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.     

Case History: Capacity of a Drilled Shaft in the Atlantic Coastal Plain

This paper presents a single case history of a drilled shaft constructed in the Atlantic Coastal Plain deposits for a bridge foundation that was subjected to axial loading. The predicted nominal axial capacity is estimated based on state of practice empirically derived methods specified in the current AASHTO LRFD Bridge Design Specifications. Predictions are compared to observed soil resistance derived from a static load test conducted on a full-size instrumented test shaft using the Osterberg Cell method. The results suggest that the AASHTO specified prediction methods should be applied cautiously for drilled shafts in the Atlantic Coastal Plain, incorporating an appropriate in situ testing program for evaluating soil design parameters, considering variations from the specific geologic environment and construction methodology used to develop the specified prediction methods, accounting for the load-deformation behavior of the shaft, and providing for instrumented static load testing to measure the actual behavior of the drilled shafts.     

Axial Compression of Footings in Cohesionless Soils. II: Bearing Capacity

An extensive database of full-scale field load tests was used to examine the bearing capacity for footings in cohesionless soils. Each load test curve was evaluated consistently to determine the interpreted failure load (i.e., bearing capacity) using the L1-L2 method. This test value then was compared with the theoretical bearing capacity, computed primarily using the basic Vesi? model. The comparisons show that, for footing widths B>1?m, the field results agree very well with the Vesi? predictions. However, for B<1?m, the results indicated a relationship between B and the predicted-to-measured bearing capacity ratio. Accordingly, a simple modification was made to the bearing capacity equation, and the resulting predictions are very good.     

Effect of Construction on Axial Capacity of Drilled Foundations in Piedmont Soils

A program of field loading tests was conducted to measure the axial response of drilled foundations constructed using a variety of different drilling techniques. The research was performed at the Auburn University National Geotechnical Experimentation Site at Spring Villa, Ala. in Piedmont geology composed of silty soils formed by weathering of parent metamorphic rocks. A total of ten drilled shafts (0.9 m diameter by 11 m deep) were constructed using techniques including dry construction with casing advanced ahead of the hole and with drilling slurry composed of polymer fluids and mineral (bentonite) fluids. The results demonstrate the great potential influence that differing construction techniques may have on the load transfer in side shear of drilled foundations. The mineral slurry resulted in significantly lower side shear relative to the other techniques.     

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.     

Evaluation of Lateral Interpretation Criteria for Drilled Shaft Capacity

Representative interpretation criteria are examined to evaluate the capacity of nonrigid drilled shaft foundations under lateral loading. A wide variety of lateral load test data are used for analysis, and these data are divided into drained and undrained databases. The interpretation criteria are applied to these load test data to establish consistent lateral interpretation criteria. Among these criteria, the results are generally comparable for both drained and undrained loading. The statistical results show that the smaller the displacement or rotation is, the higher the coefficient of variation. Moreover, the undrained load test results present somehow less variability than the drained results. Based on these analyses, the relative merits and interrelationships of these criteria are established, and specific design recommendations for the interpretation of lateral drilled shaft load test are given in terms of capacity, displacement, and rotation.     

Calculations of Bearing Capacity Factor Nγ Using Numerical Limit Analyses

This paper presents numerical upper- and lower-bound solutions for the well-known bearing capacity factor Nγ of a surface strip footing on a frictional soil. The analyses use linear programming and finite-element spatial discretization to solve limit analysis of perfect plasticity, assuming a linear Mohr-Coulomb failure envelope with associated flow within the soil and along the soil-footing interface. The current analyses are to bound the exact value of Nγ within ±5% increasing to ±30% as the internal friction angle increases from 5° to 45° for both smooth and rough interface conditions. Previous solutions by Hansen and Christensen in 1969 and Booker in 1969 are in excellent agreement with the best estimate of Nγ (average of upper and lower bounds) obtained from the current numerical limit analyses. Other well-known analytical solutions and numerical calculations appear to overestimate Nγ for rough footings. Comparisons of predicted upper-bound failure mechanisms and lower-bound contact pressures help to explain similarities and differences among these solutions.     

Drilled Shaft Defects: Detection, and Effects on Capacity in Varved Clay

This paper presents the results of nondestructive integrity tests (NDTs) and axial static load tests on drilled shafts constructed in varved clay at the National Geotechnical Experimentation Site in Amherst, Mass. The shafts were constructed with built-in defects to study: (1) the effectiveness of conventional NDT methods in detecting construction defects and (2) the effect of defects on the capacity of drilled shafts. Defects included voids and soil inclusions occupying 5–45% of the cross section as well as a soft bottom. Nine organizations participated in a blind defect prediction symposium, using a variety of NDT techniques. Most participants located defects that were larger than 10% of the cross sectional area. However, false positives and inability to locate smaller defects and multiple defects in the same shaft were encountered. Static load tests indicated that (1) minor defects had little or no effect on skin friction; (2) a soft bottom resulted in a 33% reduction in end bearing relative to a sound bottom; and (3) reloading resulted in a 20–30% reduction in the geotechnical 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).     

