creep curves can be obtained for varying temperatures and
confining pressures, which establishes that stress-strain and strength behavior of
frozen soil depends on time, temperature of test, soil type, and confining pressure.
The strain-time or the deformation-time behavior of frozen soils. results in
596
ANAL YSIS ANO DESIGN OF PILE FOUNDA TION

1
1
1
1
----,
1
1
---~1
1
----,
,___ _
1
1
1
Load
--- q
t1
'o O
q3
q4
q5
q6
q7
q8
Stage loaded
Figure 8.2 Schematic presentation of the load-settlement-time relationship in loading

tests (Ladanyi and Johnston, 1974).
creep and strength reduction with time. This phenomena must be considered
when designing foundations on frozen soils. Figure 8.2 exhibits settlement-time
relationships of frozen soils under loaded plates subjected to constant loads q 1
through q 7 where q 1 < q2 < q 3 < q 7 For small loads on ice-poor soils that
have sorne particle to particle contact, the deformation will gradually stop with
time. As shown by curves q 1 through q5 , ice-rich soils may exhibit steady-state
creep under low to medium loads. Heavier loads (q 6 and higher) will exhibit
continuing deformations leading finally to failure. Actual values of these loads (q)
producing different creep patterns will depend on soil type, soil temperature, and
confining pressures.
Load-settlement behavior of a loaded plate obtained from settlement-time
data is shown on right side of Figure 8.2. A pseudo-instantaneous loadsettlement curve corresponds with settlement-time curves at t = O for various
loads (q). An isochronous load-settlement curve is for same time (e.g., t 4 used in
597
this case) obtained in the same manner as isochronous strength-strain curves in

Figure 8.la. The dotted lines show the stage loading in which case the stress is
increased after same time from q 1 to q 2 . to q6 Various load-settlement curves
exhibit that settlement of a loaded plate increases with time. Also, ultimate
bearing capacity, indicated by a vertical tangent to the load-settlement curve,
decreases with time. Furthermore, these settlement-time relations are significantly influenced by temperature. For example, according to Womick and
LeGoullon (1975) an increase in ground temperature from - 1.1 C to - 0.8C.
resulted in a considerable increase in settlement rate beneath a piled structure in
Fairbanks, Alaska. This clearly indicates that the load-settlement behavior of
foundations on frozen ground is significantly influenced by time and ground
temperatures and should be carefully evaluated.
In summary, unlike unfrozen soils whose bearing capacity is solely governed
by shear strength and allowable settlements, the bearing capacity offoundations
on frozen ground may be governed by additional factors such as time and the
ground temperatures.
8.2.2
Frost Heave and Adfreeze Forces
Frost heave is generally characterized by the vertical upward movement of

ground due to freezing. This can cause upward pressures at the base of
foundations. The upward moving ground can also grab the surface of a pile shaft
and apply an upward force on it. This application ofupward force along pile shaft
is called adfreeze force and the phenomena is called frost jacking. The following
three conditions must be satisfied for frost heave to occur ata site:
l. The soil must be frost susceptible (i.e., the physical composition of the soil
should be such that it promotes the migration of surrounding moisture to
the freezing front and result in the formation of ice lenses). Generally silty
soils exhibit this behavior. Chapter 4 (Section 4.3) describes the grain size
criteria established by Casagrande (1932) for such soils.
2. There must be cold temperatures to propagate freezing.
3. There must be a source of water supply to feed the growth of ice lenses.
Ifall the above three conditions exist, frost heave would result first in 9 percent
volume increase due to freezing of pore water in soil and second due to the
migration of free moisture from below towards the colder surface. When this
water reaches the frost line it freezes, forming ice lenses. As these lenses expand
and grow, the ground surface moves upward resulting in increased heave. Thus,
the largest part of the frost heave occurs dueto the formation and the growth of
ice lenses.
Frost-heaving ground can develop heaving forces on foundations in two ways.
The first consists of the development of vertical upward forces acting on the
underside of a foundation or grade beam. The second consists of the mobilization
598
ANALYSIS AND DESIGN OF PILE FOUNDATION
of vertical forces along side of pile shaft in the frozen zone and is called adfreeze
force. Foundation design should therefore consider these vertical heaving forces
in the following two ways:
l. Frost heave forces acting on the underside of the foundations and the grade
beams: Prediction of these heave forces on horizontal surfaces such as
underside of foundations, grade beams supported on ground, or spanning
between two piles and underside pile caps is difficult because the forces
depend on many variables, such as soil type, variation of soil tcmperature
with depth, availability of water, and overburden pressurcs. Heavc force
pressures of as muchas 110 psi (760 kPa) have been calculatcd by indirect
methods, such as from the estimation ofweight ofbuildings known to have
been liftcd by frost heave (Johnston, 1981). Heave pressures as high as 260
psi (1800 kPa) ha ve also been measured on a 12-in. (300 mm) diameter
anchored steel plate (Penner, 1970). lt is recommended that rather than
designing for such high potential uplift heave forces, foundations should be
placed well below the depth of seasonal frost penetration (the depth below
ground surface up to which the soil freezes during winter and thaws duc to
seasonal temperatures). Similarly, in permafrost areas, foundations should
be placed below the active layer (the depth below ground surface whcre soil
thaws in summer and refreezes each winter).
2. Adfreeze forces acting upward tangentially on the sides or perimeter of
foundations of piles: Adfreeze forces develop when the foundation unit such
as the pile is pulled upward by the surrounding frozen soil during the
process of heaving. The magnitude of thcse forces should dcpend on the
development of peak adfreeze bond strength between the pile surface and
the frozen soil, a phenomena similar to the adhesive forces devcloped
betwcen pile and the surrounding clay in temperate zones. Adfreeze bond
strengths have been measured in the ficld in various soil types and their
range varics between 6 to 30 psi (40 to 210 kPa) (Kiselev, 1974). Also,
according to the measurements made on uncoated steel piles, average
adfreeze bond stresses greater than 40 psi (275 kPa) have been reported
(Crory and Reed, 1965). The magnitude and the factors afTecting these
adfreeze bond stresses and hence the adfreeze forces on pile perimeter has
not yet been fully investigated. Average adfreeze bond strength of 10 psi
(70 kPa)forwood and concrete piles and 15 psi (100 kPa)for stcel piles have
been suggested by Davison et al. (1981). The magnitude of these upward
adfreeze bond strength is a function of ground temperaturc, depth below
ground, and ice content in the soil. Also, thcse values vary during thc season
(e.g., peak adfreeze bonds are developed early in the season when heave
rates are high). However, the maximum uplift force along the pile surface
will develop when the length under adfreeze forces is maximum which
would occur when the maximum frost penetration has occurred. Also, it
should be recognized that these adfreeze forces decrease if relaxation of
599
stress occurs due to small deformation of piles. This means maximum

adfreeze forces will develop on rigidly anchored foundations while any
yielding or movement would result in the reduction of these forces.
As discussed above, prediction of adfreeze forces on a pile perimeter is difficult.
An indication ofthe maximum adfreeze forces (F) acting upward on a pile can be
obtained by using Dalmatov's equation (Tsytovich, 1959; Davison et al., 1981 ).
F = pt1 (c -0.SbTm)
(8.1)
where
F = total upward adfreeze force, kg

p = Pile perimeter in contact with frozen soil, cm
t1 = thickness of frozen soil zone, cm
b =experimental parameter = 1.5 to 2.8 psi (10 to 19 kPa)
e= experimental parameter = 6 to 10 psi (40 to 70 kPa)
Tm = mnimum soil temperature in freezing zone, C
Andersland and Anderson (1978) suggest that tangential upward stresses
generated on vertical surfaces should be measured directly from field tests.
However, in absence of such field data the following design values .as recommended by Vyalov and Porkhaev (1969) can be used:
1. For soil temperatures 27F (-3C) or higher, the upward adfreeze forces
are 11.4 psi (78.5 kPa).
2. For soil temperatures below 27F ( - 3C) the upward adfreeze forces are
8.5 psi (58.8 kPa).
In summary, the magnitude of actual frost heave and adfreeze forces depends
on soil type, moisture content, and permafrost temperatures and should be
measured in the field. In absence offield data, the foregoing values can be used as
a guide.
8.2.J
Frost Heave Control Methods
Estimation of frost heave and adfreeze forces, as discussed above, might serve
only as rough guide for design purposes. Exact determination of the values of
these forces is difficult. Therefore, methods to prevent or reduce the effects of these
forces on foundations should be considered. In most situations, it is a common
practice to loca te the foundation below the permafrost table or below the depth of
seasonal frost depth, as applicable. This technique may prevent the upward frost
heave forces at the base of the foundation, but the upward adfreeze forces along
the pile perimeter in freezing zone will still be effective. The following frost heave
control methods should therefore be considered, where possible.
600
l. Excavation and Replacement of Frost-susceptible Soil In order to eliminate the formation and growth of ice tenses within the seasonal frost depth
or the active layer in permafrost area, the frost-susceptible soil that
promotes the formation of ice tenses within the frost depth or active zone
should be excavated. This can then be replaced with compacted granular
material that does not display ice segregation during freezing and thus
eliminates adfreeze force development.
2. Thermal Insulation Thermal insulation such as styrofoam can be installed
along and around the pile foundation that would prevent or reduce the
depth of frost penetration (Robinsky and Bespflug, 1973). Similarly the
insulation can also reduce the depth of permafrost thawing by preventing
the surface heat conduction below ground. This technique will significantly
reduce, if not elimina te, the frost heave and adfreeze forces by reducing the
depth of seasonal frost and the active layer.
3. Foundation Anchoring The basic principie behind this technique is to
provide uplift or pullout resistance by providing sufficient anchorage below
seasonal frost or the active layer depth. Theoretically, this can be done by
calculating the upward adfreeze forces and comparing it with the mobilized
resisting forces below active layer. A rule of thumb, based on field
experience, is that a pile should be embedded below the permafrost table to
at least twice the thickness of the active layer. Similar guidelines are used for
embedment depths below seasonal frost depths. This guideline needs
further evaluation and field testing.
4. Foundation Isolation from Heaving Forces This method of eliminating or
significantly reducing adfreeze forces consists of drilling a hole larger than
the outside diameter of the pile in the active layer where the upward
adfreeze forces are developed. A steel casing or sleeve is placed around the
pile. The annular space between the steel sleeve and the bore hole is filled
with sand slurry. The annular space between the sleeve and the pile is
usually filled with a mixture of 70 percent ol and 30 percent wax. This
prevents the entry of water and soil in between the pile and the sleeve. This
technique ensures that the surrounding heaving soil in frost zone is
completely isolated from the pile shaft. This method had been successfully
used in permafrost areas to eliminate the development of adfreeze forces
along pile perimeter in active zone. The only disadvantage of this method
appears to be that the lateral load capacity of a pile is significantly reduced
because of the unsupported lateral pile length in active layer.
8.2.4
Freezeback of Piles
Piles in permafrost areas are designed to carry loads by end bearing when there is
a competent material such as rock or nonfrost susceptible dense sand or gravel at
reasonable depths. Alternatively, a pile carries the loads by adfreeze bond
strength in frozen soils or by skin friction in unfrozen soils. The bond strength is
the bond or the adhesive force developed between the pile and the surrounding
601
frozen soil and will be further discussed in Section 8.3. A combination of adfreeze
bond and the end bearing can also be mobilized to carry pile loads in permafrost
areas. When adfreeze bond is utilized to carry loads, piles must be well anchored
in permafrost befare the loads are applied.
As discussed in Chapter 3 (Section 3.4.4) the most common method of
installing piles in permafrost arcas is to auger a hole about 4 to 8 in. (100 to
200 mm) larger in size than the required pile diameter. The pile is then dropped
into the bote, and the annular space between the pile and the surrounding soil is
filled with soil slurry. On freezing, an adfreeze bond is developed between the
slurry and the pile. This would require that the freezeback time, the time required
for the backfilled slurry to freeze in the annular arcas surrounding the pile, be
estimated to ensure that adequate adfreeze bond has been mobilized before the
design load can be applied after pile installation.
The main factors that govern the freezeback time are:
l. The permafrost ground temperatures should be low.

