Lateral Load Capacity of Drilled Shafts in Jointed Rock

Large vertical (axial) and lateral loads often act on the heads of drilled shafts in jointed rock. In current design practice, the p-y curve method used in design of laterally loaded drilled shafts in soil is often also used for shafts in jointed rock. The p-y curve method treats the soil as a continuum, which is not appropriate in jointed rock, particularly when failure occurs due to sliding on joints. A new discontinuum model was developed to determine the lateral load capacity of drilled shafts or piers in a jointed rock mass with two and three joint sets. It consists two parts: a kinematic and a kinetic analysis. In the kinematic analysis, Goodman and Shi’s block theory is expanded to analyze the removability of a combination of blocks laterally loaded by a pier. Based on the expanded theory, a method was developed to select removable combinations of blocks using easily constructed two-dimensional diagrams. In the kinetic analysis, each kinematically selected removable combination of blocks is examined with the limit equilibrium approach to determine the ultimate lateral load capacity. Although the procedure is similar to slope stability analysis, it is more complicated with the addition of a lateral force and the vertical load exerted by the pier. Simple analytical relations were developed to solve for the ultimate lateral load capacity.     

Capacity of Drilled Shafts in Burlington Limestone

Field load tests of three drilled shafts socketed in Burlington limestone were conducted using the Osterberg load cell. The objective of the testing was to compare the load capacities obtained from the field load tests with load capacities predicted using empirical methods. Based on the results of this study, the following conclusions can be drawn. The observed values of unit side resistance exceeded predicted empirical values for two of the three shafts tested (2,343 and 2,278 kPa observed versus 1,550 and 1,252 kPa predicted). However, for one of the shafts, the observed value of unit side resistance was only about ? of the more conservative predicted empirical value (916 kPa observed versus 1,252 predicted). Bearing capacity failure did not occur for two of the three shafts. Bearing capacity failure may have occurred for one of the shafts. Using a factor of safety of 3 applied to the lowest observed value of end bearing pressure implies that the allowable bearing capacity for the Burlington limestone at this site (3 MPa, or ?500 psi) exceeds the typical presumptive bearing capacity for sound limestone in mid-Missouri (1914 kPa or 277 psi).     

Predicting End Bearing Capacity of Post-Grouted Drilled Shaft in Cohesionless Soils

Although pressure grouting beneath the tips of drilled shafts had been used successfully worldwide for close to 4?decades, it has remained relatively unused in the United States in part due to the absence of a rational design procedure. Previous international usage relied predominantly upon experience and unpublished proprietary approaches. More recently, research aimed at quantifying the improvement that could be derived from postgrouting drilled shaft tips has resulted in a design methodology. This paper briefly discusses the postgrouting process and outlines the full scale test programs used to identify parameters affecting postgrouting performance. Correlations developed between applied grout pressure and end bearing improvement are presented along with a numerical example illustrating the design procedure.     

Numerical Study of the Effect of Verification Core Hole on the Point Bearing Capacity of Drilled Shafts

This paper presents a numerical investigation of the effect of a verification core hole on the point bearing capacity of drilled shafts installed in clay shales. The verification core extracted at the shaft tip may reduce the point bearing capacity of drilled shafts as a result of degradation of clay shales and imperfect core hole infill. Finite-element analyses were conducted using the Mohr-Coulomb model with total stress material parameters estimated from laboratory tests. A series of load-displacement curves was calculated for 1 cycle of air drying and wetting; different drying durations and different core hole conditions were considered; and the point bearing capacity was determined at 3 and 5% shaft diameter displacements. The numerical analyses indicate that the point bearing capacity of drilled shafts with a verification core hole does not decrease for most cases, and the maximum reduction merely reaches 5%. Recommendations are made to reduce the effect of the verification core extracted at the shaft bottom during construction.     

Influence of Torque on Lateral Capacity of Drilled Shafts in Sands

As a result of recent changes in the requirements involving hurricane extreme events (e.g., wind velocities), the Florida Department of Transportation has moved away from cable-stayed signs, signals, and lights systems to mast arm/pole structures. Unfortunately, the newer systems develop significant lateral and torque loading on their foundations (e.g., drilled shafts). Current design practice for a mast arm/pole foundation is to treat lateral loading and torsion separately (i.e., uncoupled); however, recent field-testing suggests otherwise. This paper reports on the results of 91 centrifuge tests. 54 of the tests were conducted in dry sand and 37, in saturated sands. The tests varied the lateral load to torque ratios, shaft embedment depths, and soil strengths. The experiments revealed that even though the torsional resistances of the shafts were not influenced by lateral load, the shafts’ lateral resistance was significantly impacted by torsion. Reductions in lateral resistance of 50% were recorded for shafts under high torque to lateral load ratios. Using the free earth support assumption and the ultimate soil pressure the soil pressure distribution along the shaft was developed. Using force and moment equilibrium, as well as the applied torque, maximum shear, and moments were computed. The predicted values were found to be within 25% (10% on average, except for the tests in saturated dense sand with polymer slurry) of the experimental results.     

