04DiI 04

Section 4
FOUNDATIONS
Part A
GENERAL REQUIREMENTS AND MATERIALS
4.1 GENERAL 4.2.2.2 Settlement
Foundations shall be designed to support all live and The settlement of foundations may be determined
dead loads, and earth and water pressure loadings in ac- using procedures described in Articles 4.4, 4.5, or 4.6 for
cordance with the general principles specified in this sec- service load design and Articles 4.11, 4.12, or 4.13 for
tion. The design shall be made either with reference to ser- strength design, or other generally accepted methodolo-
vice loads and allowable stresses as provided in SERVICE gies. Such methods are based on soil and rock parameters
LOAD DESIGN or, alternatively, with reference to load measured directly or inferred from the results of in situ
factors, and factored strength as provided in STRENGTH and/or laboratory tests.
DESIGN.
4.2.2.3 Overall Stability
4.2 FOUNDATION TYPE AND CAPACITY The overall stability of slopes in the vicinity of
foundations shall be considered as part of the design of
4.2.1 Selection of Foundation Type foundations.
Selection of foundation type shall be based on an 4.2.3 Soil, Rock, and Other Problem Conditions
assessment of the magnitude and direction of loading,
depth to suitable bearing materials, evidence of previous Geologic and environmental conditions can influence
flooding, potential for liquefaction, undermining or the performance of foundations and may require special
scour, swelling potential, frost depth and ease and cost of consideration during design. To the extent possible, the
construction. presence and influence of such conditions shall be evalu-
ated as part of the subsurface exploration program. A rep-
4.2.2 Foundation Capacity resentative, but not exclusive, listing of problem condi-
tions requiring special consideration is presented in Table
Foundations shall be designed to provide adequate 4.2.3A for general guidance.
structural capacity, adequate foundation bearing capacity
with acceptable settlements, and acceptable overall sta- 4.3 SUBSURFACE EXPLORATION AND
bility of slopes adjacent to the foundations. The tolerable TESTING PROGRAMS
level of structural deformation is controlled by the type
and span of the superstructure. The elements of the subsurface exploration and testing
programs shall be the responsibility of the designer based
4.2.2.1 Bearing Capacity on the specific requirements of the project and his or her
experience with local geologic conditions.
The bearing capacity of foundations may be estimated
4.3.1 General Requirements
using procedures described in Articles 4.4, 4.5, or 4.6 for
service load design and Articles 4.11, 4.12, or 4.13 for
As a minimum, the subsurface exploration and testing
strength design, or other generally accepted theories. Such
programs shall define the following, where applicable:
theories are based on soil and rock parameters measured
by in situ and/or laboratory tests. The bearing capacity • Soil strata
may also be determined using load tests. —Depth, thickness, and variability
43
Copyright 2002 AASHTO. All rights reserved. Duplication is a violation of applicable law.
44 HIGHWAY BRIDGES 4.3.1
TABLE 4.2.3A Problem Conditions Requiring Special Consideration
Problem
Type Description Comments
Organic soil; highly plastic clay Low strength and high compressibility
Sensitive clay Potentially large strength loss upon large straining
Micaceous soil Potentially high compressibility (often saprolitic)
Soil Expansive clay/silt; expansive slag Potentially large expansion upon wetting
Liquefiable soil Complete strength loss and high deformations due to earthquake
loading
Collapsible soil Potentially large deformations upon wetting (Caliche; Loess)
Pyritic soil Potentially large expansion upon oxidation
Laminated rock Low strength when loaded parallel to bedding
Expansive shale Potentially large expansion upon wetting; degrades readily upon
exposure to air/water
Pyritic shale Expands upon exposure to air/water
Rock Soluble rock Soluble in flowing and standing water (Limestone, Limerock,
Gypsum)
Cretaceous shale Indicator of potentially corrosive ground water
Weak claystone (Red Beds) Low strength and readily degradable upon exposure to air/water
Gneissic and Schistose Rock Highly distorted with irregular weathering profiles and steep
discontinuities
Subsidence Typical in areas of underground mining or high ground water
extraction
Sinkholes/solutioning Karst topography; typical of areas underlain by carbonate rock
strata
Condition Negative skin friction/ Additional compressive/uplift load on deep foundations due to
expansion loading settlement/uplift of soil
Corrosive environments Acid mine drainage; degradation of certain soil/rock types
Permafrost/frost Typical in northern climates
Capillary water Rise of water level in silts and fine sands leading to strength loss
—Identification and classification qc), and sample recovery and RQD for rock strata. The
—Relevant engineering properties (i.e., shear drilling equipment and method, use of drilling mud, type
strength, compressibility, stiffness, permeability, of SPT hammer (i.e. safety, donut, hydraulic) or cone pen-
expansion or collapse potential, and frost suscep- etrometer (i.e., mechanical or electrical), and any unusual
tibility) subsurface conditions such as artesian pressures, boulders
• Rock strata or other obstructions, or voids shall also be noted on the
—Depth to rock exploration logs.
