ASTM D3966/D3966M-07(2013)e1
(Test Method)Standard Test Methods for Deep Foundations Under Lateral Load
Standard Test Methods for Deep Foundations Under Lateral Load
SIGNIFICANCE AND USE
4.1 Field tests provide the most reliable relationship between the lateral load applied to a deep foundation and the resulting lateral movement. Test results may also provide information used to assess the distribution of lateral resistance along the pile shaft and the long-term load-deflection behavior. A foundation designer may evaluate the test results to determine if, after applying an appropriate factor of safety, the pile or pile group has an ultimate lateral capacity and a deflection at service load satisfactory to satisfy specific foundation requirements. When performed as part of a multiple-pile test program, the designer may also use the results to assess the viability of different piling types and the variability of the test site.
4.2 The analysis of lateral test results obtained using proper instrumentation helps the foundation designer characterize the variation of pile-soil interaction properties, such as the coefficient of horizontal subgrade reaction, to estimate bending stresses and lateral deflection over the length of the pile for use in the structural design of the pile.
4.3 If feasible, without exceeding the safe structural load on the pile(s) or pile cap, the maximum load applied should reach a failure load from which the engineer may determine the ultimate lateral load capacity of the pile(s). Tests that achieve a failure load may help the designer improve the efficiency of the foundation by reducing the piling length, quantity, or size.
4.4 If deemed impractical to apply lateral test loads to an inclined pile, the engineer may elect to use lateral test results from a nearby vertical pile to evaluate the lateral capacity of the inclined pile. Note 1—The quality of the result produced by this test method is dependent on the competence of the personnel performing it, and the suitability of the equipment and facilities used. Agencies that meet the criteria of Practice D3740 are generally considered capable of competent and objective test...
SCOPE
1.1 The test methods described in this standard measure the lateral deflection of a vertical or inclined deep foundation when subjected to lateral loading. These methods apply to all deep foundations, referred to herein as “pile(s),” that function in a manner similar to driven piles or cast in place piles, regardless of their method of installation, and may be used for testing single piles or pile groups. The test results may not represent the long-term performance of a deep foundation.
1.2 These test methods provide minimum requirements for testing deep foundations under lateral load. Plans, specifications, provisions, or combinations thereof prepared by a qualified engineer may provide additional requirements and procedures as needed to satisfy the objectives of a particular test program. The engineer in responsible charge of the foundation design, referred to herein as the engineer, shall approve any deviations, deletions, or additions to the requirements of these test methods.
1.3 These test methods allow the following test procedures:
Procedure
Test
Section
A
Standard Loading
8.1.2
B
Excess Loading (Optional)
8.1.3
C
Cyclic Loading (Optional)
8.1.4
D
Surge Loading (Optional)
8.1.5
E
Reverse Loading (Optional)
8.1.6
F
Reciprocal Loading (Optional)
8.1.7
G
Specified Lateral Movement (Optional)
8.1.8
H
Combined Loading (Optional)
8.1.9
1.4 Apparatus and procedures herein designated “optional” may produce different test results and may be used only when approved by the engineer. The word “shall” indicates a mandatory provision, and the word “should” indicates a recommended or advisory provision. Imperative sentences indicate mandatory provisions.
1.5 A qualified geotechnical engineer should interpret the test results obtained from the procedures of these test methods so as to predict the actual performance and adeq...
General Information
Standards Content (Sample)
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Designation: D3966/D3966M − 07 (Reapproved 2013)
Standard Test Methods for
Deep Foundations Under Lateral Load
This standard is issued under the fixed designation D3966/D3966M; the number immediately following the designation indicates the
year of original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last
reapproval. A superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
ε NOTE—Designation was editorially corrected to match units information in June 2013.
