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NATIONAL
NCHRP SYNTHESIS 360
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Rock-Socketed Shafts
for Highway Structure
Foundations
A Synthesis of Highway Practice
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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2006 (Membership as of April 2006)
OFFICERS
Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology
Vice Chair: Linda S. Watson, Executive Director, LYNX--Central Florida Regional Transportation Authority
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
MICHAEL W. BEHRENS, Executive Director, Texas DOT
ALLEN D. BIEHLER, Secretary, Pennsylvania DOT
JOHN D. BOWE, Regional President, APL Americas, Oakland, CA
LARRY L. BROWN, SR., Executive Director, Mississippi DOT
DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, Atlanta, GA
ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC
DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
NICHOLAS J. GARBER, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville
ANGELA GITTENS, Vice President, Airport Business Services, HNTB Corporation, Miami, FL
GENEVIEVE GIULIANO, Professor and Senior Associate Dean of Research and Technology, School of Policy, Planning,
and Development, and Director, METRANS National Center for Metropolitan Transportation Research, USC, Los Angeles
SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University
JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
GLORIA J. JEFF, General Manager, City of Los Angeles DOT
ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
HAROLD E. LINNENKOHL, Commissioner, Georgia DOT
SUE MCNEIL, Professor, Department of Civil and Environmental Engineering, University of Delaware
DEBRA L. MILLER, Secretary, Kansas DOT
MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments
CAROL A. MURRAY, Commissioner, New Hampshire DOT
JOHN R. NJORD, Executive Director, Utah DOT
SANDRA ROSENBLOOM, Professor of Planning, University of Arizona, Tucson
HENRY GERARD SCHWARTZ, JR., Senior Professor, Washington University
MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA
C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas at Austin
MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio)
JOSEPH H. BOARDMAN, Federal Railroad Administrator, U.S.DOT (ex officio)
REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio)
GEORGE BUGLIARELLO, Chancellor, Polytechnic University of New York, and Foreign Secretary, National Academy of Engineering
(ex officio)
SANDRA K. BUSHUE, Deputy Administrator, Federal Transit Administration, U.S.DOT (ex officio)
J. RICHARD CAPKA, Acting Administrator, Federal Highway Administration, U.S.DOT (ex officio)
THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio)
JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. Department of Energy (ex officio)
JACQUELINE GLASSMAN, Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT (ex officio)
EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio)
WARREN E. HOEMANN, Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT (ex officio)
JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio)
JOHN E. JAMIAN, Acting Administrator, Maritime Administration, U.S.DOT (ex officio)
J. EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration (ex officio)
ASHOK G. KAVEESHWAR, Research and Innovative Technology Administrator, U.S.DOT (ex officio)
BRIGHAM MCCOWN, Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT (ex officio)
WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio)
SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio)
JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio)
CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio)
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
Transportation Research Board Executive Committee Subcommittee for NCHRP
MICHAEL D. MEYER, Georgia Institute of Technology (Chair) ROBERT E. SKINNER, JR., Transportation Research Board
J. RICHARD CAPKA, Federal Highway Administration C. MICHAEL WALTON, University of Texas at Austin
JOHN C. HORSLEY, American Association of State Highway LINDA S. WATSON, LYNX--Central Florida Regional
and Transportation Officials Transportation Authority
JOHN R. NJORD, Utah DOT
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP SYNTHESIS 360
Rock-Socketed Shafts
for Highway Structure
Foundations
A Synthesis of Highway Practice
CONSULTANT
JOHN TURNER
University of Wyoming
Laramie, Wyoming
S UBJECT A REAS
Bridges, Other Structures, and Hydraulics and Hydrology and 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.
2006
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 360
Systematic, well-designed research provides the most effective Price $39.00
approach to the solution of many problems facing highway
administrators and engineers. Often, highway problems are of local Project 20-5 (Topic 36-12)
interest and can best be studied by highway departments ISSN 0547-5570
individually or in cooperation with their state universities and ISBN 0-309-09768-1
others. However, the accelerating growth of highway transportation Library of Congress Control No. 2006925246
develops increasingly complex problems of wide interest to
© 2006 Transportation Research Board
highway authorities. These problems are best studied through a
coordinated program of cooperative research.
In recognition of these needs, the highway administrators of the
American Association of State Highway and Transportation COPYRIGHT PERMISSION
Officials initiated in 1962 an objective national highway research Authors herein are responsible for the authenticity of their materials and for
program employing modern scientific techniques. This program is obtaining written permissions from publishers or persons who own the
supported on a continuing basis by funds from participating copyright to any previously published or copyrighted material used herein.
member states of the Association and it receives the full cooperation Cooperative Research Programs (CRP) grants permission to reproduce
and support of the Federal Highway Administration, United States material in this publication for classroom and not-for-profit purposes.