2. The volume of slurry surrounding the pile should be minimum so that
freezeback can occur fast.
3. The latent heat of fusion of the slurry should be as low as possible which is
largely governed by its water content. The moisture (water) content of the
backfilled slurry should therefore be kept as low as possible.
4. In order for the freezeback time to be minimum, the heat source from the
slurry should be as far as possible. This means that the spacing of piles
should be as far as possible.
The latent heat Q of slurry per meter of pile in joules per meter, depends on the
volume of slurry, the slurry water content w, and the dry density 'l'd of the slurry. lf
it is assumed that the heat is conducted radially away from the pile and the slurry,
the latent heat of slurry is then given by the following expression (Crory, 1963):
for round pile section
Q = nL(d -rf)wyd
(8.2a)
for H-pile section
Q = L(nr~ - A)wyd
(8.2b)
where
L = latent heat of water, J/m3, = 334 x 103 J/kg

r 2 = radius of drilled hole, m
r 1 = radius of circular pile section, m
A= area of cross-section of H-pile section, m 2
w =water content in percent of dry slurry weight
Yd = dry unit weight of slurry
(
)
L.iurry = latent heat of slurry = 334yd
~ x 103 J/m 3
The general solution ofpile slurry freezeback time t provided by Crory (1963)
602
and modified by Davison et al. (1981) is given as follows:

t -ri
-(
- a
)1.34
(8.3)
9.3CriAT
where
t = freezeback time, s
C = volumetric heat capacity of permafrost, J/m 3 C
a= thermal ditTusivity of permafrost, m 2 /s
Q = latent heat of slurry per m length of pile, J/m
/l. T = initial temperature of permafrost, C below freezing
r 2 = radius of drilled hole for the pile, m
When the freezeback time t calculated from equation (8.3) by natural

dissipation of the heat to the surrounding frozen soil is longer than allowed by
construction period, and the load has to be applied on the pile sooner than the
period t, calculated above, then artificial refrigeration methods may be required.
These methods are discussed in Chapter 2 (Section 2.6.2). It is a good practice to
check freezeback time after pile installation by monitoring field installed
thermocouples before the pile can be fully loaded (Crory, 1963).
Example 8.1 A 200-mm (8-in.) diameter (2r 1 ) steel pile was installed in a 300mm (12-in.) diameter (2r 2 ) drilled hole. The annular space around the pile is
backfilled with sand slurry having a maximum temperature of 4C. Estmate the
natural freezeback time without allowing permafrost temperature to exceed
- 1C. Based on the field investigations and laboratory tests it was found that the
average permafrost temperature ATis -2C, volumetric heat capacity C ofsand
slurry is 2.75 x 106 J/m 3 C, the latent heat of slurry L.iurry is 155 x 106 J/m 3 , the
thermal ditTusivity of permafrost a is 15 x 1o- 7 m 2/s, and heat capacity C of
permafrost is 1.88 x 106 J/m 3 .
SOLUTION
l. Volumetric Latent Heat (Q) Volumetric latent heat of slurry per meter of
pile length will be a sum of slurry latent heat plus the sensible (temperature) heat
conducted into the permafrost surrounding a drilled hole.
Q = 1t(ri - rf)L,1urry + 1t(ri- rf)C(T)Jm 2 /m 3

= 1t(0.15 2
= 0.039(155
0J2)155
X
106 + 1t(.15 2 - 0.12)2.75
106 + 13.75
106 )
= 6.58 X
106(4 + 1)
106 J/m
where equation (8.2) was used for latent heat of slurry, and the second term
1t(ri - rncr represents heat due to temperature change from 4C to - t C.
PILES SUBJECTED TO AXIAL COMPRESSION LOADS
2. Freezeback Time (t)
From equation (8.3):
r~ (
Q
t-- IX 9.3Cr~A T
r 2 =0.15m
)t.34
IX= 15x10- 7 m2/s
C = 1.88 x 106 J/m 3
(0.15) 2 (
t= 15X10- 7
603
Q = 6.58
AT = 2C
6.58
9.3 X 1.88
X106
106 X0.15 2 X 2
106 J/m
)t. 34
= 297, 754.5 sec

=:: 3.5 days
8.3 PILES SUBJECTED TO AXIAL COMPRESSION LOADS

In this section, the allowable axial compression load, capacity, settlement, frost
action in active layers, and permafrost thawing effects on vertical piles in
permafrost are discussed. Permafrost may contain soils that are ice rich. These
soils contain ice in quantities that are significan ti y more than the volume of water
present in the same soil in the unfrozen state. Because ofthis, an engineer requires
the knowledge of thermal regime (i.e., the etTects of changes in the ground thermal
profile due to seasonal temperature changes and the heat introduced into the
ground from pile foundations). Once the ground thermal aspects have been
established, the response of the frozen ground to the loading has to be assessed.
This section, therefore, first discusses the permafrost area thermal aspects
followed by a brief description of mechanical properties of frozen soils. Finally,
the load carrying capacity of vertical piles to axial loads are presented.
Permafrost Area Thermal Aspects Figure 8.3a exhibits the typical ground
temperature profile responding to the annual cycle of temperature change at the
ground surface. This figure also shows that in winter the ground is completely
frozen as exhibited by temperature profile on the left hand side. During summer,
the ground temperature to a depth, t0 , is above OC, and the ground thaws to this
depth. This layer, which thaws in each summer and then refreezes in winter, is
called the active layer. The summer temperature profile below ground in this case
is shown by the broken. line in Figure 8.3a.
This thermal regime can be manipulated, for better or worse, by construction
activities. For example, a well-ventilated air space below a structure supported on
piles provides a shaded, cooler area in the summer. Also, this area is relatively
snow free in winter, resulting in lower ground temperatures due to the lack of
insulation from smaller or no snow cover. This results in a lower depth of active
!ayer and thus improves foundation temperature conditions. On the other hand,
activities such as right-of-way clearing that could remove the surface cover of
organic layers and expose the surface to summer heat or introduction of heat to
604
ANAL YSIS ANO DESIGN OF PILE FOUNDATION
Surface
temperature
o..-----_,____
Time
-- Mean
temperature
__,~--
Tm
Temperature
- Temp. ----..:-----T...;.;.m;...Or-----::"T"',_..,......-----+-Temp.
/ _.
Active layer, tal
--- ------- -
Depth below ground