Nondestructive Evaluation of Drilled Shafts

The Deep Foundations Committee of the Geo-Institute commissioned a task force, chaired by Alan Macnab, to evaluate the state of the practice of Nondestructive Evaluation of Drilled Shafts. The task force consisted of: ??2 researchers on the topic—Al Dimillio of the Federal Highway Administration and Dr. Michael O'Neill of the University of Houston ??1 academic—Dr. Richard Finno of Northwestern University ??4 representatives of testing firms—Frank Rausche of Goble Rausche Likins & Assoc., Inc.; Dr. Allen Davis of CTL Construction Technology Laboratories, Inc.; Bernard Hertlein of STS Consultants, Ltd.; and Larry Olson of Olson Engineering, Inc. ??2 owners' representatives—Robert Stott of Caltrans and Barry Berkovitz of the Federal Highway Administration ??3 contractors—Bill Starke of Deep Foundation, Ltd.; Tim Smith of Malcolm Drilling Co., Inc.; and Alan Macnab of Condon Johnson & Assoc., Inc. This report was previously published in the May 1988 issue of Foundation Drilling. It is being republished here to bring this consensus state-of-the-practice information to the attention of the entire geotechnical engineering profession and to invite feedback through the regular discussion section of the Journal.     

Expanded Reliability-Based Design Approach for Drilled Shafts

This paper develops a more general reliability-based design approach for drilled shafts that formulates the design process as an expanded reliability problem in which Monte Carlo simulations (MCS) are used in the design. Basic design parameters, such as the shaft diameter (B) and depth (D), are formulated as discrete uniform random variables. Then the design process becomes one in which failure probabilities are developed for various combinations of B and D [i.e., conditional probability p(Failure∣B,D)] and are compared with a target probability of failure pT. Equations are derived for this expanded reliability-based design (RBDE) approach, and criteria are established for the minimum number of MCS samples to ensure a desired level of accuracy. Its usefulness is illustrated using a drilled shaft design example. This RBDE approach has the following advantages: (1) it gives results that agree well with current RBD designs, but it improves the resolutions of the designs; (2) it offers design engineers insight into how the expected design performance level changes as B and D change; (3) it gives design engineers the ability to adjust pT, without additional calculation effort, to accommodate specific needs of a particular project; and (4) it is transparent and “visible” to design engineers who are given the flexibility to include uncertainties deemed appropriate. Finally, the effects of uncertainties in the at-rest horizontal soil stress coefficient (K0) and allowable displacement (ya) are illustrated using this approach.     

Side Resistance In Piles and Drilled Shafts

More than 20 years have passed since a Terzaghi Lecture focused on the topic of deep foundations. However, considerable research has been performed, and experience gained, in this subject area in the intervening period. The objective of this paper is to update the earlier references on deep foundations by summarizing results of important recent research on a few aspects of the topic of side resistance, most notably (1) driven piles in saturated clay, (2) driven piles in siliceous sand loaded in compression and uplift, (3) drilled shafts in clay, and (4) drilled shafts in soft rock. It is concluded that, while simple design relations are available for topic (1), much is still to be learned. Under topic (2), the case is made that loading the pile in compression and uplift produces different values of unit side-shearing resistance. Regarding topics (3) and (4), the effects of details related to construction—such as stress relief, moisture migration from the concrete to the geomaterial, borehole roughness, and borehole smear—are shown to be significant. The final point made is that the design of deep foundations is a complex matter that should be addressed in a design context by engineers who are experienced in the observation of pile behavior, theoretical modeling, and the appropriate use of design methods.     

Shear Load Transfer Characteristics of Drilled Shafts in Weathered Rocks

The load distribution and deformation of drilled shafts subjected to axial loads were evaluated by a load-transfer approach. The emphasis was on quantifying the load-transfer mechanism at the interface between the shafts and surrounding highly weathered rocks based on a numerical analysis and on small-scale tension load tests performed on nine instrumented piles. An analytical method that takes into account the soil coupling effect was developed using a modified Mindlin's point load solution. Based on the analysis, a single-modified hyperbolic model is proposed for the shear transfer function of drilled shafts in highly weathered rocks. Through comparisons with field case studies, it is found that the prediction by the present approach is in good agreement with the general trend observed by in situ measurements, and thus represents a significant improvement in the prediction of load deflections of drilled shafts.     