—Identification and classification
—Quality (i.e., soundness, hardness, jointing and 4.3.2 Minimum Depth
presence of joint filling, resistance to weathering,
if exposed, and solutioning) Where substructure units will be supported on spread
—Compressive strength (e.g., uniaxial compres- footings, the minimum depth of the subsurface explo-
sion, point load index) ration shall extend below the anticipated bearing level a
—Expansion potential minimum of two footing widths for isolated, individual
• Ground water elevation footings where L 2B, and four footing widths for foot-
• Ground surface elevation ings where L 5B. For intermediate footing lengths, the
• Local conditions requiring special consideration minimum depth of exploration may be estimated by lin-
ear interpolation as a function of L between depths of 2B
Exploration logs shall include soil and rock strata de- and 5B below the bearing level. Greater depths may be re-
scriptions, penetration resistance for soils (e.g., SPT or quired where warranted by local conditions.
4.3.2 DIVISION I—DESIGN 45
Where substructure units will be supported on deep 4.4.1.2 Footings Supporting Non-Rectangular
foundations, the depth of the subsurface exploration shall Columns or Piers
extend a minimum of 20 feet below the anticipated pile or
shaft tip elevation. Where pile or shaft groups will be Footings supporting circular or regular polygon-
used, the subsurface exploration shall extend at least two shaped concrete columns or piers may be designed as-
times the maximum pile group dimension below the an- suming that the columns or piers act as square members
ticipated tip elevation, unless the foundations will be end with the same area for location of critical sections for mo-
bearing on or in rock. For piles bearing on rock, a mini- ment, shear, and development of reinforcement.
mum of 10 feet of rock core shall be obtained at each ex-
ploration location to insure the exploration has not been 4.4.1.3 Footings in Fill
terminated on a boulder. For shafts supported on or ex-
tending into rock, a minimum of 10 feet of rock core, or a Footings located in fill are subject to the same bearing
length of rock core equal to at least three times the shaft capacity, settlement, and dynamic ground stability con-
diameter for isolated shafts or two times the maximum siderations as footings in natural soil in accordance with
shaft group dimension for a shaft group, whichever is Articles 4.4.7.1 through 4.4.7.3. The behavior of both the
greater, shall be obtained to insure the exploration has not fill and underlying natural soil shall be considered.
terminated in a boulder and to determine the physical
characteristics of rock within the zone of foundation in- 4.4.1.4 Footings in Sloped Portions of
fluence for design. Embankments
4.3.3 Minimum Coverage The earth pressure against the back of footings and
columns within the sloped portion of an embankment
A minimum of one soil boring shall be made for each
shall be equal to the at-rest earth pressure in accordance
substructure unit. (See Article 7.1.1 for definition of sub-
with Article 5.5.2. The resistance due to the passive earth
structure unit.) For substructure units over 100 feet in
pressure of the embankment in front of the footing shall
width, a minimum of two borings shall be required.
be neglected to a depth equal to a minimum depth of
4.3.4 Laboratory Testing 3 feet, the depth of anticipated scour, freeze thaw action,
and/or trench excavation in front of the footing,
Laboratory testing shall be performed as necessary to whichever is greater.