(a)
Applied axial
load
~s
QIJO ~
~~.t
-i
Refrozen in~4
winter
----------------
. . ....,..
Ground
}j~f~~~}~~~~h"'!':-~:1
tal su~ace
1 : -'
< .:f
~{Active layer depth
~ ~-. i.;.:::.; ~:t.
~~ ta
Permanently
frozen ground
~
~
before pile installation
\ { New active depth layer

after permafrost
Permanently
degradation due to
frozen ground
pile installation
1t tP.
(b)
Figure 8.3 Ground thermal aspect and typical upward and downward forces on a pile.
(a) Annual ground temperature variation, (b) schematic presentation of forces acting on
pile in permafrost during summer and winter including effects ofpermafrost degradation.
the ground from pile foundations will deepen the active layer locally. This is
called permafrost degradation. The excess water in this thawed layer would then
dissipate due to consolidation resulting in a downward movement of the soil.
This applies downward pressures, r,h, on the pile similar to the negative skin
friction discussed in Chapter 5 (Section 5.1.12). In winter, when the ground
605
refreezes, the near surface soil applies upward adfreeze stresses, t 1 , along the pile
perimeter. This concept has already been discussed in Section 8.2.2.
Forces Acting on Axially Loaded Pile Figure 8.3b shows a schematic presentation of forces acting on a pile that has been subjected to an imposed applied
downward axial load Q00 The right-hand side of this figure shows that in summer,
the soil used to thaw to a depth of t., 1, before pile instaUation. After pile installation
and due to the introduction of heat into the ground from construction activity,
the permafrost has thawed toan additional depth X, causing downdrag stresses
trn on pile surface for this thawed depth X. The left-hand side of Figure 8.3b
exhibits the application of upward adfreeze stresses t 1 , due to frost action or
heave when ground refreezes in winter. Below the depth of new active layer, the
ground remains permanently frozen both in summer and winter mooths. In this
area the pile is bonded with the surrounding frozen soil by adfreeze bond
strength r.,. The adfreeze bond strength, r 0 is discussed in Section 8.3.l. Thus
a pile foundation subjected to axial downward load Q00 in permafrost must be
designed for the following conditions:
l. To Support Axial Downward Load Q, 11 without Causing Failure This
requires estimating ultimate capacity that depends on the development of
adfreeze bond strength t.,, as will be shown la ter. This is discussed in Section
8.3.1.
2. Total Differential Settlements Are within an Allowable Range This
requires understanding the behavior and estimating the magnitude of timedependent settlements of piles in permafrost. This is discussed in
Section 8.3.2.
3. Adfreeze Forces in Winter In winter, the pile is subjected to adfreeze
stresses r 1 , due to frost action in the frozen zone t1 . These upward acting
heave forces are to be resisted by the adequately developed adfreeze bond
strength in the permafrost zone. These forces were discussed in
Section 8.2.2.
4. Downward Drag Forces Finally, downdrag forces due to stresses r,n,
developed by the settlement of soil in degraded permafrost depth X, should
also be considered in the pile design. This is presented in Section 8.3.3.
lt is important to note that the depth of active !ayer that may develop during
the service life of a strucure must be estimated based on field probes during site
investigations and past local experience. This depth should be increased by about
2 ft (0.6 m) to account for local variations and increased thaw around pile due to
construction activity and the introduction of heat in to the ground from thc pile.
8.3.1
Axial Compression Pile Load Capacity
The development of ultimate capacity of a pile in frozen soil is related to the

rupture of adfreeze bond that is developed due to the mobilization of adfreeze
606
TABLE 8.1
Summary of Coefficient m
Steel
Concrete
Timber (uncreosoted)
Corrugated steel pile
0.6
0.6
0.7
1.0
After Weaver and Morgenstern (1981).
bond strength Ta along pile perimeter in permanently frozen soil. The concept of
adfreeze bond strength is similar to the adhesive strength between pile and the
unfrozen soil. Like adhesive strength, the adfreeze bond strength is directly
related to the roughness of the pj]e. However, adfreeze bond strength is also
nversely related to soil ice content and the ground temperature. Long-term
adfreeze bond strengths are determined from long-term laboratory and field tests.
Based on these tests it has been proposed that adfreeze bond strength Ta can be
related to the long-term shear strength S1, by the following relationship (Weaver
and Morgenstern, 1981):
(8.4)
where
S11 = C1, + a"tant/> 1,

e,, = long-term cohesion of permafrost
t/> 11 = long-term angle of interna! friction of permafrost
Typical values formare given in Table 8.1 for various pile materials and their
surface features embedded in permafrost. The long-term shear strength S11 of a
frozen soil is similar to that of unfrozen soil (i.e., it depends both on frictional <P 11
and cohesive C,, components. However, since the normal stress on the adfreeze
plane between soil and pile is small (typically lOOkPa), and thus long-term
frictional strength is generally insignificant. This term therefore may be neglected
in Equation (8.4) which can then be rewritten in the following form:
(8.5)
Based on the review of long-term cohesive strengths e,, of frozen soils by
Vialov (1959) and of polycrystalline ice by Voitkovski (1960), we can conclude
that e,, is primarily temperature dependent. These data are shown on Figure 8.4.
Thus, the long-term adfreeze strength Ta equation (8.5), can be directly related
to the long-term cohesive strength C1, anda constant m that is dependent on pile
material. The cohesive strength e,, should be determined for the frozen soil
immediately at,the pile-frozen soil interface. Asan example, if a steel pile is driven
nto ce-rich varved clay, the soil structure remains intact and e,, of ice-rich
607
400
....... :-.,.
r.J 300
"":'"- ......
" ...............
.....
j
~
"
...... ......
".
......
"...
200
''Ce
" ...... ......
. "
".,,le
......
"~<:-~
',
'
" St4i
....
100
-s
Figure 8.4
.4
-3
2
Temperature, C
'
" ........
-1
'
''
" ..
...
o
Long-tcrm cohesive strength, C 1,, of frozcn soils (Weaver and Morgenstern,
1981).
varved clay should be used from Figure 8.4. Ifthe pile is placed in a predrilled hole
and the annular space is backfillcd with a soil slurry mixed with the original
excavated soil, the varved structure of the original soil is destroyed and C,, for icerich silt should be used from Figure 8.4. Furthermore, if this steel pile was
installed in winter by slurry method, a thin layer ofice will coat the surface of pile
dueto moisture migration to the pile surface. In this situation, C1, for ice should be
used from Figure 8.4 (Weaver and Morgenstern, 1981).
The ultimate capacity of piles in permafrost can therefore be assessed by
consideration of adfreeze strength along the pile shaft. The contribution of end
bearing in most situations is small and can be neglected, which is on the safe side.
End bearing should only be considered when a dense, non-frost-susceptible icefree stratum is cncountered below the pile (Davison et al., 1981; Weaver and
Morgenstern, 1981). The ultimatc pile load capacity (Qu)uu can, therefore, be
determined from the following relationship:
(8.6)
608
where
R = pile radius
L = pile embedment length in permafrost below the active layer
ro(z) = the adfreeze bond strength of the frozen soil layer for the maximum
expected temperature along the depth
Parmeswaran (1981) and Frederking and Kerri (1983) also discuss the effect of
temperature on adfreeze strength of frozen soils. Allowable pile load capacity
(Qv)an can then be calculated by using a safety factor of 2. After, (Qv). 11 has been
estimated based on adfreeze bond strength, a design based on time-dependent
settlement (creep) has to be carried out to ensure that pile displacements under
structural load are tolerable.
8.3.2 Pile Settlement

In this section, methods to calculate the allowable load on a pile to maintain the
settlements within tolerable limits over the lifetime of the structure are discussed.
Weaver and Morgenstern (1981) show that for piles in frozen soils, the load
carried by end bearing is negligible. For example, for a 0.2-m diameter pile that is
25 m long installed in ice, the fraction ofload supported in end bearing at - 1C is
0.5% and at - lOC is 0.65 percent of the total load. Similarly, end bearing
supported 1.1 percent of the total load if this pile was installed in frozen Ottawa
sand. Therefore, for all practica) purposes, piles, installed in frozen soils can be
treated as friction piles unless they are bearing on ice-free rock or dense, ice-free
sand and grave!.
Friction Piles in Jce-Rich Frozen Soils Consider the problem of a pile in frozen
ground (Figure 8.5). The following simplifying assumptions are made to solve for
settlement of a pile:
l. Ata constant temperature, the pile material is considerably more rigid in
the long-term loading than the surrounding frozen soil.
2. The permafrost is in fresh water.
3. The shear stress is uniformly distributed along the pile shaft.
4. The end-bearing stresses are zero.
The shear stress r .. can then be expressed as follows:

(8.7)
where
Q... =axial downward load on pile= friction capacity = Q1

R = pile radius
L = the embedded pile length in permafrost
609
Qua
Thawed
Frozen
tJ
~
JI
lh
r-drl
=:i
~r=a
Figure 8.5
Shcar strcsses and strains around pile in frozcn soil (Nixon and McRobcrts,
1976).
For a weightless soil, the applied shear stress t 0 at r =a is related to the shear
stress t at any other radius r( > R) by the following expression (Figure 8.5):
(8.8)
Johnston and Ladanyi (1972) analyze the problem for a frozen sol subjected to
simple shear under plane strain conditions and show that the flow law for a
general state can be written as follows:
(8.9)
where
"} = shear strain rate induced in frozen ground around a pile due to shear
stress
610
TABLE 8.2
Soils
Secondary Creep Parameters: lce-Ricb
Temperature
(kPa-year- 1)
4.5
2.0
1.0
5.6
- lC
-2C
-SC
- lOC
X
X
X
X
10-s
10-B
10-B
10- 9
n
3.0
3.0
3.0
3.0
After Weaver and Morgenstern (1981).
n and B = constants obtained from a series of creep tests carried out on frozen
soil at a constant temperature (Table 8.2)
t = induced shear stress in frozen soil due to applied load Qua on a
cylindrical pile in frozen ground
For the problem of a vertically loaded pile in frozen soil, the strain around the
pile in the tangential (J direction is zero. Therefore, each element of the frozen
soil deforms under plain strain conditions (Nixon and McRoberts, 1976).
Equation (8.9) obtained for plain strain conditions can therefore be applied for
this problem. This is done by substituting equation (8.8) in to equation 8.9, which
yields following equation:
(8.10)
The shear strain y can be related to displacement, as shown in Figure 8.5, and is
given by following expression:
du
y=--
dr
(8.11)
where
u = displacement at any radius r.
Similarly, shear strain rate y will be:
au
y=--
dr
(8.12)
Substituting y of equation (8.12) in equation (8.10), we get:
d = _ 3<n+l)/2B(tR)n
dr
r
(8.13a)
611
On integrating above equation and using boundary condition that (1) at r = R,

u= u11 (i.e., at pile radius R the soil displacement rate equals the pile displacement
rate 11 ) and (2) at r = oo, =O (i.e., atan infinite radius the displacement is zero),
we obtain the following relation for the displacement rate of the pile under a load
Q. (or shear stress ta):
3(n+ 1>12 Bt:;'

