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NATIONAL NCHRP REPORT 651 COOPERATIVE HIGHWAY RESEARCH PROGRAM LRFD Design and Construction of Shallow Foundations for Highway Bridge Structures

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TRANSPORTATION RESEARCH BOARD 2010 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, and Director, Center for Transportation Studies, University of Virginia, Charlottesville Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Randell H. Iwasaki, Director, California DOT, Sacramento Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Susan Martinovich, Director, Nevada DOT, Carson City Debra L. Miller, Secretary, Kansas DOT, Topeka Pete K. Rahn, Director, Missouri DOT, Jefferson City Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Mandeville, LA Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Beverly A. Scott, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of February 2010.

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 651 LRFD Design and Construction of Shallow Foundations for Highway Bridge Structures Samuel G. Paikowsky Mary C. Canniff GEOSCIENCES TESTING AND RESEARCH, INC. North Chelmsford, MA UNIVERSITY OF MASSACHUSETTS Lowell, MA Kerstin Lesny Aloys Kisse INSTITUTE OF SOIL MECHANICS AND FOUNDATION ENGINEERING DEPARTMENT OF CIVIL ENGINEERING University of Duisburg-Essen, Germany Shailendra Amatya Robert Muganga GEOTECHNICAL ENGINEERING RESEARCH LABORATORY UNIVERSITY OF MASSACHUSETTS Lowell, MA Subscriber Categories Highways Bridges and Other Structures Geotechnology 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. 2010 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 651 RESEARCH PROGRAM Systematic, well-designed research provides the most effective Project 24-31 approach to the solution of many problems facing highway ISSN 0077-5614 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-15467-3 interest and can best be studied by highway departments individually Library of Congress Control Number 2010927174 or in cooperation with their state universities and others. However, the 2010 National Academy of Sciences. All rights reserved. accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of COPYRIGHT INFORMATION cooperative research. Authors herein are responsible for the authenticity of their materials and for obtaining In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously American Association of State Highway and Transportation Officials published or copyrighted material used herein. initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, a continuing basis by funds from participating member states of the FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission Transportation. from CRP. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board's recognized objectivity and understanding of NOTICE modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. possesses avenues of communications and cooperation with federal, The members of the technical panel selected to monitor this project and to review this state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance. relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved objectivity; it maintains a full-time research correlation staff of by the Governing Board of the National Research Council. specialists in highway transportation matters to bring the findings of The opinions and conclusions expressed or implied in this report are those of the research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors. by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of the report. 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. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant 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 Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCHRP REPORT 651 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs David B. Beal, Senior Program Officer, Retired Waseem Dekelbab, Senior Program Officer Danna Powell, Senior Program Assistant Eileen P. Delaney, Director of Publications Ellen Chafee, Editor NCHRP PROJECT 24-31 PANEL Field of Soils and Geology--Area of Mechanics and Foundations Donald Dwyer, New York State DOT, Albany, NY (Chair) Nabil Hourani, HNTB Corporation, Boston, MA Lyndi D. Blackburn, Alabama DOT, Montgomery, AL James G. Cuthbertson, Washington State DOT, Olympia, WA Jie Han, University of Kansas, Lawrence, KS Richard A. Lamb, Minnesota DOT, Maplewood, MN Andrzej S. Nowak, University of Nebraska--Lincoln, Lincoln, NE Martin I. Okorie, South Carolina DOT, Columbia, SC Hani H. Titi, University of Wisconsin--Milwaukee, Milwaukee, WI Michael Adams, FHWA Liaison G. P. Jayaprakash, TRB Liaison AUTHOR ACKNOWLEDGMENTS Ms. Yu Fu of the Geotechnical Engineering Research Laboratory at the University of Massachusetts Lowell developed the original shallow foundations database as part of her master's research work, with the help of Mr. Jenia Nemirovsky. This database was greatly enhanced by load test case histories gathered and conducted at the University of Duisburg-Essen in Germany. All the responders to the questionnaires, in particular those that participated in the telephone interviews--Mr. Leo Fontaine of the Connecticut Department of Transportation (DOT), Mr. Nabil Hourani of the Massachusetts Highway Department, Ms. Beverly Miller of the Pennsylvania DOT, Mr. Jim Cuthbertson of the Washington State DOT, Ms. Laura Krusinski of the Maine DOT, and Mssrs. Edward Wasserman and Len Oliver and Ms. Vanessa Bate- man of the Tennessee DOT--are acknowledged for providing DOT insight on the prevailing practices of bridge shallow foundation design.