determine engineering properties including unit weight,
shear strength, compressive strength and compressibility. 4.4.1.5 Distribution of Bearing Pressure
In the absence of laboratory testing, engineering proper-
ties may be estimated based on published test results or Footings shall be designed to keep the maximum soil
local experience. and rock pressures within safe bearing values. To prevent
unequal settlement, footings shall be designed to keep the
4.3.5 Scour bearing pressure as nearly uniform as practical. For foot-
ings supported on piles or drilled shafts, the spacing be-
The probable depth of scour shall be determined by
tween piles and drilled shafts shall be designed to ensure
subsurface exploration and hydraulic studies. Refer to
nearly equal loads on deep foundation elements as may be
Article 1.3.2 and FHWA (1988) for general guidance
practical.
regarding hydraulic studies and design.
When footings support more than one column, pier, or
Part B wall, distribution of soil pressure shall be consistent with
SERVICE LOAD DESIGN METHOD properties of the foundation materials and the structure,
ALLOWABLE STRESS DESIGN and with the principles of geotechnical engineering.
4.4.2 Notations
4.4 SPREAD FOOTINGS
4.4.1 General The following notations shall apply for the design of
spread footings on soil and rock:
4.4.1.1 Applicability
A Contact area of footing (ft2)
Provisions of this Article shall apply for design of iso- A Effective footing area for computation of
lated footings, and to combined footings and mats (foot- bearing capacity of a footing subjected to
ings supporting more than one column, pier, or wall). eccentric load (ft2); (See Article 4.4.7.1.1.1)
bc, b, bq Base inclination factors (dim); (See Article Es Soil modulus (ksf)
4.4.7.1.1.8) F Total force on footing subjected to an in-
B Width of footing (ft); (Minimum plan di- clined load (k); (See Article 4.4.7.1.1.1)
mension of footing unless otherwise noted) fc Unconfined compressive strength of con-
B Effective width for load eccentric in direc- crete (ksf)
tion of short side, L unchanged (ft) FS Factor of safety against bearing capacity,
c Soil cohesion (ksf) overturning or sliding shear failure (dim)
c Effective stress soil cohesion (ksf) H Depth from footing base to top of second
c* Reduced effective stress soil cohesion for cohesive soil layer for two-layer cohesive
punching shear (ksf); (See Article 4.4.7.1) soil profile below footing (ft); (See Article
ca Adhesion between footing and foundation 4.4.7.1.1.7)
soil or rock (ksf); (See Article 4.4.7.1.1.3) Hc Height of compressible soil layer (ft)
cv Coefficient of consolidation (ft2/yr); (See Hcrit Critical thickness of the upper layer of a
Article 4.4.7.2.3) two-layer system beyond which the under-
c1 Shear strength of upper cohesive soil lying layer will have little effect on the bear-
layer below footing (ksf); (See Article ing capacity of footings bearing in the upper
4.4.7.1.1.7) layer (ft); (See Article 4.4.7.1.1.7)
c2 Shear strength of lower cohesive soil Hd Height of longest drainage path in com-
layer below footing (ksf); (See Article pressible soil layer (ft)
4.4.7.1.1.7) Hs Height of slope (ft); (See Article 4.4.7.1.1.4)
Cc Compression index (dim); (See Article i Slope angle from horizontal of ground sur-
4.4.7.2.3) face below footing (deg)
Ccr Recompression index (dim); (See Article ic, i, iq Load inclination factors (dim); (See Article
4.4.7.2.3) 4.4.7.1.1.3)
Cc Compression ratio (dim); (See Article I Influence coefficient to account for rigidity
4.4.7.2.3) and dimensions of footing (dim); (See Arti-
Co Uniaxial compressive strength of intact cle 4.4.8.2.2)
rock (ksf) Center-to-center spacing between adjacent
Cr Recompression ratio (dim); (See Article footings (ft)
4.4.7.2.3) L Length of footing (ft)
C Coefficient of secondary compression de- L Effective footing length for load eccentric
fined as change in height per log cycle of in direction of long side, B unchanged (ft)
time (dim); (See Article 4.4.7.2.4) L1 Length (or width) of footing having positive
D Influence depth for water below footing contact pressure (compression) for footing