Ji= (n-1)
(8.13b)
This relationship gives the settlement rate u(mm/yr) for ice and ice-rich frozen
soils. The Ioad-carrying capacity Q1 of a friction pile can then be obtained as
follows by combining equations (8.7) and (8.13b):
1(
)1'"( 3<nn -1 )1'"( B1 )1/n = 21tRLtau
Q = 21tR\ R
+ 1)/2
(8.14)
Ali the terms of this equation have been defined earlier. For a known
temperature, values of n and B have been taken from Table 8.2 and the
deformation rate /R and t 0 have been plotted for different temperatures in
Figure 8.6.
From this figure, for an acceptable deformation rate /R and at a known
ground temperature, the average allowable shaft stress ta and hence the loadcarrying capacity Q1 o( pile shaft, embedded in ice-rich soils, can be determined.
Friction Piles in lce-Poor Froten Soi/s Unlike ice-rich soils whose timedependent load settlement is governed by steady-state secondary creep, the
behavior of ice-poor soils is governed by primary creep. In Section 8.2.1 this creep
behavior of frozen soils was discussed. Ladanyi (1972) utilized the MohrCoulomb failure theory to model the effect of hydrostatic pressure on the steadystate (secondary creep) rates. This approach may be extended to nonsteady creep
rates. Based on this, the primary creep for ice-poor soils can be expressed by
following relationship (Weaver and Morgenstern, 1981):
(8.15)
where
<Tm
= mean normal pressure (kP1 )
= [ w(8
~ l)k
=(a 1 +a32 +a)3
t = time elapsed after the application of load, h
9 = temperature below freezing point of water, OC
612
Allowable adfreeze
strengths for
steel piles
l 3 '--~..._..............._.._.................~~....__.._.................................
2
1
3
10
10
Average applied shaft stress,
10
t,kPa
Figure 8.6 Design chart for friction piles in ice or ice-rich soils (Weaver and Morgenstern, 1981).
b, e, w, k = material constants given in Table 8.3

. (l+sinc/>)
1 = (1 - sin e/>)
<P
= angle of internal friction
ae = applied constant stress, kP.
e,,= strain due to a,,

In summary, ice-poor soils do not contain a continuous network of segregated
ice. Therefore, creep in these soils is damped and can be approximated by
equation (8.15). Weaver and Morgenstern (1981) have further suggested that for
piles in ice-poor soils the ratio of {a ifju 3) is typically less than 1.25 and conclude
that a better accuracy may, therefore, be achieved by substituting j = 1 in
equation (8.15). Further rearranging this equation and expressing it in terms of
613
TABLE8.3
Primary Creep Parameters: Ice-Poor Soils
(MP hbfc /Ck)
2.38
2.50
2.04
3.70
1.28
2.63
1.32
0.333
0.45
0.151
0.370
0.449
0.631
0.263
0.73
1.25
4.58
0.88
44.7
2.29
21.0
1.2
0.97
0.87
0.89
1.0
1.0
1.0
Soil
Suffield clay
Bat-Baioss clay
Hanover silt
Callovian sandy loam
Ottawa sand"
Manchester fine sand
Ottawa sandb
After Weavcr and Morgenstern (1981).

study by othcrs.
bStudy by Wcaver and Morgenstern (1981).
deformation uR, the following expression has been suggested by Weaver and
Morgenstern (1981) for creep rate in ice-poor frozen soils:
UR
Rtb=
3<c+l)/lDt~.
(c-1)
(8.16)
The Ioad-carrying capacity offriction piles in ice-poor soils can then be expressed
as follows:
(
Q = 21tR\ Rtb
1
)1/c ( 3+
e_ 1 )1/c ( 1 )1/c
D = 21tRiz
1)/2
(8.17)
Ali the terms of this equation have been defined earlier.

This equation has been summarized in Figure 8.7. From this figure for an
acceptable deformation rate u/tb and at a known ground temperature, the
average allowable shaft stress, t 00 , and hence the load-carrying capacity Q1 of pile
shaft, embedded in ice-poor soils, can be determined.
Creep Sett/ement in Saline Permafrost Creep settlement data presented are for
permafrost soils in fresh water. However, in coastal areas, both fine and coarse
grained soils can be expected to contain sorne salt in pore water. Based on creep
test on satine frozen fine-grained soils, Nixon and Lem (1984) reported that there
is 10- to 100-fold increase in uniaxial creep rates when compared to freshwater
frozen soil tests. These results suggest that there will be an increase in
displacements as soil salinity increases. Nixon and Neukirchner (1984) applied
the results of creep tests on piles in saline frozen soils and produced a chartsimilar
to Figure 8.6 Cor pile displacement rates and the shaft stresses in satine soils as
614
Allowable adfreeze
strengths for
steel piles
Applied shaft stress,

t, kPa

t, kPa
(a)
(b)

t, kPa
(e)
Figure 8.7 Design charts Cor friction piles in ice-poor soils (a) Suffield Clay (y / =
1.76 Mg/m 3 ), (b) Hanover soil (/' = 1.78 Mg/m 3 ), (e) Ottawa sand (/' = 2.00 Mg/m 3 ).
(Weaver and Morgenstern, 1981).
615
a..
"'
-"'
Based oo creep data

for saloe soils from
N"JJ(on and lem [l 984)
Normal range
ol pile settlement rates
Normalized velocity, JR , yr'
Figure 8.8 Prediction of creep settlement for fresh water and saline ice-rich soils (Nixon
and Neukirchner, 1984).
shown in Figure 8.8. Curves both for fresh water and saline water are shown on
this figure. This figure clearly shows that creep displacements of vertically loaded
piles in satine water are higher than for equivalent fresh water soils and can be
used for design purposes.
Example 8.2 A 200-mm (8 in.) diameter steel pipe pile was driven 16 m in icerich silty soil. The life ofthe structure that is supported on this pile foundation is
20 years, and the maximum tolerable settlement throughout its life is 0.04 m.
It is predicted that the maximum active layer will be 2.0 m thick, and the
warmest ground temperature profile is expected to vary linearly from OC at
2m depth to -SC at 16m depth. The downdrag on the pile dueto permafrost
degradation is neglected and frozen soils are in fresh water.
(a) Calculate the allowable axial load on pile.

(b) Calculate the allowable pile load if this pile is placed in augered hole filled
with sand slurry. The soil conditions consist of 10 m of ice-rich silt over icepoor sand.
616
oo
-1
-2
Temperature, e
-3
-4
-5
-6
-7
Ground surface
2
3
4
5
6
7
8
Silt
Effective
pile lenth
l=ll.25m
10
11
12
13
14
15
16m
Depth
Figure 8.9 Soil profile and ground temperature profile (for Example 8.2).
SOLUTION
(a) Based on permafrost colder than - 1C and from Figure 8.9, the effective pile
embedment depth L = 11.25 m. The average temperature over this depth is
-3C.
(i) Pile Capacity based on Adfreeze Strength
From Table 8.1, m = 0.6 for steel pile
From Figure 8.4, Cor ice-rich silt at - 3C
C,, = 225kP
Therefore, from equation (8.5),

't 0
= 0.6 X
225 = 135 kP0
617
Then, from equation (8.6), the ultimate pile capacity (Q.)uu is as follows:
(Q 0 )u 11 = 2n(O.l)(l l.25)(135) = 954.26 kN
(ii) Pile Capacity Based on Pile Settlement
Allowable pile settlement rate =
0.04
20
= 0.002 m/yr
0.002
Ji= OT = 0.02/yr
From Figure 8.6, the allowable shaft stress t is:
t = 70kPa
(Q.)uu = 2n(0.1)(11.25)(70) = 494.8 kN
From (i) and (ii) the allowable pile load will be governed by settlement
consideration.
= (Q )u11 = 494.8 = 247 kN

0
(Q )
" 11
FS
(b) As in (a), L = 11.25 m, and the average temperature for this depth is - 3C.
(i) Pile Capacity Based on Adfreeze Strength
From Table 8.1, m = 0.6
Now, in this case, the adfreeze strength will be applicable between pile and
frozen sand slurry interface. Therefore, from Figure 8.4, long-term
cohesion for ice-poor sand at - 3C will be:
C1, = 375kPa
Then, from equation (8.5),
t0 =
0.6 x 375 = 225 kPa
From equation (8.6), (Q.)uu = 2n(0.1)(1l.25)(225)=1590kPa

(ii) Pile Capacity Based on Pile Settlement
Since the lower (16-10) = 6 m of the pile is located in ice-poor sand, the
friction support provided by ice-rich silt may be ignored because, in the
long run, most of the load will be transferred to the ice-poor soil. This soil
is stiffer than the overlying ice-rich silt.
618
From Table 8.3 for ice-poor soil, the following are creep parameters:
e= 1.32, b=0.263, w=21.0MPhb1cock, k= 1.0, then:
u Rt 0 263 - 0.1(20
0.04
-0.263
365 X 24) 263 - O.Ol 6h
From Figure 8.7c for frozen Ottawa sand for u/Rt 263 h 263 = 0.016, and
at - 3C, we get t = 500 kPa. Then, (Qv)uu = 21t(0.1)(6) (500) = 1885 k Pa.
From (i) and (ii), the allowable pile load will be governed by adfreeze
consideration.
(Qv)au=(~;u = is;o =79SkN