1. Scope 1.5 A qualified geotechnical engineer should interpret the
test results obtained from the procedures of these test methods
1.1 The test methods described in this standard measure the
so as to predict the actual performance and adequacy of piles
lateraldeflectionofaverticalorinclineddeepfoundationwhen
used in the constructed foundation. See Appendix X1 for
subjected to lateral loading. These methods apply to all deep
comments regarding some of the factors influencing the
foundations, referred to herein as “pile(s),” that function in a
interpretation of test results.
manner similar to driven piles or cast in place piles, regardless
of their method of installation, and may be used for testing
1.6 A qualified engineer shall design and approve all load-
single piles or pile groups. The test results may not represent
ing apparatus, loaded members, support frames, and test
the long-term performance of a deep foundation.
procedures.The text of these test methods references notes and
footnotes which provide explanatory material. These notes and
1.2 These test methods provide minimum requirements for
footnotes (excluding those in tables and figures) shall not be
testing deep foundations under lateral load. Plans,
considered as requirements of the test methods. These test
specifications, provisions, or combinations thereof prepared by
methods also include illustrations and appendices intended
a qualified engineer may provide additional requirements and
only for explanatory or advisory use.
procedures as needed to satisfy the objectives of a particular
test program. The engineer in responsible charge of the
1.7 The values stated in either SI units or inch-pound units
foundation design, referred to herein as the engineer, shall
are to be regarded separately as standard. The values stated in
approve any deviations, deletions, or additions to the require-
each system may not be exact equivalents; therefore, each
ments of these test methods.
system shall be used independently of the other. Combining
values from the two systems may result in non-conformance
1.3 These test methods allow the following test procedures:
with the standard.
Procedure Test Section
A Standard Loading 8.1.2
1.8 The gravitational system of inch-pound units is used
B Excess Loading (Optional) 8.1.3
when dealing with inch-pound units. In this system, the pound
C Cyclic Loading (Optional) 8.1.4
D Surge Loading (Optional) 8.1.5
[lbf] represents a unit of force [weight], while the unit for mass
E Reverse Loading (Optional) 8.1.6
is slugs.The rationalized slug unit is not given, unless dynamic
F Reciprocal Loading (Optional) 8.1.7
[F=ma] calculations are involved.
G Specified Lateral Movement (Optional) 8.1.8
H Combined Loading (Optional) 8.1.9
1.9 All observed and calculated values shall conform to the
1.4 Apparatus and procedures herein designated “optional”
guidelines for significant digits and rounding established in
may produce different test results and may be used only when
Practice D6026.
approved by the engineer. The word “shall” indicates a
1.10 The method used to specify how data are collected,
mandatory provision, and the word “should” indicates a
calculated, or recorded in these test methods is not directly
recommended or advisory provision. Imperative sentences
related to the accuracy to which the data can be applied in
indicate mandatory provisions.
design or other uses, or both. How one applies the results
obtained using this standard is beyond its scope.
These test methods are under the jurisdiction ofASTM Committee D18 on Soil
and Rock and are the direct responsibility of Subcommittee D18.11 on Deep
1.11 ASTM International takes no position respecting the
Foundations.
validity of any patent rights asserted in connection with any
Current edition approved July 1, 2013. Published July 2013. Originally approved
item mentioned in this standard. Users of this standard are
in 1981. Last previous edition approved in 2007 as D3966 – 07. DOI: 10.1520/
D3966_D3966M-07R13E01. expresslyadvisedthatdeterminationofthevalidityofanysuch
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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D3966/D3966M − 07 (2013)
patent rights, and the risk of infringement of such rights, are or rock well below the ground surface, such as a steel pipe pile
entirely their own responsibility. or concrete drilled shaft.
1.12 This standard does not purport to address all of the 3.2.3 driven pile, n—a deep foundation unit made of pre-
safety concerns, if any, associated with its use. It is the formed material with a predetermined shape and size and
responsibility of the user of this standard to establish appro- typically installed by impact hammering, vibrating, or pushing.
priate safety and health practices and determine the applica-
3.2.4 failure load, n—for the purpose of terminating a
bility of regulatory limitations prior to use.
lateral load test, the test load at which continuing, progressive
movement occurs, or as specified by the engineer.