(ft); (See Article 4.4.7.1.1.6) loaded eccentrically about one axis (ft)
Df Depth to base of footing (ft) n Exponential factor relating B/L or L/B ra-
e Void ratio (dim); (See Article 4.4.7.2.3) tios for inclined loading (dim); (See Article
ef Void ratio at final vertical effective stress 4.4.7.1.1.3)
(dim); (See Article 4.4.7.2.3) N Standard penetration resistance (blows/ft)
eo Void ratio at initial vertical effective stress N1 Standard penetration resistance corrected
(dim); (See Article 4.4.7.2.3) for effects of overburden pressure (blows/
ep Void ratio at maximum past vertical effec- ft); (See Article 4.4.7.2.2)
tive stress (dim); (See Article 4.4.7.2.3) Nc, N, Nq Bearing capacity factors based on the value
eB Eccentricity of load in the B direction mea- of internal friction of the foundation soil
sured from centroid of footing (ft); (See Ar- (dim); (See Article 4.4.7.1)
ticle 4.4.7.1.1.1) Nm Modified bearing capacity factor to account
eL Eccentricity of load in the L direction mea- for layered cohesive soils below footing
sured from centroid of footing (ft); (See (dim); (See Article 4.4.7.1.1.7)
Article 4.4.7.1.1.1) Nms Coefficient factor to estimate qult for rock
Eo Modulus of intact rock (ksf) (dim); (See Article 4.4.8.1.2)
Em Rock mass modulus (ksf); (See Article Ns Stability number (dim); (See Article
4.4.8.2.2) 4.4.7.1.1.4)
Ncq, Nq Modified bearing capacity factors for ef- T Time factor (dim); (See Article 4.4.7.2.3)
fects of footing on or adjacent sloping zw Depth from footing base down to the high-
ground (dim); (See Article 4.4.7.1.1.4) est anticipated ground water level (ft); (See
P Tangential component of force on footing Article 4.4.7.1.1.6)
(k) Angle of inclination of the footing base
Pmax Maximum resisting force between footing from the horizontal (radian)
base and foundation soil or rock for sliding Reduction factor (dim); (See Article
failure (k) 4.4.8.2.2)
q Effective overburden pressure at base of
Length to width ratio of footing (dim)
footing (ksf)
m Punching index BL/[2(B L)H] (dim);
Q Normal component of force on footing (k) (See Article 4.4.7.1.1.7)
qaii Allowable uniform bearing pressure or con-
z Factor to account for footing shape and
tact stress (ksf) rigidity (dim); (See Article 4.4.7.2.2)
qc Cone penetration resistance (ksf) Total unit weight of soil or rock (kcf)
qmax Maximum footing contact pressure (ksf) Buoyant unit weight of soil or rock (kcf)
Qmax Maximum normal component of load sup- m Moist unit weight of soil (kcf)
ported by foundation soil or rock at ultimate Angle of friction between footing and foun-
bearing capacity (k) dation soil or rock (deg); (See Article
qmin Minimum magnitude of footing contact 4.4.7.1.1.3)
pressure (ksf) Differential settlement between adjacent
qo Vertical stress at base of loaded area (ksf); footings (ft); (See Article 4.4.7.2.5)
(See Article 4.4.7.2.1) v Vertical strain (dim); (See Article 4.4.7.2.3)
qult Ultimate bearing capacity for uniform bear- vf Vertical strain at final vertical effective
ing pressure (ksf) stress (dim); (See Article 4.4.7.2.3)
q1 Ultimate bearing capacity of footing sup- vo Initial vertical strain (dim); (See Article
ported in the upper layer of a two-layer sys- 4.4.7.2.3)
tem assuming the upper layer is infinitely vp Vertical strain at maximum past vertical
thick (ksf); (See Article 4.4.7.1.1.7) effective stress (dim); (See Article
q2 Ultimate bearing capacity of a fictitious 4.4.7.2.3)
footing of the same size and shape as the ac- Angle of load eccentricity (deg)
tual footing, but supported on surface of the Shear strength ratio (c2/c1) for two layered
second (lower) layer of a two-layer system cohesive soil system below footing (dim);
(ksf); (See Article 4.4.7.1.1.7) (See Article 4.4.7.1.1.7)
R Resultant of pressure on base of footing (k) µc Reduction factor to account for three-di-
r Radius of circular footing or B/2 for square mensional effects in settlement analysis
footing (ft); (See Article 4.4.8.2.2) (dim); (See Article 4.4.7.2.3)
RQD Rock Quality Designation (dim) Poisson’s ratio (dim)