8.3.3 Downdrag due to Permafrost Thawing
As was discussed in the beginning of this chapter, construction activities such as
right-of-way clearing could remove the surface cover of organic insulating layer
and expose the soil surface to summer heat. Similarly, in sorne cases, above
ground pipeline supporting piles may also change the existing ground thennal
regime by introducing additional heat into the ground. This results in long-term
thawing or degradation of the pennafrost and increases the depth of active layer.
The excess water in this thawed layer would then dissipate due to consolidation
resulting in the downward movement of soil. This will apply additional
downward pressure on the pile shaft in this zone. The depth of pennafrost
degradation is shown by X and the downward pressures are shown by r,. in
Figure 8.3.
The depth X in meters can be estimated from the data reported by Linell(1973)
and is given by the following expression:
(8.18)
where
C,h =a constant varying between 0.9 to 1.3 m/yr0 5

t = time in years
Da vison et al. (1981) also recommended this approach for estimating the depth of
permafrost thawing (X).
The downward pressures r,. can then be calculated by using the concepts of
earth pressures at rest within the zone X as follows:
t,h
= K 0 y'Z tan 4>'
where
r,h = downward drag pressure along pile surface
(8.19)
PILES SUBJECTED TO LATERAL LOADS
619
K 0 = coefficient of earth pressures at rest

y' = submerged weight of thawed soil
Z = depth under consideration
<P' = effective angle of interna} friction of thawed soil
Using <P'::::: 36
K 0 = 1 - sin <P' = 0.41, then K 0 tan</>'= 0.41 (0.726)::::: 0.3
Also assuming a pile of radius R being subjected to a downward drag force Din
thaw zone X, we can express Das follows:
D = ( K 0 tan
Substituting K 0 tan c/J'
c/J'y'~
)n(2R)
(8.20)
= 0.3, equation (8.20) can be rewritten as follows:

D = 0.3nRy' X 2
(8.21)
Ali the terms have been defined.

When these downdrag forces D become excessive dueto permafrost thawing
or their effect unduly influences the length ofpile embedment in permafrost, then
methods to control permafrost thawing should be considered. These include the
use of insulation or installing thermal piles. Thermal piles have already been
described in Chapter 2 (Section 2.6.2). Also, a well-ventilated air space under a
structure that provides shades in summer and reduces snow cover in winter (thus
reducing ground temperatures in winter due to the lack of insulation by snow
cover) is more Jikely to maintain permafrost conditions.
8.4 PILES SUBJECTED TO LATERAL LOADS

Pile-supported structures such as elevated buildings, above-grade pipelines, and
pretensioned loads in an anchorage system can apply sustained lateral loads on
vertical piles by horizontal components of inclined loads. These would cause
horizontal creep displacements that are governed by the creep mechanism as
discussed in Section 8.3. Nixon (1984) examined the relationship between
horizontal load, applied moment, and the resulting horizontal pile displacement
rate for short rigid piles. These results were then compared with available field
and laboratory tests which showed good agreement. Basic theory and design
charts obtained from Nixon (1984) are presented as follows:
8.4.1
Free-headed Short Rigid Piles
Figure 8.1 Oshows the configuration of a laterally loaded free-head rigid pile. The
pile is assumed to rotate about sorne point at a depth x = /JL when a lateral
load Q is applied ata height H above the ground surface. Ifthe pile displacement
620
Q =Lateral
load
Heiohtof
load
H
application
Ground surface
(or top of permafrostl
lnitial
location
of pile
/l
I
I
II
Rotated
location
of pile
13L
L= length
Center of
rotation
Lateral
pressure
distribution
along pile
-l l2R
Figure 8.10 Configuration of a laterally loaded free-headed rigid pile (Nixon, 1984).
at the ground surface is u0 , then displacement rate ( = ou/ot) at any depth can
be given as follows:
u= 0 (1 - x/PL)
(8.22)
The creep rate for a laterally loaded cylindrical tube or strip loaded area can be
presented by the following expression (Nixon, 1978):
= IRB(A.p)"
(8.23)
621
where
I = the influence factor and is equal to [(2/n)"(J3/2)"+ 1] (Ladanyi, 1975)
n and B = creep parameters (Table8.2)
Ap = horizontal stress on the loaded area
R = pile radius or half width of loaded area
From equations (8.22) and (8.23), an expression for Ap can be obtained as follows:
Ap=(1~0BY'"( l-;LY'"
(8.24)
The two unknowns 0 and /3 can be obtained by solving the following two
equations obtained from horizontal force and moment equilibrium, respectively:
Q = 2R
2R
L Apdx-2R
Jo
Apdx
(8.25)
{IL
H+{IL
fH+L
Apxdx-2R
Apxdx=O
(8.26)
H+{IL
Equation (8.26) is obtained by taking moments about the point of load

application.
On solving these equations, Nixon (1984) obtained the following general
solution for lateral ground surface displacement rate ( 0 ) for a rigid pile:
u0
IRB(_@_)" =
1 + (1/n)]"
/J(l - E)
(8.27)
2RL
where E= (1/P- 1)< 1 + l/n> and other terms weredefined earlier. It should be noted
here that the coefficient Bis temperature dependent, and therefore this equation
includes temperature. Figure 8.1 la provides plots for dimensionless load
(Q/2RL) against the surface displacement rate (u/R) on a double logarithmic scale
for various temperatures for n = 3, which is the case for ali practical purposes as
shown by Table 8.2. Figure 8.1 lb presents design charts for (u 0 /R) = 0.02 per year
and 0.04 per year. Figure 8.11 a and b can be used for calculating lateral load for
specified lateral movement rate at the ground surface. Nixon compared the
results of above analysis with field pile load tests carried out by Rowley et al.
(1973) and Rowley et al. (1975) and laboratory model tests on laterally loaded
piles. Comparisons between predictions made by above theoretical approach and
the load tests show good agreement. Nixon (1984) suggests that further long-term
testing should be carried out on piles that will provide more confidence on this
approach.
622
R
---
ANALYSlS ANO DESIGN OF PlLE FOUNDATION
1000
T-25-C
'j
T 5c
HIL ~ /
100
O'
11
... - -. -
H/l aO
-e
-e
10
~O<
f < 0.4
11
,._,.
T 1c
H L O
0.4
==-""'
41
1
~
10
100
Normalized displacement rate, 0 tR, yr 1

(a)
100
"iS
o..
~
N
80
1---1-~~"---~......:;;,._-t---::::;:p.-
0.2
......
O'
~
Q.
60
40
0.1
0.3
20 1 - - - + - - - - i - - - + - - - t - - Q
Note: /R 0.02year1
o
o
.2
.4
~~
-41-2R
-8
-10
12
Average ground temperature, C

(b)
Figure 8.11 Lateral load and displacement rates for rigid free-headed piles (Nixon, 1984).
(a) Solution for lateral load versus displaccment rate for frcc-hcadcd rigid pile for n = 3, (b)
design curves for creep data on ice and a spccified lateral displacement rate.

1
623
Q 111 kN (25 OOOlbl
80 ,_H/L 0.4
L 2.80 m
ar 70
- El
"C
=
e
llO
1j
60 50
2R d 0.292 m
3707 kN - m2
T 2.sc
B 2.13 x l0'8 kPa" 3 year' 1

,. 3
1
~ 40
V-- ~
QI
'6
.51
30
20
QI
1j
....1
10
...--
Observed by Rowley et al. (l 973)

lor similar conditions, but
warmer temperatures _ -
~-t--1
--o
J
15
10
------r-- ------ --
"Steady" creep
rate for flexible
pile 0.233 m/ye1r1
Zone of decreasin
treep retes due
to bendinfi of
flexible p1 e and
stress read~stment
alon1 pile s afl
20
- Finite ditterence
comriuter solution
for 1exible pile in
viscous medium
i---
-~
- -
Charted solution
lor short rigid pile
0 101 /aB (Q/2RLl 3 0.24 m/yearl
1
25
30
35
40
45
50
Time, days
Figure 8.12 Comparison of solutions for flexible piles and short piles (Nixon, 1984).
Example8.3 A 250-mm (10in.) diameter 6 m (19.7 ft) long steel pile is embedded
in ice-rich silty frozen soil which is at - 3C. Calculate the allowable lateral load
Q that can be applied at 1.8 m (5.9 ft} above ground. The allowable lateral
deformation over 20 year period at ground surface is 50 mm (2 inch}.
SOLUTION Using terms of Figure 8.10:
L=6m
H
250
R=-=125mm
= l.8m
H/L = 1.8/6 = 0.3
u0 = ~~ = 2.5 mm/year
u0
2.5
R = 125 =0.02/year
From Figure 8.1 lb, for

following:
u0 /R = 0.02/year, H/L =0.3 and at
- 3C, we get the
624
Q
2RL =43kPa
Q = 43
8.4.2
2 X 0.125
6 = 64.5kN:: 14.5kips
Laterally Loaded Flexible Piles
Nixon (1984) presented the following theoretical formulation for flexible piles
based on the equation for bending of an elastic beam. The lateral deformation u of
such a pile under variable reaction llp can be given by following relationship:
o4u
El-=
-2Rllp
ox 4
(8.28)
where
El = pile material flexibility
llp =(u/1RB) 1'" as given by equation (8.23)
=
X =depth
t =time
ou/ot
The boundary conditions at the top and base of embedded pile for bending
moment M and the horizontal shear load Q are as follows:
o2 u
M=-El-=QH
ox 2
iJ3u
Shear = El ox 3 = Q
o2 u
M= -El-=0
ox 2
J3u
Shear = El ox 3 =O
at
at x=O
(8.29)
=0
(8.30)
at x=L
(8.31)
at x=L
(8.32)
Nixon (1984) solved this problem by finite difference approximation by using a