2. Referenced Documents
3.2.5 wireline, n—a steel wire mounted with a constant
2.1 ASTM Standards:
tensionforcebetweentwosupportsandusedasareferenceline
A36/A36M Specification for Carbon Structural Steel
to read a scale indicating movement of the test pile.
A240/A240M Specification for Chromium and Chromium-
Nickel Stainless Steel Plate, Sheet, and Strip for Pressure
4. Significance and Use
Vessels and for General Applications
4.1 Field tests provide the most reliable relationship be-
A572/A572M Specification for High-Strength Low-Alloy
tween the lateral load applied to a deep foundation and the
Columbium-Vanadium Structural Steel
resulting lateral movement. Test results may also provide
D653 Terminology Relating to Soil, Rock, and Contained
information used to assess the distribution of lateral resistance
Fluids
along the pile shaft and the long-term load-deflection behavior.
D1143 Test Method for Piles Under Static Axial Compres-
A foundation designer may evaluate the test results to deter-
sive Load (Withdrawn 2005)
mine if, after applying an appropriate factor of safety, the pile
D3689 Test Methods for Deep Foundations Under Static
or pile group has an ultimate lateral capacity and a deflection
Axial Tensile Load
at service load satisfactory to satisfy specific foundation
D3740 Practice for Minimum Requirements for Agencies
requirements. When performed as part of a multiple-pile test
Engaged in Testing and/or Inspection of Soil and Rock as
program, the designer may also use the results to assess the
Used in Engineering Design and Construction
viability of different piling types and the variability of the test
D5882 Test Method for Low Strain Impact Integrity Testing
site.
of Deep Foundations
4.2 The analysis of lateral test results obtained using proper
D6026 Practice for Using Significant Digits in Geotechnical
instrumentation helps the foundation designer characterize the
Data
variation of pile-soil interaction properties, such as the coeffi-
D6760 Test Method for Integrity Testing of Concrete Deep
cient of horizontal subgrade reaction, to estimate bending
Foundations by Ultrasonic Crosshole Testing
4 stresses and lateral deflection over the length of the pile for use
2.2 American Society of Mechanical Engineer Standards:
in the structural design of the pile.
ASME B30.1 Jacks
ASME B40.100 Pressure Gauges and Gauge Attachments 4.3 If feasible, without exceeding the safe structural load on
the pile(s) or pile cap, the maximum load applied should reach
ASME B46.1 Surface Texture
ASME B89.1.10.M Dial Indicators (For Linear Measure- a failure load from which the engineer may determine the
ultimate lateral load capacity of the pile(s). Tests that achieve
ments)
a failure load may help the designer improve the efficiency of
3. Terminology the foundation by reducing the piling length, quantity, or size.
3.1 Definitions—For common definitions of terms used in
4.4 If deemed impractical to apply lateral test loads to an
this standard, see Terminology D653. inclined pile, the engineer may elect to use lateral test results
from a nearby vertical pile to evaluate the lateral capacity of
3.2 Definitions of Terms Specific to This Standard:
the inclined pile.
3.2.1 cast in-place pile, n—a deep foundation unit made of
NOTE 1—The quality of the result produced by this test method is
cement grout or concrete and constructed in its final location,
dependent on the competence of the personnel performing it, and the
for example, drilled shafts, bored piles, caissons, auger cast
suitability of the equipment and facilities used. Agencies that meet the
piles, pressure-injected footings, etc.
criteria of Practice D3740 are generally considered capable of competent
and objective testing/sampling/inspection/etc. Users of this test method
3.2.2 deep foundation, n—a relatively slender structural
are cautioned that compliance with Practice D3740 does not in itself
element that transmits some or all of the load it supports to soil
assure reliable results. Reliable results depend on many factors; Practice
D3740 provides a means of evaluating some of those factors.
5. Test Foundation Preparation
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
5.1 Excavate or fill the test area to the final grade elevation
Standards volume information, refer to the standard’s Document Summary page on
within a radius of 6 m [20 ft] from the test pile or group using
the ASTM website.