Analytical Method for Load-Transfer Characteristics of Rock-Socketed Drilled Shafts

The load-settlement behavior of rock-socketed drilled shafts under axial loading is investigated by a load-transfer approach. Special attention is given to the shear load-transfer function and an analytical method for estimating load-transfer characteristics of rock-socketed drilled shafts. A nonlinear triple curve is employed to determine the shear load-transfer function of rock-socketed drilled shafts based on the constant normal stiffness direct shear tests and the Hoek-Brown failure criterion. An analytical method that takes into account the soil coupling effect was developed using a modified Mindlin’s point load solution. Through comparisons with field case studies, it is found that the proposed methodology in the present study is in good agreement with the general trend observed by in situ measurements and, thus, represents a significant improvement in the prediction of drilled shaft shear behavior.     

Critical Evaluation of Compression Interpretation Criteria for Drilled Shafts

This paper is a critical evaluation of the interpretation criteria of drilled shafts under axial compression loading. A wide variety of load test data are used for analysis, and these data are divided into drained and undrained databases. The interpretation criteria are examined from these load test results to establish a consistent compression interpretation criterion. Among these criteria, the range of each interpretation method presents approximately the same trend for both drained and undrained conditions. The statistical results show that the smaller the compression displacement, the higher the coefficient of variation. Moreover, the undrained load test results reveal less variability than the drained results. The load-displacement curve of a drained loading also demonstrates more ductility than that for undrained loading. Based on these analyses, the relative merits and interrelationships of these criteria are established, and specific design recommendations for the interpretation of compression drilled shaft load test, in terms of both capacity and displacement, are given.     

Constant Force Shaking of a Group of Four Drilled Shafts

A foundation system comprising a group of four drilled shafts, each 750 mm in diameter by 5.5 m long, constructed in silt/sand/gravel with a rigid pile cap, was subjected to constant force shaking by a servo-hydraulic actuator reacting against a heavy anchor block. Forces of up to 150 kN peak to peak were achieved with resulting displacements of up to 2 mm and accelerations of up to 0.5g. The displacement response of the pile cap was measured over a range of frequencies from 2 to 12 Hz and the resonant frequency and damping ratio were determined for three different levels of excitation. The foundation behaved much like a simple harmonic oscillator with a natural frequency of approximately 10 Hz. This resonant frequency was found to decrease slightly with increasing excitation while the damping ratio decreased slightly. Values for generalized stiffness, mass, and damping for an equivalent simple harmonic oscillator were back-calculated from the test data. The results of this study suggest that it may be possible to predict values for generalized mass and damping a priori by using simple empirical methods.     

Flexural Performance of Drilled Shafts with Minor Flaws in Stiff Clay

Lateral loads are often the primary forces that act on drilled shafts when they support retaining walls, bridge piers, or building foundations. The construction of drilled shafts often inadvertently introduces flaws that are not always detectable with well-performed nondestructive evaluation (NDE) techniques. The effect of such undetectable minor flaws on the lateral-load performance of drilled shafts needs to be assessed and subsequently considered in the design. This paper summarizes a field study that consisted of NDE of six, full-scale drilled shafts with preinstalled voids and lateral-load tests that were performed on the six test shafts. Results from the field study indicated that undetectable (by NDE) void flaws occupying areas of up to 15% of the cross-sectional area of the drilled shaft could reduce free-head shear capacity up to 16%. A subsequent numerical analysis was performed to filter out all variables, other than void flaws, that could affect the lateral-load deformation of drilled shafts. Numerical analysis results validated the field tests measurements. A parametric study of variables affecting the load-deformation behavior of drilled shafts suggests that a reduction in moment capacity of up to 27% is possible with undetected voids present in the shafts that were tested.     

Bearing Capacity of Strip Footings on Jointed Rock Masses

Bearing capacity solutions are presented for strip footings on jointed rock masses with one and two sets of discontinuities. The solutions employ a lower bound bearing capacity model coupled with a simple discontinuity strength model. The strength of the rock material and the discontinuities, and the number and orientation of the discontinuity sets, are evaluated explicitly. The results are presented as bearing capacity factor charts that illustrate the significant effects of the strength and discontinuity geometric parameters. The trends of the results agree well with those obtained from other models. The solution is straightforward, and it can be implemented manually or in any spreadsheet program.     