short program written for the digital computer. The program outputs the
displacement, bending moment, shear load, and lateral soil reaction along pile
depth at the nodes of pile that was divided into m equal segments of length llx.
Figure 8.12 presents the lateral deformation versus time obtained for a 2.8 m
long, 292 mm diameter pile. Other soil and pile details are provided in this figure.
Results plotted in this figure show that a relatively long period must elapse before
the flexible pile achieves its equilibrium-deformed shape. For example, it took
about 20 days before the surface lateral displacement rates offlexible pile became
equal to that predicted by the simplified analysis for a rigid pile. lt appears that
RECOMMENDATIONS FOR DESIGN
625
higher apparent creep rates for flexible piles can be anticipated for a significant
time period dueto the flexibility of the pile and stress readjustment along the pile
shaft. This means that the time to achieve a near-steady pile creep velocity can be
greatly reduced if a more rigid pile is used. Field lateral load pile tests and further
analysis based on above formulation are required before design curves relating
the pile rigidity to the creep properties of surrounding soils for a given applied
lateral load and tolerable deformation can be established for design.
The foregoing analysis and design methods are based on limited field tests and
therefore need further pile load tests in the field to verify and improve the
theoretical treatment of the piles subjected to lateral loads in frozen soils. These
methods can, however, be used for estimating allowable lateral load on pile and
then the estimated load should be confirmed by field tests. When field tests are not
practica} following limiting guidelines may be used:
l. For short-term loadings, such as construction, wind and seismic loads for
piles greater than or equal to 300 mm (12 in.) diameter and embedment
length greater than or equal to 6 m (20 ft) the maximum allowa:ble lateral
loads should be limited to the following:
(a) Steel pile: Maximum allowable lateral load= 77 kN (17.3 kips)
(b) Timber pile: Maximum allowable lateral load= 58 kN (13 kips)
These recommendations are based on full-scale pile load tests carried out
on 300mm (12in.) diameter steel piles (Rowley et al., 1973, 1975).
2. For sustained long-term loads such as seasonal temperature loads that may
last for 6 months and for pipeline anchor forces, the allowable lateral loads
should not exceed 6 kips (Davison et al., 1981).
8.S RECOMMENDATIONS FOR DESIGN

For pile design in permafrost area, the following steps are recommended:
Step 1 Follow temperate (warm) climate end-bearing pile design procedures if
competent bedrock is within reasonable distance below ground surface. If this
approach is not practical, permafrost pile design techniques are to be used.
Step 11 Since settlement and strength properties ofwarm frozen soils (temperature greater than - 1C) are still poorly defined, the following three design
altematives are used for such cases:
(a) Ifpermafrost is thaw stable, carry out the designas ifthe soils are unfrozen.
This case appJies to clean coarse-grained frozen soils.
(b) If permafrost is thaw unstable, then prethaw and compact these soils.
(c) Lower the permafrost temperature by using artificial r~frigeration as
discussed in Chapter 2 (Section 2.6.2) and Chapter 3 (Section 3.4.4). Pile
626
design is then identical to that for cold permafrost (temperature less than
- 1C discussed as follows.
Step 111 If the ground temperature is colder than -1 C, then the following
procedure is recommended:
(a) Determine the soil profile at the site and obtain highest measured
permafrost temperature. This can either be based on past experience or
records or thermocouple measurements for the project. Based on this,
determine the depth of permafrost table.
(b) Based on the nature of structure determine if permafrost thawing is likely
to occur. If there is a possibility of permafrost thawing, use equations (8.18)
and (8.21) to estimate the total downdrag force.
(8.18)
D = 0.3nRy' X 2
(8.21)
(e) Based on the highest measured temperature profile, as mentioned in (a),

estimate the ultimate adfreeze bond, strength from equation (8.5). Then
determine (Q,,)u 11 from equation (8.6).
(8.S)
(8.6)
Use a proper factor of safety, say 2, to obtain (Q,,).11 Then equate (Q,,).11
with the following:
(Qv)an = structure load+ downdrag force
(8.33)
Determine the total embedment length ( L) required to satisfy above

equation.
(d) Ifthe soils are ice rich (i.e., y1 , the frozen bulk density including segregated
ice is less than about 1700kg/m 3 ), calculate pile load capacity Q1 for a
given limiting deformation rate u and embedment length L by using
equation (8.14).
u)1/n(
Q = 2nRL ( R
n_ 1
,,, + lJ/l
3
)1/n( B1 )1/n = 2nRLt
0 ,,
(8.14)
Use a safety factor of 2 to obtain allowable Q1 .

(e) If the frozen soils are ice poor (yI > 1700 kg/m 3 ) calculate Q from
DESIGN EXAMPLE
627
equation (8.17). Use a safety factor of 2 to obtain allowable Q1.

if allowable Q1 ~ (structure load + downdrag force) O.K.
if allowable Q1 < (structure load + downdrag force) Not O.K.
Redesign can be carried out by increasing pile embedment length L until
allowable Q1 is greater than structural load plus the downdrag force.
(f) Estmate the frost heave force Fas discussed in Section 8.2.2. Then ensure
that the following condition is satisfied.
F < (structure load
+ downdrag force)
For most cases with sustained loads supported by embedment length in

permafrost, seasonal frost heave forces should not be a problem.
8.6 DESIGN EXAMPLE

Example 8.4
features:
Site investigations at a northern site indicated the following
(a) The maximum active layer is 2.0 m (6.6 ft).

(b) Based on measurements by thermocouples, the highest measured permafrost temperatures were OC at 2.2 m (6.6 ft) depth and then linearly
decreasing to -4C at 20 m (66 ft) depth below ground.
(c) The soils were ice-rich frozen silts.
(d) The seasonal frost depth was recorded to be 1.25 m (4 ft).
Designa pile to carry a maximum sustained vertical load of 200 kN (44.8 kips)
when the maximum allowable pile settlement is 50 mm (2 in.) throughout the 20year life of the structure. Available materials at the si te are timber (spruce) with an
allowable strength of 5000kN/m 2 (104.5 kips/ft 2 ) and steel pipe and H pile with
an allowable strength of 62,000kN/m 2 (1295 kips/ft 2 ).
SOLUTION
1. Assume that a spruce pile is installed in a predrilled slurried hole and

allowed to freeze back. The required pile diameter is:
load =
or 200 =
1t
1t
(2R) 2 x strength
(2R) 2 x 5000
628

2_
2()()
.. (2R) - 7t x 5000
or 2R = 225 mm = pile diameter
Then use a 350-mm diameter predrilled hole and place the 225-mm
diameter pile surrounded by slurry and then allowed to freeze back.
2. Estmate downdrag force dueto permafrost thawing or degradation. From
equation (8.18): X= c,,.(t) 5 .
X = 0.9(20)o.s = 4 m
when
e,,.= 0.9
(see Section 8.3.3)
t = 20 years
From equation (8.21):

D = 0.37tRy' X 2
D=
(8.21)
0.37t(~ 5 )<5.9)(4) 2 =10.0kN
where
y= 1.6Mg/m 3 =15.7kN/m 3 (100lb/ft3 )
y'= Y - Yw = S.9 kN/m 3 (37.5 lb/ft 3 )
3. Embedment length based on adfreeze strength. The temperature at 2 m

depth is OC and at 20m depth is -4C. For simplification, the average
temperature over this depth is assumed to be -2C. For greater accuracy,
the depth can be divided into layers and based on temperature variation
with depth average temperature at middlc of each layer can be used.
Results based on above simplification will not be very much different
from the one based on breaking the depth in layers. Then from equation
(8.6):
(Qu)u11=1t(2R)
f:
t 0 (z)dr.
(8.6)
If
L=20m
R=0.225/2m
t 0 = 0.7 x 150 = 105 kPa (equation (8.5), Figure 8.4, and Table 8.1)
(Qu)., 11 = 1484kN
(Qu). 11 = 742kN with FS = 2
OVERVIEW
629
If
L=l5m
(Qv)au = 556.5 kN
(Qv)u11=1113kN
If
(Qv)all = 371 kN
Sustained structure load+ downdrag force= 200 + 10 = 210 kN. From
above for L = lOm, (Q 0 ).11 = 371kN>210kN. Therefore use a pile embedment length of lOm. Total pile length = embedment +active layer + degradation depth. Total pile length = 1O+ 2 + 4 = 16 m (53 ft).
4. Embedment length based on settlement criteria. From equation (8.14):
1 (
Q=27tR\R
2R=0.225m
)1/n( 3<n+n12
n - 1 )l'"( 1 )l/n
B
B = 2 x 10-s {Table 8.2)
n=3
= 0.05/20 m/yr
L= lOm
Q1 =7t x 0.225 x
10( 2~~ ;2~ 5 )1