sc, s, sq Footing shape factors (dim); (See Article f Final vertical effective stress in soil at depth
4.4.7.1.1.2) interval below footing (ksf); (See Article
su Undrained shear strength of soil (ksf) 4.4.7.2.3)
Sc Consolidation settlement (ft); (See Article o Initial vertical effective stress in soil at
4.4.7.2.3) depth interval below footing (ksf); (See Ar-
Se Elastic or immediate settlement (ft); (See ticle 4.4.7.2.3)
Article 4.4.7.2.2) p Maximum past vertical effective stress in
Ss Secondary settlement (ft); (See Article soil at depth interval below footing (ksf);
4.4.7.2.4) (See Article 4.4.7.2.3)
St Total settlement (ft); (See Article 4.4.7.2) Angle of internal friction (deg)
t Time to reach specified average degree Effective stress angle of internal friction
of consolidation (yr); (See Article (deg)
4.4.7.2.3) * Reduced effective stress soil friction angle
t1, t2 Arbitrary time intervals for determination for punching shear (ksf); (See Article
of Ss (yr); (See Article 4.4.7.2.4) 4.4.7.1)
The notations for dimension units include the follow- 4.4.4 Soil and Rock Property Selection
ing: dim Dimensionless; deg degree; ft foot; k
kip; k/ft kip/ft; ksf kip/ft2; kcf kip/ft3; lb pound; Soil and rock properties defining the strength and com-
in. inch; and psi pound per square inch. The dimen- pressibility characteristics of the foundation materials are
sional units provided with each notation are presented for required for footing design. Foundation stability and set-
illustration only to demonstrate a dimensionally correct tlement analyses for design shall be conducted using soil
combination of units for the footing capacity procedures and rock properties based on the results of field and/or
presented herein. If other units are used, the dimensional laboratory testing.
correctness of the equations shall be confirmed.
4.4.5 Depth
4.4.3 Design Terminology 4.4.5.1 Minimum Embedment and Bench Width
Refer to Figure 4.4.3A for terminology used in the de- Footings not otherwise founded on sound, non-de-
sign of spread footing foundations. gradeable rock surfaces shall be embedded a sufficient
FIGURE 4.4.3A Design Terminology for Spread Footing Foundations
4.4.5.1 DIVISION I—DESIGN 49
depth to provide adequate bearing, scour and frost heave vented by properly designed, graded soil filters or geotex-
protection, or 2 feet to the bottom of footing, whichever is tile drainage systems.
greatest. For footings constructed on slopes, a minimum
horizontal distance of 4 feet, measured at the top of foot- 4.4.6 Anchorage
ing, shall be provided between the near face of the foot-
ing and the face of the finished slope. Footings founded on inclined, smooth rock surfaces
and which are not restrained by an overburden of resistant
material shall be effectively anchored by means of rock
4.4.5.2 Scour Protection anchors, rock bolts, dowels, keys, benching or other suit-
able means. Shallow keying or benching of large footing
Footings supported on soil or degradable rock strata areas shall be avoided where blasting is required for rock
shall be embedded below the maximum computed scour removal.
depth or protected with a scour countermeasure. Footings
supported on massive, competent rock formations which
are highly resistant to scour shall be placed directly on the 4.4.7 Geotechnical Design on Soil
cleaned rock surface. Where required, additional lateral
resistance should be provided by drilling and grouting Spread footings on soil shall be designed to support the
steel dowels into the rock surface rather than blasting to design loads with adequate bearing and structural capac-
embed the footing below the rock surface. ity, and with tolerable settlements in conformance with
Footings on piles may be located above the lowest an- Articles 4.4.7 and 4.4.11. In addition, the capacity of
ticipated scour level provided the piles are designed for footings subjected to seismic and dynamic loads, shall
this condition. Assume that only one-half of the maximum be evaluated in conformance with Articles 4.4.7.3 and
anticipated scour has occurred when designing for earth- 4.4.10.
