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NATIONAL NCHRP REPORT 507 COOPERATIVE HIGHWAY RESEARCH PROGRAM Load and Resistance Factor Design (LRFD) for Deep Foundations

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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2004 (Membership as of January 2004) OFFICERS Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA Vice Chair: Joseph H. Boardman, Commissioner, New York State DOT Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC E. DEAN CARLSON, Director, Carlson Associates, Topeka, KS JOHN L. CRAIG, Director, Nebraska Department of Roads DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN GENEVIEVE GIULIANO, Director, Metrans Transportation Center and Professor, School of Policy, Planning, and Development, USC, Los Angeles BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University JAMES R. HERTWIG, President, Landstar Logistics, Inc., Jacksonville, FL HENRY L. HUNGERBEELER, Director, Missouri DOT ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT SUE MCNEIL, Director, Urban Transportation Center and Professor, College of Urban Planning and Public Affairs, University of Illinois, Chicago MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology KAM MOVASSAGHI, Secretary of Transportation, Louisiana Department of Transportation and Development CAROL A. MURRAY, Commissioner, New Hampshire DOT JOHN E. NJORD, Executive Director, Utah DOT DAVID PLAVIN, President, Airports Council International, Washington, DC JOHN REBENSDORF, Vice President, Network and Service Planning, Union Pacific Railroad Co., Omaha, NE PHILIP A. SHUCET, Commissioner, Virginia DOT C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin LINDA S. WATSON, General Manager, Corpus Christi Regional Transportation Authority, Corpus Christi, TX MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio) SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio) REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio) GEORGE BUGLIARELLO, Chancellor, Polytechnic University and Foreign Secretary, National Academy of Engineering (ex officio) THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio) JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio) ROBERT B. FLOWERS (Lt. Gen., U.S. Army), Chief of Engineers and Commander, U.S. Army Corps of Engineers (ex officio) EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio) JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio) RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio) WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio) MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio) SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio) JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio) ALLAN RUTTER, Federal Railroad Administrator, U.S.DOT (ex officio) ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio) WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio) ROBERT A. VENEZIA, Program Manager of Public Health Applications, National Aeronautics and Space Administration (ex officio) NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Transportation Research Board Executive Committee Subcommittee for NCHRP MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA JOHN C. HORSLEY, American Association of State Highway (Chair) and Transportation Officials JOSEPH H. BOARDMAN, New York State DOT MARY E. PETERS, Federal Highway Administration GENEVIEVE GIULIANO, University of Southern California, ROBERT E. SKINNER, JR., Transportation Research Board Los Angeles C. MICHAEL WALTON, University of Texas, Austin