Department of Transportation. Permission is given with the understanding that none of the material will be
The Transportation Research Board of the National Academies used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit
was requested by the Association to administer the research Development Corporation endorsement of a particular product, method, or
program because of the Board's recognized objectivity and practice. It is expected that those reproducing the material in this document
for educational and not-for-profit uses will give appropriate acknowledgment
understanding of modern research practices. The Board is uniquely
of the source of any reprinted or reproduced material. For other uses of the
suited for this purpose as it maintains an extensive committee material, request permission from CRP.
structure from which authorities on any highway transportation
subject may be drawn; it possesses avenues of communications and
cooperation with federal, state, and local governmental agencies,
universities, and industry; its relationship to the National Research NOTICE
Council is an insurance of objectivity; it maintains a full-time The project that is the subject of this report was a part of the National
research correlation staff of specialists in highway transportation Cooperative Highway Research Program conducted by the Transportation
matters to bring the findings of research directly to those who are in Research Board with the approval of the Governing Board of the National
a position to use them. Research Council. Such approval reflects the Governing Board's judgment that
The program is developed on the basis of research needs the program concerned is of national importance and appropriate with respect
identified by chief administrators of the highway and transportation to both the purposes and resources of the National Research Council.
departments and by committees of AASHTO. Each year, specific The members of the technical committee selected to monitor this project and
to review this report were chosen for recognized scholarly competence and
areas of research needs to be included in the program are proposed
with due consideration for the balance of disciplines appropriate to the project.
to the National Research Council and the Board by the American The opinions and conclusions expressed or implied are those of the research
Association of State Highway and Transportation Officials. agency that performed the research, and, while they have been accepted as
Research projects to fulfill these needs are defined by the Board, and appropriate by the technical committee, they are not necessarily those of the
qualified research agencies are selected from those that have Transportation Research Board, the National Research Council, the American
submitted proposals. Administration and surveillance of research Association of State Highway and Transportation Officials, or the Federal
contracts are the responsibilities of the National Research Council Highway Administration, U.S. Department of Transportation.
and the Transportation Research Board. Each report is reviewed and accepted for publication by the technical
The needs for highway research are many, and the National committee according to procedures established and monitored by the
Cooperative Highway Research Program can make significant Transportation Research Board Executive Committee and the Governing
Board of the National Research Council.
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or
duplicate other highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
NOTE: The Transportation Research Board of the National Academies, the
Washington, DC 20001
National Research Council, the Federal Highway Administration, the American
Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at:
states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore
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. Ralph J. Cicerone 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. Ralph J. Cicerone 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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NCHRP COMMITTEE FOR PROJECT 20-5 COOPERATIVE RESEARCH PROGRAM STAFF
ROBERT J. REILLY, Director, Cooperative Research Programs
CHAIR CRAWFORD F. JENCKS, Manager, NCHRP
GARY D. TAYLOR, CTE Engineers EILEEN DELANEY, Director of Publications
MEMBERS NCHRP SYNTHESIS STAFF
THOMAS R. BOHUSLAV, Texas DOT STEPHEN R. GODWIN, Director for Studies and Information
DONN E. HANCHER, University of Kentucky Services
DWIGHT HORNE, Federal Highway Administration JON WILLIAMS, Manager, Synthesis Studies
YSELA LLORT, Florida DOT DONNA L. VLASAK, Senior Program Officer
WESLEY S.C. LUM, California DOT DON TIPPMAN, Editor
JAMES W. MARCH, Federal Highway Administration CHERYL KEITH, Senior Secretary
JOHN M. MASON, JR., Pennsylvania State University
CATHERINE NELSON, Oregon DOT TOPIC PANEL
LARRY VELASQUEZ, New Mexico DOT DAN A. BROWN, Auburn University
PAUL T. WELLS, New York State DOT JOHN G. DELPHIA, Texas Department of Transportation
LEO FONTAINE, Connecticut Department of Transportation
FHWA LIAISON G.P. JAYAPRAKASH, Transportation Research Board
WILLIAM ZACCAGNINO PAUL PASSE, PSI, Inc.
TOM SHANTZ, California Department of Transportation
TRB LIAISON DARIN SJOBLOM, Utah Department of Transportation
STEPHEN F. MAHER JERRY A. DIMAGGIO, Federal Highway Administration (Liaison)
BEN RIVERS, Federal Highway Administration (Liaison)
Cover photograph: Bridge with surface
exposures of foundation rock.