quake loading. Where footings on piles are subject to The location of the resultant of pressure (R) on the base
damage by boulders or debris during flood scour, ade- of the footings shall be maintained within B/6 of the cen-
quate protection shall be provided. Footings shall be con- ter of the footing.
structed so as to neither pose an obstacle to water traffic
nor be exposed to view during low flow. 4.4.7.1 Bearing Capacity
4.4.5.3 Footing Excavations The ultimate bearing capacity (for general shear fail-
ure) may be estimated using the following relationship for
Footing excavations below the ground water table, par- continuous footings (i.e., L 5B):
ticularly in granular soils having relatively high perme-
ability, shall be made such that the hydraulic gradient in qult cNc 0.5BN qNq (4.4.7.1-1)
the excavation bottom is not increased to a magnitude that
would cause the foundation soils to loosen or soften due The allowable bearing capacity shall be determined
to the upward flow of water. Further, footing excavations as:
shall be made such that hydraulic gradients and material
removal do not adversely affect adjacent structures. Seep- qall qult/FS (4.4.7.1-2)
age forces and gradients may be evaluated by flow net
procedures or other appropriate methods. Dewatering or Refer to Table 4.4.7.1A for values of Nc, N, and Nq.
cutoff methods to control seepage shall be used where If local or punching shear failure is possible, the value
necessary. of qult may be estimated using reduced shear strength pa-
Footing excavations in nonresistant, easily weathered rameters c* and * in Equation (4.4.7.1-1) as follows:
moisture sensitive rocks shall be protected from weather-
ing immediately after excavation with a lean mix concrete c* 0.67c (4.4.7.1-3)
or other approved materials.
* tan1 (0.67tan ) (4.4.7.1-4)
4.4.5.4 Piping Effective stress methods of analysis and drained shear

strength parameters shall be used to determine bearing
Piping failures of fine materials through rip-rap or capacity factors for drained loading conditions in all soils.
through drainage backfills behind abutments shall be pre- Additionally, the bearing capacity of cohesive soils shall
50 HIGHWAY BRIDGES 4.4.7.1
TABLE 4.4.7.1A Bearing Capacity Factors
be checked for undrained loading conditions using bear- calculate the ultimate load capacity of the footing. The re-
ing capacity factors based on undrained shear strength duced footing dimensions shall be determined as follows:
parameters.
B B 2eB (4.4.7.1.1.1-1)
4.4.7.1.1 Factors Affecting Bearing Capacity
A modified form of the general bearing capacity equa- L L 2eL (4.4.7.1.1.1-2)
tion may be used to account for the effects of footing
shape, ground surface slope, base inclination, and inclined The effective footing area shall be determined as
loading as follows: follows:
qult cNcscbcic 0.5BNsbi qNqsqbqiq A BL (4.4.7.1.1.1-3)
(4.4.7.1.1-1) Refer to Figure 4.4.7.1.1.1A for loading definitions and

footing dimensions.
Reduced footing dimensions shall be used to account The value of qult obtained using the reduced footing di-
for the effects of eccentric loading. mensions represents an equivalent uniform bearing pres-
sure and not the actual contact pressure distribution be-
4.4.7.1.1.1 Eccentric Loading
neath the footing. This equivalent pressure may be
For loads eccentric relative to the centroid of the foot- multiplied by the reduced area to determine the ultimate
ing, reduced footing dimensions (B and L) shall be used load capacity of the footing from the standpoint of bear-
to determine bearing capacity factors and modifiers (i.e., ing capacity. The actual contact pressure distribution (i.e.,
slope, footing shape, and load inclination factors), and to trapezoidal for the conventional assumption of a rigid
4.4.7.1.1.1 DIVISION I—DESIGN 51
footing and a positive pressure along each footing edge) ic 1 (nP/BLcNc) (for 0) (4.4.7.1.1.3-2)
shall be used for structural design of the footing.