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 507 Load and Resistance Factor Design (LRFD) for Deep Foundations SAMUEL G. PAIKOWSKY Geotechnical Engineering Research Laboratory Department of Civil & Environmental Engineering University of Massachusetts Lowell, MA WITH CONTRIBUTIONS BY: BJORN BIRGISSON, MICHAEL MCVAY, THAI NGUYEN University of Florida Gainesville, FL CHING KUO Geostructures, Inc. Tampa, FL GREGORY BAECHER BILAL AYYUB University of Maryland College Park, MD KIRK STENERSEN KEVIN O'MALLEY University of Massachusetts Lowell, MA LES CHERNAUSKAS Geosciences Testing and Research, Inc. N. Chelmsford, MA MICHAEL O'NEILL University of Houston Houston, TX S UBJECT A REAS Bridges, Other Structures, and Hydraulics and Hydrology Soils, Geology and Foundations Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2004 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 507 PROGRAM Systematic, well-designed research provides the most effective Project 24-17 FY'99 approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local ISSN 0077-5614 interest and can best be studied by highway departments ISBN 0-309-08796-1 individually or in cooperation with their state universities and Library of Congress Control Number 2004107693 others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to 2004 Transportation Research Board highway authorities. These problems are best studied through a coordinated program of cooperative research. Price $31.00 In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States NOTICE Department of Transportation. The project that is the subject of this report was a part of the National Cooperative The Transportation Research Board of the National Academies Highway Research Program conducted by the Transportation Research Board with the was requested by the Association to administer the research approval of the Governing Board of the National Research Council. Such approval program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the suited for this purpose as it maintains an extensive committee National Research Council. structure from which authorities on any highway transportation The members of the technical committee selected to monitor this project and to review subject may be drawn; it possesses avenues of communications and this report were chosen for recognized scholarly competence and with due cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee, research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation. The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research areas of research needs to be included in the program are proposed Council. to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. Published reports of the The needs for highway research are many, and the National NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of are available from: mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or Transportation Research Board duplicate other highway research programs. Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual http://www.national-academies.org/trb/bookstore states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 507 ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP DAVID B. BEAL, Senior Program Officer EILEEN P. DELANEY, Managing Editor HILARY FREER, Associate Editor NCHRP PROJECT 24-17 PANEL Field of Design--Area of Bridges, Other Structures, and Hydraulics and Hydrology TERRY SHIKE, P.E., David Evans and Associates, Inc., Salem, Oregon (Chair) PAUL F. BAILEY, P.E., New York State DOT RICHARD BARKER, P.E., Blacksburg, Virginia JERRY A. DIMAGGIO, P.E., FHWA WILLIAM S. FULLERTON, P.E., Montana DOT ROBERT E. KIMMERLING, P.E., PanGeo, Inc., Seattle, Washington MARK J. MORVANT, P.E., Louisiana DOTD, Louisiana Transportation Research Center PAUL PASSE, P.E., PSI, Tampa, Florida JEFF SIZEMORE, P.E., South Carolina DOT CARL EALY, FHWA Liaison Representative G. P. JAYAPRAKASH, TRB Liaison Representative AUTHOR ACKNOWLEDGMENTS The presented research was sponsored by the American Associ- based on FORM. Dr. Mike McVay, Dr. Bjorn Birgisson, and Mr. ation of State Highway and Transportation Officials (AASHTO), Thai Nguyen of the University of Florida, and Dr. Ching Kuo of under project 24-17, in cooperation with the Federal Highway Geostructures compiled the static analyses databases and carried Administration (FHWA). The panel of the research project is out the analyses related to the material presented in sections 2.1.1, acknowledged for their comments and suggestions. The interest, 2.1.2, 2.3.1, 2.5, 3.1.2, and 3.1.4. Dr. Frank Rausche of Goble, support, and suggestions of Mr. David Beal of the NCHRP are Rausche, Likins (GRL) and Associates provided the data pertain- highly appreciated. Messrs. Jerry DiMaggio, Al DiMillio, and Carl ing to the evaluation of GRLWEAP as the WEAP method for Ealy of the FHWA are acknowledged for their concern and sup- dynamic pile capacity evaluation. Mr. Kirk Stenersen researched port. Dr. Gregory Baecher and Dr. Bilal Ayyub from the Univer- the performance of the dynamic analyses as part of his graduate sity of Maryland contributed to sections 1.3.1 through 1.3.4, sec- studies at the University of Massachusetts Lowell. The help of Ms. tion 1.4.3.4, sections 2.6.1 through 2.6.3, and section 3.3, and Mary Canniff and Ms. Laural Stokes in the preparation of the man- performed the calculations of the presented resistance factors uscript is appreciated.

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This report contains the findings of a study to develop resistance factors for driven FOREWORD pile and drilled shaft foundations. These factors are recommended for inclusion in Sec- By David B. Beal tion 10 of the AASHTO LRFD Bridge Design Specifications to reflect current best Staff Officer practice in geotechnical design and construction. The report also provides a detailed Transportation Research procedure for calibrating deep foundation resistance. The material in this report will be Board of immediate interest to bridge engineers and geotechnical engineers involved in the design of pile and drilled shaft foundations. Full implementation of the AASHTO LRFD Bridge Design Specifications for deep foundations is hampered by provisions that are inconsistent with current geotechnical engineering practice. Static pile-capacity analyses are typically used to estimate required pile lengths and quantities, whereas dynamic analyses are used to determine pile capacity during pile driving. Currently, the resistance factors for static and dynamic analysis are multiplied by each other, resulting in designs that are significantly more conservative than used in past practice, increasing foundation costs. Resistance factors for drilled shafts in sand or gravel are not provided in the LRFD Specifications, and many of the state departments of transportation do not have the data or the resources to do their own calibrations as recommended in the specification. The effect of various construction techniques on drilled shaft resistance factors also is not addressed in the LRFD Specifications. The resistance factors for deep foundations were not calibrated for the LRFD load factors. In addition, the resistance factors do not account for the variability of the site conditions and the number of load tests conducted. Another shortcoming is that many accepted design procedures, some of which are commonly recommended by FHWA, are not supported by the LRFD Specifications. The objective of this research was to address the aforementioned issues and to pro- vide resistance factors for the load and resistance factor design of deep foundations. Under NCHRP Project 24-17, the University of Massachusetts at Lowell with the assis- tance of D'Appolonia, the University of Maryland, the University of Florida, and the University of Houston assembled databases for static analysis of drilled shafts and driven piles and for dynamic analysis of driven piles. These databases were used for the statistical evaluation of resistance factors. Extensive appendices providing detailed information on the development and application of the resistance factors are included on NCHRP CD-39 bound with the report.