The last approved version of this historical standard is referenced on
the same material and backfilling methods as for production
www.astm.org.
piles. Cut off or build up the test pile(s) as necessary to permit
Available from American Society of Mechanical Engineers (ASME), ASME
construction of the load-application apparatus, placement of
International Headquarters, Three Park Ave., New York, NY 10016-5990, http://
www.asme.org. the necessary testing and instrumentation equipment, and
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D3966/D3966M − 07 (2013)
observation of the instrumentation. Remove any damaged or 6.1.1 The apparatus for applying tensile loads to a test pile
unsound material from the pile top as necessary to properly or pile group shall conform to one of the methods described in
install the apparatus for measuring movement, for applying 6.3 – 6.6. Unless otherwise specified, construct the test
load, and for measuring load. apparatus so that the resultant loads are applied horizontally, at
approximately pile cut-off elevation, and in line with the
5.2 For tests of single piles, install solid steel test plate(s) at
central vertical axis of the pile or pile group so as to minimize
least 50 mm [2 in.] thick against the side of the pile at the
eccentric loading and avoid a vertical load component.
point(s) of load application and perpendicular to the line of the
load action. The test plate shall have side dimensions not more
NOTE 3—For lateral tests on inclined pile frames or pile groups
than, and not less than one half of, the diameter or side
involving inclined piles, consider applying the lateral test loads at the
dimension of the test pile(s). The test plate(s) shall span across actual or theoretical point of intersection of the longitudinal axis of the
piles in the frame or group.
and between any unbraced flanges on the test pile.
5.3 For tests on pile groups, cap the pile group with 6.1.2 Struts and Blocking—Struts shall be of steel and of
steel-reinforced concrete or a steel load frame designed and sufficient size and stiffness to transmit the applied test loads
constructed to safely sustain and equally distribute the antici- without bending or buckling. Blocking used between reaction
patedloads.Theconnectionbetweenthepilesandthecapshall piles or between the hydraulic jack and the reaction system
simulate in-service conditions. Pile caps shall be cast above shall be of sufficient size and strength to prevent crushing or
grade unless otherwise specified and may be formed on the other distortion under the applied test loads.
ground surface.
6.1.3 Reaction piles, if used, shall be of sufficient number
and installed so as to safely provide adequate reaction capacity
5.4 For each loading point on a pile cap, provide a solid
without excessive movement. When using two or more reac-
steel test plate oriented perpendicular to the axis of the pile
tion piles at each end of the test beam(s), cap or block them as
group with a minimum thickness of 50 mm [2 in.], as needed
needed to develop the reaction load. Locate reaction piles so
to safely apply load to the pile cap. Center a single test plate on
that resultant test beam load supported by them acts at the
the centroid of the pile group. Locate multiple test plates
center of the reaction pile group. Cribbing or deadmen, if used
symmetrically about the centroid of the pile group.
as a reaction, shall be of sufficient plan dimensions and weight
5.5 To minimize stress concentrations due to minor irregu-
to transfer the reaction loads to the soil without excessive
larities of the pile surface, set test plates bearing on precast or
lateral movement that would prevent maintaining the applied
cast-in-place concrete piles in a thin layer of quick-setting,
loads.
non-shrink grout, less than 6 mm [0.25 in.] thick and having a
6.1.4 Provide a clear distance between the test pile(s) and
compressivestrengthgreaterthanthetestpileatthetimeofthe
the reaction piles or cribbing of at least five times the
test. Set test plates designed to bear on a concrete pile cap in a
maximum diameter of the largest test or reaction pile(s), but
thin layer of quick-setting, non-shrink grout, less than 6 mm
not less than 2.5 m [8 ft]. The engineer may increase or
[0.25 in.] thick and having a compressive strength greater than
decrease this minimum clear distance based on factors such as
the pile cap at the time of the test. For tests on steel piles, or a
the type and depth of reaction, soil conditions, and magnitude
steel load frame, weld the test plates to the pile or load frame.
of loads so that reaction forces do not significantly ef
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