Numerical Study of an Integral Abutment Bridge Supported on Drilled Shafts

The majority of integral abutment bridges (IABs) in the United States are supported on steel H-piles to provide the flexibility necessary to minimize the attraction of large lateral loads to the foundation and abutment. In Hawaii, steel H-piles have to be imported, corrosion tends to be severe in the middle of the Pacific Ocean, and the low buckling capacity of steel H-piles in scour-susceptible soils has led to a preference for the use of concrete deep foundations. A drilled shaft-supported IAB was instrumented to study its behavior during and after construction over a 45-month period. This same IAB was studied using the finite-element method (FEM) in both two- (2D) and three dimensional (3D). The 3D FEM yields larger overall pile curvature and moments than 2D because in 3D, the high plasticity soil is able to displace in between the drilled shafts thereby “dragging” the shafts to a more highly curved profile while soil flow is restricted by plane strain beam elements in 2D. Measured drilled shaft axial loads were higher than the FEM values mainly due to differences between the assumed and actual axial stiffness and to a lesser extent on concrete creep in the drilled shafts and uneven distribution of loads among drilled shafts. Numerical simulations of thermal and stream loadings were also performed on this IAB.     

Use of State-Dependent Strength in Estimating End Bearing Capacity of Piles in Sand

The pressure and density dependence of the shear strength of sand poses a tricky problem in pile foundation design. In this study, a correlation is suggested to link the effective friction angle of sand with its initial confining pressure and relative density, and a simple approach incorporating this correlation is presented for predicting pile end bearing capacity. Assessment of the approach against pile load tests shows reasonably good agreement between predictions and measurements. It is also shown that the effect of the state-dependent strength is particularly important in cases where long piles are installed in dense sand deposits and the use of critical state friction angle will produce a conservative prediction in such cases.     

Field Behavior of an Integral Abutment Bridge Supported on Drilled Shafts

The abutments of integral bridges are traditionally supported on a single row of steel-H-piles that are flexible and that are able to accommodate lateral deflections well. In Hawaii, steel-H-piles have to be imported, corrosion tends to be severe in the middle of the Pacific Ocean, and the low buckling capacity of steel-H-piles in scour-susceptible soils has led to a preference for the use of drilled shaft foundations. A drilled shaft-supported integral abutment bridge was monitored from foundation installation to in-service behavior. Strain gauge data indicate that drilled shaft foundations worked well for this integral bridge. After 45 months, the drilled shafts appear to remain uncracked. However, inclinometer readings provide a conflicting viewpoint. Full passive earth pressures never developed behind the abutments as a result of temperature loading because thermal movements were small and the long term movements were dominated by concrete creep and shrinkage of the superstructure that pulled the abutments towards the stream. In the stream, hydrodynamic loading during the wet season had a greater effect on the abutment movements than seasonal temperature cycling. After becoming integral, the upright members of the longitudinal bridge frame were not vertical because the excavation and backfilling process caused deep seated movements of the underlying clay resulting in the drilled shafts bellying out towards the stream. This indicates the importance and need for staged construction analysis in design of integral bridges in highly plastic clays. Also, the drilled shaft axial loads from strain gauges are larger than expected.     

Roughness and Unit Side Resistances of Drilled Shafts Socketed in Clay Shale and Limestone

Rock socketed drilled shafts are being used increasingly to support heavily loaded structures. Rock sockets provide resistance to the load through a combination of side and base resistances. In this study, the effect of drilling tools such as an auger and a core barrel on the unit side resistance was investigated. A total of four field studies were performed on clay shale (compressive strength of 1–2?MPa) and limestone (compressive strength of 10?MPa). Borehole roughnesses produced by the different types of drilling tools in clay shale and limestone were measured using a laser borehole roughness profiler developed in this study to measure roughness to 0.5?mm in the boreholes. Based on the results of this study, it was observed that the drilling tools developed different socket roughnesses, which in turn affected the side resistances of the rock socketed drilled shafts.     

Evaluation of Uplift Interpretation Criteria for Drilled Shaft Capacity

Representative interpretation criteria are examined to evaluate the capacity of drilled shaft foundations under axial uplift loading. A wide variety of uplift load test data are used, and these data are divided into drained and undrained databases. The interpretation criteria are applied to these load test data to establish a consistent uplift interpretation criterion. The results are comparable for both drained and undrained loading. In general, the undrained load test results show somewhat less variability than the drained results. Based on these analyses, the QL2, Q0.5in, and slope tangent methods are the more reliable and consistent, and specific design recommendations for the interpretation of uplift drilled shaft load test are given, in terms of both capacity and displacement.