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FOREWORD By Waseem Dekelbab Staff Officer Transportation Research Board This report develops and calibrates procedures and modifies the AASHTO LRFD Bridge Design Specifications, Section 10--Foundations for the Strength Limit State Design of Shal- low Foundations. The material in this report will be of immediate interest to bridge engi- neers and geotechnical engineers involved in the design of shallow foundations. Shallow foundations are used for a large percentage of bridges, retaining walls, and other transportation structures. Reliability-based resistance factors are needed to incorporate into design specifications for use by transportation agencies. LRFD design specifications for shallow foundations of highway structures need to be developed using a reliability-based calibration procedure, consistent with the calibration of load and resistance factors for bridge superstructures. Load and resistance factors should account for uncertainties related to load combinations, site conditions, soil and rock type and properties, and methods of testing and analysis. It is believed that resistance factors for shallow foundations in Section 10 of the current AASHTO LRFD Bridge Design Specifica- tions do not satisfy these requirements. The objective of this project was to develop recommended changes to Section 10 of the AASHTO LRFD Bridge Design Specifications for the strength limit state design of shallow foundations. This research was performed under NCHRP Project 24-31 by Geosciences Testing and Research, Inc., and the University of Massachusetts at Lowell with the assistance of the Uni- versity of Duisburg-Essen, Germany. The report fully documents the research leading to the recommended design specifications for the strength limit state design of shallow founda- tions. Appendixes A through H from the research agency's final report are not published herein but are available on the TRB website (www.trb.org) by searching on "NCHRP Report 651". These appendixes are titled as follows: Appendix A: Alternative Model Background Appendix B: Findings--State of Practice, Serviceability and Databases Appendix C: Questionnaire Summary Appendix D: UML-GTR ShalFound07 Database Appendix E: UML-GTR RockFound07 Database Appendix F: Shallow Foundations Modes of Failure and Failure Criteria Appendix G: Bias Calculation Examples Appendix H: Design Examples

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CONTENTS 1 Summary 3 Chapter 1 Background 3 1.1 Research Objectives 3 1.2 Engineering Design Methodologies 4 1.3 Load and Resistance Factor Design 10 1.4 Format for Design Factor Development 15 1.5 Bearing Capacity of Shallow Foundations 24 1.6 An Alternative Approach and Method of Analysis for Limit State Design of Shallow Foundations 33 1.7 Bearing Capacity of Shallow Foundations on Rock 40 1.8 Rock Classification and Properties 52 Chapter 2 Research Approach 52 2.1 Scope and Structure 52 2.2 Methodology 56 2.3 Execution and Presentation 57 Chapter 3 Findings 57 3.1 Design and Construction State of Practice 61 3.2 Assembled Databases 66 3.3 Determination of the Measured Strength Limit State for Foundations Under Vertical-Centric Loading 69 3.4 Determination of the Calculated Strength Limit States for the Case Histories (Foundations on Soils) 73 3.5 Uncertainty in the Bearing Capacity of Footings in/on Granular Soils Subjected to Vertical-Centric Loading 76 3.6 Uncertainty in the Bearing Capacity of Footings in/on Granular Soils Subjected to Vertical-Eccentric, Inclined-Centric, and Inclined-Eccentric Loading 82 3.7 Loading Direction Effect for Inclined-Eccentric Loading 85 3.8 Uncertainty in the Bearing Capacity of Footings in/on Rock 92 3.9 Uncertainties in the Friction Along the Soil-Structure Interface 100 Chapter 4 Interpretations and Appraisal 100 4.1 Overview 100 4.2 Uncertainty in Vertical and Lateral Loading 104 4.3 Calibration Methodology 107 4.4 Examination of the Factor N as a Source of Uncertainty in Bearing Capacity Analysis 110 4.5 Examination of Footing Size Effect on the Uncertainty in Bearing Capacity Analysis 110 4.6 In-Depth Re-Examination of the Uncertainty in Bearing Capacity of Footings in/on Granular Soils Under Vertical-Centric Loading

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116 4.7 In-Depth Re-Examination of the Uncertainty in Bearing Capacity of Footings in/on Granular Soils Under Vertical-Eccentric Loading 121 4.8 In-Depth Re-Examination of the Uncertainty in Bearing Capacity of Footings in/on Granular Soils Under Inclined-Centric Loading 123 4.9 In-Depth Re-Examination of the Uncertainty in Bearing Capacity of Footings in/on Granular Soils Under Inclined-Eccentric Loading 124 4.10 Summary of Recommended Resistance Factors for Footings in/on Granular Soils 124 4.11 Goodman's (1989) Semi-Empirical Bearing Capacity Method for Footings in/on Rock 126 4.12 Carter and Kulhawy's (1988) Semi-Empirical Bearing Capacity Method for Footings in/on Rock 127 4.13 Summary of Recommended Resistance Factors for Shallow Foundations in/on Rock 127 4.14 Sliding Friction Resistance 130 Chapter 5 Design Examples 130 5.1 Introduction 130 5.2 Loading Conventions and Notations 130 5.3 Examples Summary 132 References 139 Unpublished Material