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.     

Bearing Capacity of Piled Rafts on Soft Clay Soils

The conventional design of a piled foundation is based on a bearing capacity approach, and neglects the contribution of the raft. As a consequence, piled foundations are usually designed by overconservative criteria. With respect to the conventional approach, a more rational and economical solution could be obtained by accounting for the contribution of the raft toward the overall bearing capacity, but this potential is not exploited due to the lack of theoretical and experimental research on the behavior of piled rafts at failure. Based on both experimental evidence and three-dimensional finite element analyses, a simple criterion is proposed to evaluate the ultimate vertical load of a piled raft as a function of its component capacities, which can be simply evaluated by the conventional bearing capacity theories. The results presented in the paper thus provide a guide to assess the safety factor of a vertically loaded piled raft.     

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.     

Reliability-Based Design Approach for Differential Settlement of Footings on Cohesionless Soils

A probabilistic method is presented to estimate the differential settlements of footings on cohesionless soils, considering the uncertainties in both the load and capacity sides of the design equation. A random field approach is employed to characterize the inherent soil variability. This method is first compared to typical limit values from the literature to denote critical combinations of design parameters that can lead to exceedance of tolerable differential settlements. Then, reliability-based design equations are developed for the serviceability limit state (SLS) design of footings on cohesionless soils. The key parameters controlling the SLS are the allowable angular distortion, site variability, and footing spacing. The results are given in a straightforward design format and indicate that currently suggested deformation factors (resistance factors for SLS) equal to 1.0 are likely to be unconservative for most design situations.     

Axial Compression of Footings in Cohesionless Soils. I: Load-Settlement Behavior

The results of 167 full-scale field load tests were used to examine several issues related to the load-displacement behavior of footings in cohesionless soils under axial compression loading, including (1) method to interpret the “failure load” from the load-settlement curves; (2) correlations among interpreted loads and settlements; and (3) generalized load-settlement behavior. The L1-L2 method was found to be more appropriate than the “tangent intersection” and “10% of the footing width” methods for interpreting the failure load. The interpreted loads and displacements indicate that footing load-settlement behavior is less elastic and more nonlinear than that of drilled foundations. The results show that the footing behavior will be beyond the elastic limit for designs where a traditional factor of safety between 2 and 3 is used. A normalized curve was developed by approximating the load-settlement curve for each load test in the database by hyperbolic fitting, and the uncertainty in this curve was quantified. This normalized curve can be used in footing design that considers capacity and settlement together. Where possible or warranted, the normalized curve can be subdivided as a function of initial soil modulus.     

Predicting Settlement of Shallow Foundations using Neural Networks

Over the years, many methods have been developed to predict the settlement of shallow foundations on cohesionless soils. However, methods for making such predictions with the required degree of accuracy and consistency have not yet been developed. Accurate prediction of settlement is essential since settlement, rather than bearing capacity, generally controls foundation design. In this paper, artificial neural networks (ANNs) are used in an attempt to obtain more accurate settlement prediction. A large database of actual measured settlements is used to develop and verify the ANN model. The predicted settlements found by utilizing ANNs are compared with the values predicted by three of the most commonly used traditional methods. The results indicate that ANNs are a useful technique for predicting the settlement of shallow foundations on cohesionless soils, as they outperform the traditional methods.     

Influence of Spatially Variable Side Friction on Single Drilled Shaft Resistance and LRFD Resistance Factors

Load and resistance factor design (LRFD) is a method that aims at meeting specified target reliabilities (probabilities of failure) of engineered systems. The present work focuses on ultimate side friction resistance for axial loads on single cylindrical drilled shaft foundations in the presence of spatially variable rock/soil strength. Core sample data are assumed to provide reliable information about local strength in terms of mean, coefficient of variation and spatial correlation structure (variogram) at a site. The geostatistical principle of support up-scaling is applied to quantify the reduction in variability between local strength and the average ultimate shaft side friction resistance without having to recur to lengthy stochastic finite difference/element simulations. Site and shaft specific LRFD resistance factors (Φ values) are given based on the assumption of lognormal load and resistance distributions and existing formulas recommended by the Federal Highway Administration. Results are efficiently represented in dimensionless charts for a wide range of target reliabilities, shaft dimensions, and geostatistical parameters including nested variograms of different types with geometric and/or zonal anisotropies. Field data of local rock strength is used to demonstrate the method and to evaluate the sensitivity of obtained resistance factors to potentially uncertain variogram parameters.     

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.     

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.