5
Allowable load= Q1/FS = 237 kN
13
(
2
32
)1'
3
(
2x
~o-s )1'
= 474kN
FS = 2
This is still greater than 210 kN (from step (3) above). Therefore, a 225-mm
(9 in.) diameter pile with 33 ft (10 m) embedment length in permafrost anda
total length of 53 ft (16 m) will have an allowable design load of 53.3 kips
(237 kN). The design load is controlled by settlement criteria.
5. Heave force (F). From Section 8.2.2, F = 7t(2R) depth of seasonal frost x
adfreeze force. F = 7t(0.225)(1.25)(78.5)kN = 69.4 kN(l 5.6 kips). This
force is less than sustained load plus downdrag force => O.K. The total pile
lcngth of 16 m (53 ft) can be reduced by using construction methods so
that permafrost degradation is cither reduced or avoided. One such
method could be providing thermopiles. Another method is to provide
shaded air space that would decrease ground temperatures. If this pile
foundation supports a building.. with air space below the floor of the
structure, the shade will inhibit the permafrost degradation. Thus, a 4.0-m
depth of thaw degradation can be saved. The total required pile length will
then be 10 + 2 = 12 m, instead of 16 m as shown above. This assumcs that
the pile does not introduce heat into ground by conduction, which is a
reasonablc assumption for timber piles.
8.7 OVERVIEW
If frozen soils in permafrost environment consist of competent materials such as

ice-free rock, dense glacial till, or non-frost-susceptible soils, then pile design can
630
ANAL YSIS AND DESIGN OF PILE FOUNDATION
be carried out in a conventional manner as discussed in Chapters 5 and 6. In such

situations, frozen soil condition can be neglected. If, on the other hand, the
materials are frost susceptible, procedures outlined in this chapter for permafrost
environment are applicable.
The strength of frozen soils depends on ground temperatures, stress level, soil
type, and the duration oftest time. In general, the strength ofthese soils decreases
with time and increases as soil temperatures decrease. Furthermore, these soils
also exhibit creep phenomena under constant deviatoric stress. For example, icerich frozen soils exhibit steady-state creep under low to medium load levels.
Based on the studies ofload-deformation behavior offrozen soils under different
confining pressures and temperatures it has been shown by Ladanyi (1972),
Ladanyi and Johnston (1974), Nixon (1978), Nixon and Lem (1984) and other
investigators that shear strength and load deformation behavior offrozen soils is
significantly influenced by time and the ground thermal regime.
The upper part of the active layer thaws in summer and refreezes every winter.
If frost-susceptible soils exist in this upper part, then frost heaving will occur,
which can develop upward heaving forces on foundations in two ways. The first
consists of the application of upward forces on underside of foundation surfaces,
such as pile caps and grade beams. The second consists of the development of
upward adfreeze forces along the pile perimeter in the frost zone. Magnitude of
these heave forces depends on soil type, moisture content, ground thermal regime,
and foundation flexibility. Heavy pressures as high as 260psi (1800kPa) have
been reported in the literature (Penner, 1970). lt is therefore recommended that
rather than designing for such high potential uplift pressures, foundations should
be placed well below the depth of active layer. The magnitude of adfreeze forces
along pile surface in frost zone can also vary significantly. The magnitude and the
factors afTecting adfreeze bond stresses have not yet been fully investigated.
Average values of 1Opsi (70 kPa) for wood and concrete piles and 15 psi (100 kPa)
for steel piles are generally used in practice for calculating adfreeze upward forces
on piles. Further work is required in this area.
One of the most common methods of installing piles in permafrost areas is to
auger a hole into the ground and then drop a steel or wood pile into it. The
annular space around the pile is then filled with sand-water slurry. This slurry is
allowed to freeze to develop an adfreeze bond between the pile and the frozen soil.
The time required for this slurry to freeze by natural conduction is called
freezeback time. This time can be estimated with reasonable accuracy by using
equation (8.3). If natural freezeback time is too long and the load on pile has to
be applied sooner than this, then artificial refrigeration methods may be
required.
The two design criteria that must be satisfied for an axially loaded pile in
permafrost are as follows:
l. Estmate the ultimate load capacity of a pile that is mobilized by adfreeze
bond strength. This can be related to the Iong-term cohesion between the
pile and the frozen soil for the warmest permafrost temperature that is
REFERENCES
631
expected during its service life. The ultimate pile load capacity can then be
calculated by using equation (8.6), Figure 8.4, and Table 8.1.
2. The load required to maintain the settlement within tolerable limits over
the life of a structure can be estimated by considering a friction pile
subjected to simple shear under plain strain conditions. Equation (8.14) for
ice-rich soils and equation (8.17) for ice-poor soils can be used to estmate
this load. These equations require the use of experimentally determined
creep parameters. Although a large database on these creep parameters has
been collected, further site-specific data supported by long-term field pile
load tests should be encouraged to gather more information on soil-pile
creep behavior. Sorne inforrnation on creep settlernent on saline perrnafrost
is also available. Additional work is required in this area.
The allowable pile load capacity can then be calculated by dividing the lower
value obtained frorn (1) or (2) above with a safety factor of 2. Analysis shows that
for ice-rich frozen soils, load capacity calculated from tolerable settlement criteria
governs while for ice-poor soils, the load capacity is generally governed by
adfreeze bond strength.
Allowable lateral load capacity of a short free-headed vertical pile can be
estimated from equation (8.27) and Figure 8.11. Nixon (1984) also gives a
formulation for a long elastic laterally loaded pile, which can be solved by a
cornputer program. These design rnethods are based on lirnited pile load tests.
Further long-term pile load tests are required to provide more confidence in these
design methods. In the rneantirne, design recomrnendations provided in Section 8.4 for estimating capacity of laterally loaded piles can be used.
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Crory, F. E. "Pile Foundations in Permafrost," Proceedings International Conference on
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Crory, F. E. and Reed, R. E. "Measurement of Frost Heaving Forces on Piles," U.S. Army,
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Davison, D. M., Harris, M. C., Hayley, D. W., Johnston, G. H., Ladanyi, B., McCormick,
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632
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Nixon, J. F., and Lem, G. "Creep and Strength Testing of Frozen Saline Fine-Grained
Soils," Can. Geotech. J., Vol. 21, No. 3, 1984, pp. 518-52~:
Nixon, J. F. and McRoberts, E. C. "A Design Approach for Pile Foundations in
Permafrost," Can. Geotech. J., Vol. 13, No. 1, 1976, pp.40-57.
Nixon, J. F., and Neukirchner, R. J. "Design of Vertical and Laterally Loaded Piles in
Saline Permafrost," Proceedings, 2nd lnternational Conference on Cold Regions
Engineering, Edmonton, Alberta, Canada, 1984, pp. 1-14.
Parameswaran, V. R., "Adfreeze Strength of Model Pile in Ice," Can. Geotech. J., Vol. 18,
No.1, 1981, pp.8-16.
Penner, E., "Frost Heaving Forces in Leda Clay," Can. Geotech. J., Vol. 7, No.1, 1970,
pp. 8-16.
Robinsky, E. l., and Bespflug, K. E. "Design of lnsulated Foundations," J. Soil. Mech.
Found. Div., ASCE, Vol. 99, No. SM9, 1973, pp. 649-667.
Rowley, R. K., Watson, G. H., and Ladanyi, B. "Vertical and Lateral Pile Load Tests in
Permafrost," Proceedings 2nd lnternational Conference on Permafrost, Yakutsk,
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Tsytovich, N. A. "Principies of Geocryology," Part 11, Chapter 111, Canada, National

Rcscarch Council, tcchnical translation TT 1239, 1959, pp. 28-79.
Tsytovich, N. A., "Bases and Foundations on Frozen Soils," U.S. Highways Rcscarch
Board, Spccial Report 58, 1960, pp. 1-93.
Voitkovskii, K. F. "Mckharicheskiye Svoystva Idia" (Thc Mechanical Properties of Ice.)
Isslcdovaniya Acadcmii Nauk. (In Russian; English Translation by the Air Force
Cambridge Rcscarch Laboratories, Bcdford, MA, AFCRL-62-838, AMS-T-R-391)
1960, p. 92.
Vyalov, S. S. "Rheological Properties and Bearing Capacity of Frozen Soils, (Russian,
translatcd in 1965) U.S. Army Corps of Engincers, Cold Regions Research and
Engincering Laboratory, Army Translation No. 74, Hanover, NH, 1959, p. 219.
Vyalov, S. S., and Porkhacv, G. V. (eds.), "Handbook for the Design of Bases and
Foundations of Buildings and Other Structures on Permafrost," National Rcsearch
Council, Canada, Tcchnical Translation 1865, 1976.
Weavcr, J. S., and Morgenstem, N. R. "Pile Design in Permafrost," Can. Geotech. J., Vol.
18, No. 3, 1981, pp. 357-370.
Womick, O., and LcGoullon, R. B. "Settling a Problem of Settling," The Northern
Engineer, Vol. 7, No. l, 1975, pp. 4-10.
9
PILE LOAD TESTS
As discussed in Chapters 5 through 8, the estimation of pile load capacity and

settlement under a load is based on the results of field investigations, laboratory
testing and the empirical and semiempirical methods. These estimated values
should then be confirmed by field pile load tests. Pile load tests, in practice, are
normally executed in two alternative ways:
l. Test Pile
Preliminary pile design is first carried out on the basis of site

investigations, laboratory soil testing, and office study. Pile load tests are
then carried out to refine and finalize the design. For these conditions, the
test piles are generally tested to failure.
2. Test on a Working Pile In areas where previous experience is available,
pile design is carried out based on the site investigations, laboratory soil
testing, and office study. Pile load tests are then carried out on randomly
selected actual piles to check the pile design capacities. In these situations,
the piles are generally tested to two times the design capacity.
The equipment and test procedures for these two alternatives are essentially
similar. The main difference is the level of final loading. Therefore, the details of
tests presented below are applicable for both of the tests listed above. This
chapter presents the details of pile load test for axial compression, pullout, and
lateral and dynamic loads.
9.1
AXIAL COMPRF.sSION PILE LOAD TESTS
This section first discusses the test equipment and load and, movement measuring instruments required in an axial compression pile load test. Following
634
AXIAL COMPRESSION PILE LOAD TESTS
635
this, the load test procedures and methods ofinterpreting test data are discussed.
Finally, an example of pile load test and its interpretation are presented.
9.1.1
Test Equipment and Instruments
The main aspects of test equipment and instruments consist of load application
arrangements and the instruments to measure the resulting movements or
deformations. These two items are presented here separately.
Load Application Arrangements As shown in Figure 9.la, a typical example of