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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor-
By Staff mation already exists, either in documented form or as undocumented experience and prac-
Transportation tice. This information may be fragmented, scattered, and unevaluated. As a consequence,
Research Board full knowledge of what has been learned about a problem may not be brought to bear on its
solution. Costly research findings may go unused, valuable experience may be overlooked,
and due consideration may not be given to recommended practices for solving or alleviat-
ing the problem.
There is information on nearly every subject of concern to highway administrators and
engineers. Much of it derives from research or from the work of practitioners faced with
problems in their day-to-day work. To provide a systematic means for assembling and eval-
uating such useful information and to make it available to the entire highway community,
the American Association of State Highway and Transportation Officials--through the
mechanism of the National Cooperative Highway Research Program--authorized the
Transportation Research Board to undertake a continuing study. This study, NCHRP Proj-
ect 20-5, "Synthesis of Information Related to Highway Problems," searches out and syn-
thesizes useful knowledge from all available sources and prepares concise, documented
reports on specific topics. Reports from this endeavor constitute an NCHRP report series,
Synthesis of Highway Practice.
This synthesis series reports on current knowledge and practice, in a compact format,
without the detailed directions usually found in handbooks or design manuals. Each report
in the series provides a compendium of the best knowledge available on those measures
found to be the most successful in resolving specific problems.
PREFACE During the past 25 years, much knowledge and experience has been acquired by the engi-
neering and construction industries on the use of rock-socketed shafts for support of trans-
portation structures. This synthesis collected, reviewed, and organized the most salient
aspects of this knowledge and experience to present it in a form useful to foundation design-
ers, researchers, contractors, and transportation officials. The objectives of this report were
to collect and summarize information on current practices pertaining to each step of the
design process, along with the limitations; identify emerging and promising technologies;
determine the principal challenges in advancing the state of the practice; and provide sug-
gestions for future developments and improvements in the use and design of rock-socketed
shafts.
For this TRB synthesis report a literature review was conducted on all topics related to
drilled shaft in rock or intermediate geomaterials. A questionnaire was developed and dis-
tributed to the principal geotechnical and structural engineers of U.S. state and Canadian
provincial transportation agencies. Questions were grouped into the following categories:
use of rock-socketed shafts by the agency, evaluation of rock and intermediate geomateri-
als, design methods for axial loading, design methods for lateral loading, structural design,
construction, and field load and integrity testing.
John Turner, Professor of Civil and Architectural Engineering, University of Wyoming,
Laramie, collected and synthesized the information and wrote the report, under the guid-
ance of a panel of experts in the subject area. The members of the topic panel are acknowl-
edged on the preceding page. This synthesis is an immediately useful document that records
the practices that were acceptable within the limitations of the knowledge available at the
time of its preparation. As progress in research and practice continues, new knowledge will
be added to that now at hand.
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CONTENTS
1 SUMMARY
3 CHAPTER ONE INTRODUCTION
Background, 3
Problem Definition, 3
Scope and Objectives, 3
Methodology, 4
Organization of Synthesis, 4
Design Process, 5
8 CHAPTER TWO SITE AND GEOMATERIAL CHARACTERIZATION
Scope, 8
Site Geology, 8
Field Investigations, 10
Geologic and Index Properties of Rock, 16
Engineering Properties of Rock, 20
Intermediate Geomaterials, 29
Summary, 31
33 CHAPTER THREE DESIGN FOR AXIAL LOADING
Scope, 33
Relationship to Geomaterial Characterization, 33
Load Transfer Behavior of Rock Sockets, 33
Capacity Under Axial Loading, 37
Axial Load-Displacement Behavior, 47
Current AASHTO Practice, 51
Summary, 52
54 CHAPTER FOUR DESIGN FOR LATERAL LOADING
Scope, 54
Design Process, 54
Rock-Socketed Foundations for Lateral Loading, 54
Analytical Methods, 55
Structural Issues, 66
Summary, 70
71 CHAPTER FIVE CONSTRUCTION AND FIELD TESTING
Scope, 71
Construction of Rock Sockets, 71
Field Load Testing, 74
Constructability, Inspection, and Quality Assurance, 88
Examples of Difficult Geologic Conditions, 93
Summary, 95
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97 CHAPTER SIX CONCLUSIONS
Site and Geomaterial Characterization, 97
Design for Axial Load, 98
Design for Lateral Load, 99
Load Testing, 99
Constructability and Inspection, 99
Research Needed to Advance State of Practice, 100
102 EQUATION SYMBOLS
104 REFERENCES
110 APPENDIX A SURVEY RESPONDENTS
111 APPENDIX B SURVEY QUESTIONNAIRE AND RESPONSES