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CONTENTS 1 SUMMARY 3 CHAPTER 1 Introduction and Research Approach 1.1 Background, 3 1.2 Stress Design Methodologies, 3 1.2.1 Working Stress Design, 3 1.2.2 Limit States Design, 3 1.3 Load and Resistance Factor Design (LRFD), 4 1.3.1 Principles, 4 1.3.2 Background Information, 5 1.3.3 LRFD Performance and Advantages, 5 1.3.4 LRFD in Geotechnical Engineering, 6 1.3.5 LRFD for Deep Foundations, 6 1.4 Research Approach, 8 1.4.1 Design and Construction Process of Deep Foundations, 8 1.4.2 Overview of the Research Approach, 8 1.4.3 Principles and Framework of the Calibration, 9 14 CHAPTER 2 Findings 2.1 State of Practice, 14 2.1.1 Questionnaire and Survey, 14 2.1.2 Major Findings, 14 2.2 Databases, 16 2.2.1 General, 16 2.2.2 Drilled Shaft Database--Static Analysis, 16 2.2.3 Driven Pile Database--Static Analysis, 16 2.2.4 Driven Pile Database--Dynamic Analysis, 16 2.3 Deep Foundations Nominal Strength, 16 2.3.1 Overview, 16 2.3.2 Failure Criterion for Statically Loaded Driven Piles, 16 2.3.3 Load Test Procedure for Statically Loaded Driven Piles, 18 2.3.4 Failure Criterion for Statically Loaded Drilled Shaft, 18 2.4 Driven Piles--Static Analysis Methods, 19 2.5 Driven Piles--Dynamic Analysis Methods, 19 2.5.1 Overview, 19 2.5.2 Methods of Analysis, 20 2.5.3 The Controlling Parameters, 22 2.6 Drilled Shafts--Static Analysis Methods, 27 2.7 Level of Target Reliability, 27 2.7.1 Target Reliability and Probability of Failure, 27 2.7.2 Concepts for Establishing Target Reliability, 27 2.7.3 Target Reliability for Structures, 28 2.7.4 Geotechnical Perspective, 29 2.7.5 Recommended Target Reliability, 29 2.8 Investigation of the Resistance Factors, 30 2.8.1 Initial Resistance Factors Calculations, 30 2.8.2 Parameter Study--The Limited Meaning of the Resistance Factor Value, 30 2.8.3 The Design Methods' Efficiency, 31 33 CHAPTER 3 Interpretation, Appraisal, and Applications 3.1 Analysis Results and Resistance Factors, 33 3.1.1 Driven Piles--Static Analysis, 33 3.1.2 Driven Piles--Dynamic Analysis, 33 3.1.3 Drilled Shafts--Static Analysis, 35 3.2 Initial Examination of Results, 36 3.2.1 Overview, 36 3.2.2 FOSM vs. FORM, 37 3.2.3 Equivalent Factors of Safety, 37 3.2.4 Detailed Tables, 38 3.2.5 Resistance Factors for Pullout of Driven Piles, 39 3.3 Pile Testing, 39 3.3.1 Overview, 39 3.3.2 Resistance Factors for Static Pile Load Tests, 40

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3.3.3 Numbers of Dynamic Tests Performed on Production Piles, 41 3.3.4 Testing Drilled Shafts for Major Defects, 43 3.4. Recommended Resistance Factors, 47 3.4.1 Overview, 47 3.4.2 Static Analysis of Driven Piles, 47 3.4.3 Dynamic Analysis of Driven Piles, 48 3.4.4 Static Analysis for Drilled Shafts, 49 3.4.5 Static Load Test, 49 3.4.6 Pile Test Scheduling, 50 3.4.7 Design Considerations, 50 3.5 Evaluation of the Resistance Factors, 52 3.5.1 Overview, 52 3.5.2 Working Stress Design, 53 3.5.3 Sensitivity Analysis and Factors Evaluation, 55 3.5.4 Actual Probability of Failure, 55 71 CHAPTER 4 Conclusions and Suggested Research 4.1 Conclusions, 71 4.2 Suggested Research--Knowledge-Based Designs, 71 4.2.1 Statement of Problem, 71 4.2.2 Framework for LRFD Design for Deep Foundations, 71 73 BIBLIOGRAPHY A1 APPENDIXES