axial compression load application arrangement consists of two anchor piles
located on either side of a test pile. In order to minimize the interference between
test and anchor piles, a mnimum distance of five times the pile diameter is
maintained between the piles. A reaction beam is placed on top ofthe anchor piles
and the test pile is loaded by utilizing a hydraulic jack placed centrally on top of
the test pile. This results in applying compressive load on the test pile and the
tensile load on the anchor piles. A slightly different loading arrangement is
shown in Figure 9.1 b. As shown in Figure 9.2, an alternate loading arrangement
such as a timber crib and weights can also be used in lieu of the anchor pile
and reaction beam system. ASTM D 1143-81 (1989) cites other alternate loading
arrangements.
Load applied by hydraulic jack is measured either by a calibrated load cell
placed between the jack and the pile or by a calibrated pressure gauge located
between the pump and the hydraulic jack. The load cell and the pressure gauge
should be calibrated before each test program to an accuracy of not less than 5
percent of the applied load. Sorne engineers require that the ram and the gauge
be calibrating as a uhit. The advantage of calibrating as a unit is supposed to
be that the effect of ram friction occurring along the sides of the ram (primarily
at the location of the sea!) can be taken into account. Davisson (1970), has
shown that this can be an exercise in futility. Also if the ram is not perfectly
aligned with the pile, eccentric loading may occur which may cause misalignment
of the ram in the ram housing. This increases the potential for ram friction.
Davisson (1970, 1989) recommends that a spherical bearing may be placed
between the ram and the reaction bearing (Figure 9.lb). An introduction of a
spherical bearing will also eliminate horizontal movements of the loading
arrangements. These movements may be up to 1" or more in a poor set up and
be no more than 1/8" in a good set up (Davisson, 1970). In order to provide a
check and as a backup in case of one system malfunctioning, consideration
should be given to employing both the load cell and the pressure gauge. At the
time ofload test planning, it should be ensured that the loading frame is designed
for the maximum anticipated applied load and hydraulic jack rams have
sufficient travel to provide for anticipated pile settlements, deflections of the
reaction beam and elongation of connections of anchoring devices. It is also
recommended that the loading frame should be conservatively designed so that
at least 50 percent higher load can be applied on test piles in case the actual
636
PILE LOAD TESTS
failure load is higher than the anticipated value. Ifthis is not done, then valuable
load movement behavior near failure may be missed (Nordlund, 1982; Sharma
et al., 1986).
lnstruments for Measuring the Movements The two main types of movement
measurements in a pile load test are pile butt axial movement measurement and
incremental strain measurements along the pile length.
Pile butt axial movement measurements are required in ali pile load tests. The
incremental strain measurements are used to determine the distribution of load
transfer from the pile to the soil and are generally considered as an optional
measurement feature.
5 diameters
4-25 mm el>
Dywidag bars
c/w 10 M ties
750 mm ! friction pile

c/w 1200 mm el> bell
8-25 mm vert. c/w

10 M ties@300
500 mm! pile

c/w 1000 mm bell (mini
750 mm! friction pile

c/w 1200 mm bell
Load test beam
-==--1 -t- - -t - 1-----t---t----'J:;:;:;::;:;fd_b~::::r*-==~

----,-
-r--,-'- - _J_
1
__ __ __
1
Anchor pile
Test pile
Anchor pile
Figure 9.la An example of a typical axial compression load application arrangement
(Sharma et al., 1984).
AXIAL COMPRESSION PILE LOAD TESTS
Reaction
beam
637
Stiffeners
Spherical bearing
Seal
Friction on ram
Hydraulic pressure
Ram housing
Dial indicator
Dial stem
reaction
pi ate
Bracket attached to pile

Wire
Test
pile
Figure 9.lb An example of hydraulic ram on a test pile with spherical bearing. (Davisson, 1970)
Weighted box or platform

Cross beams
Test pile
Figure 9.2 Axial compression load application arrangement using timber cribbing and
the weighted box (ASTM, 1986).
638
PILE LOAD TESTS
Pile Butt Axial Movement The most common types of instruments used to
measure pile butt or head axial movement are the dial gauges, the wire, mirror
and scale arrangement, and the surveyor's level system.
DIAL GAUGES In the dial gauge measuring system, two parallel reference beams,
one on each side of the test pile, are independently supported on firm supports.
These supports are located at least 8 ft (2.5 m) away from the test beam. Reference
beams should be stifT to support the instruments and should be of such rigidity
that excessive vibrations in readings do not occur. It is recommended that
reference beams should be of timber so that temperature variations do not afTect
the readings. lf steel beams are uscd then it should be ensured that one end of each
beam is free to move horizontally to accommodate beam length changes with
temperature variations. A mnimum of two dial gauges, approximately equal
distance and on opposite sides of the test pile, should be mounted on the
reference beam. Davisson (1970) recommends that the two dial gauges must
be located on a diameter of the pile cross scction and placed at equal radial
distances. In this manner, the two dial readings can be averaged to obtain
the deflection of the center of the pile (Figure 9.lb). Dial gauges should have
at least a 2 in. (50 mm) travel. Longer gauge stems should be provided where
larger movement is anticipated. Ali gauges should also have a precision of at
least 0.01 in. (0.25 mm). Figure 9.3(a) presents this measuring arrangement
schematically.
As shown on Figure 9.3b, the wire,

mirror, and scale system consists oftwo parallel wires, one on each side of the test
pile and supported on both ends as far as practicable from anchor piles. Wires
should be tightly anchored at the supports so that tension is maintained
throughout the test. Piano wires or equivalent type are generally recommended.
Each wire passes across the face of the test pile and is located at about 1 in.
(25 mm) away from the face. A mirror and a scale are mounted on the face of the
pile opposite to the wire. The pile butt axial movements can be recorded from the
readings of the scale directly by lining up the wire and its image in the mirror.
Davisson (1970) recommends the use of two dial gauges and two wire-scalemirror systems at right angles to each other. For further details, the reader is
referred to Davisson (1970).
THE WIRE, MIRROR, ANO SCALE ARRANGEMENT
A surveyor's level is generally used for measuring

the axial movement as a check rather than as a primary meaos of movcmcnt
measuremcnt. The system consists of a surveyor's level statoned at least 10 pile
butt diameters from both the test and the reaction piles (Davisson, 1970). Level
shots are then taken on a reference scale fixed to the side of the test pile as
shown on Figure 9.3b. These readings are referenced to a permanent bench
mark located outside the load test arca.
SURVEYOR's LEVEL SYSTEM
Incremental Strain Measurements Along the Pile Length
Incremental strain

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8

ANALYSIS AND DESIGN OF PILE

In permafrost, there are many additional considerations that control the

ANALYSIS ANO DESIGN OF PILE FOUNDATION

ANAL YSIS AND DESIGN OF PILE FOUNDATION

Tertiary Creep Characterized by an accelerated creep rate. This would

GENERAL DESIGN CONSIDERATIONS

GENERAL DESIGN CONSIDERATIONS

Load-Settlement Behavior of Foundation in Frozen Soils

The load-settlement behavior of frozen soils depends on interparticle friction,

ANALYSIS AND DESIGN OF PILE FOUNDA TION

GENERAL DESIGN CONSIDERATIONS

ANAL YSIS ANO DESIGN OF PILE FOUNDA TION

Figure 8.2 Schematic presentation of the load-settlement-time relationship in loading

GENERAL DESIGN CONSIDERATIONS

this case) obtained in the same manner as isochronous strength-strain curves in

Frost Heave and Adfreeze Forces

Frost heave is generally characterized by the vertical upward movement of

ANALYSIS AND DESIGN OF PILE FOUNDATION

GENERAL DESIGN CONSIDERATIONS

stress occurs due to small deformation of piles. This means maximum

F = total upward adfreeze force, kg

Frost Heave Control Methods

ANALYSIS ANO DESIGN OF PILE FOUNDATION

GENERAL DESIGN CONSIDERATIONS

l. The permafrost ground temperatures should be low.

for H-pile section

L = latent heat of water, J/m3, = 334 x 103 J/kg

ANALYSIS ANO DESIGN OF PILE FOUNDATION

and modified by Davison et al. (1981) is given as follows:

When the freezeback time t calculated from equation (8.3) by natural

Q = 1t(ri - rf)L,1urry + 1t(ri- rf)C(T)Jm 2 /m 3

106 + 1t(.15 2 - 0.12)2.75

PILES SUBJECTED TO AXIAL COMPRESSION LOADS

2. Freezeback Time (t)

From equation (8.3):

IX= 15x10- 7 m2/s

C = 1.88 x 106 J/m 3

= 297, 754.5 sec

8.3 PILES SUBJECTED TO AXIAL COMPRESSION LOADS

ANAL YSIS ANO DESIGN OF PILE FOUNDATION

Depth below ground

~{Active layer depth

~ ~-. i.;.:::.; ~:t.

before pile installation

\ { New active depth layer

PILES SUBJECTED TO AXIAL COMPRESSION LOADS

Axial Compression Pile Load Capacity

The development of ultimate capacity of a pile in frozen soil is related to the

ANALYSIS AND DESIGN OF PILE FOUNDATION

After Weaver and Morgenstern (1981).

S11 = C1, + a"tant/> 1,

PILES SUBJECTED TO AXIAL COMPRESSION LOADS

" ...... ......

Long-tcrm cohesive strength, C 1,, of frozcn soils (Weaver and Morgenstern,

ANALYSIS ANO DESIGN OF PILE FOUNDATION

8.3.2 Pile Settlement

The shear stress r .. can then be expressed as follows:

Q... =axial downward load on pile= friction capacity = Q1

PILES SUBJECTED TO AXIAL COMPRESSION LOADS

ANALYSIS AND DESIGN OF PILE FOUNDATION

Secondary Creep Parameters: lce-Ricb

After Weaver and Morgenstern (1981).