The actual distribution of contact pressure for a rigid iq [1 P/(Q BLc cot)]n (4.4.7.1.1.3-3)
footing with eccentric loading about one axis is shown
in Figure 4.4.7.1.1.1B. For an eccentricity (eL) in the L i [1 P/(Q BLc cot)](n 1) (4.4.7.1.1.3-4)
direction, the actual maximum and minimum contact
pressures may be determined as follows: n [(2 L/B)/(1 L/B)]cos2
[(2 B/L)/(1 B/L)]sin2 (4.4.7.1.1.3-5)
for eL L/6:
Refer to Figure 4.4.7.1.1.1A for loading definitions and
qmax Q[1 (6eL/L)]/BL (4.4.7.1.1.1-4) footing dimensions. For cases in which the loading is ec-
centric, the terms L and B shall be replaced by L and B,
qmin Q[1 (6eL/L)]/BL (4.4.7.1.1.1-5) respectively, in the above equations.
Failure by sliding shall be considered by comparing
for L/6 eL L/2: the tangential component of force on the footing (P) to the
maximum resisting force (Pmax) by the following:
qmax 2Q/(3B[L/2) eL]) (4.4.7.1.1.1-6)
Pmax Qtan BLca (4.4.7.1.1.3-6)
qmin 0 (4.4.7.1.1.1-7)
FS Pmax/P 1.5 (4.4.7.1.1.3-7)
L1 3[(L/2) eL] (4.4.7.1.1.1-8)
In determining Pmax, the effect of passive resistance
For an eccentricity (e
) in the B direction, the maxi- provided by footing embedment shall be ignored, and BL
mum and minimum contact pressures may be determined shall represent the actual footing area in compression as
using Equations 4.4.7.1.1.1-4 through 4.4.7.1.1.1-8 by re- shown in Figure 4.4.7.1.1.1B or Figure 4.4.7.1.1.1C.
placing terms labeled L by B, and terms labeled B by L.
Footings on soil shall be designed so that the eccen-
4.4.7.1.1.4 Ground Surface Slope
tricity of loading is less than 1⁄6 of the footing dimension
in any direction. For footings located on slopes or within 3B of a slope
crest, qult may be determined using the following revised
4.4.7.1.1.2 Footing Shape version of Equation 4.4.7.1.1-1:
For footing shapes other than continuous footings (i.e., qult cNcqscbcic 0.5BNqsbi (4.4.7.1.1.4-1)
L 5B), the following shape factors shall be applied to
Equation 4.4.7.1.1-1: Refer to Figure 4.4.7.1.1.4A for values of Ncq and Nq
for footings on slopes and Figures 4.4.7.1.1.4B for values
sc 1 (B/L) (Nq/Nc) (4.4.7.1.1.2-1) of Ncq and Nq for footings at the top of slopes. For foot-
ings in or above cohesive soil slopes, the stability number
sq 1 (B/L) tan (4.4.7.1.1.2-2) in the figures, Ns, is defined as follows:
s 1 0.4 (B/L) (4.4.7.1.1.2-3) Ns Hs/c (4.4.7.1.1.4-2)
For circular footings, B equals L. For cases in which Overall stability shall be evaluated for footings on or
the loading is eccentric, the terms L and B shall be re- adjacent to sloping ground surfaces as described in Arti-
placed by L and B, respectively, in the above equations. cle 4.4.9.
4.4.7.1.1.3 Inclined Loading 4.4.7.1.1.5 Embedment Depth

For inclined loads, the following inclination factors The shear strength of soil above the base of footings is
shall be applied in Equation 4.4.7.1.1-1: neglected in determining qult using Equation 4.4.7.1.1-1.
If other procedures are used, the effect of embedment
ic iq [(1 iq)/Nc tan ] (for 0) shall be consistent with the requirements of the procedure
(4.4.7.1.1.3-1) followed.
52 HIGHWAY BRIDGES 4.4.7.1.1.5
FIGURE 4.4.7.1.1.1A Definition Sketch for Loading and Dimensions for Footings
Subjected to Eccentric or Inclined Loads
Modified after EPRI (1983)
FIGURE 4.4.7.1.1.1B Contact Pressure for Footing Loaded Eccentrically About One Axis
FIGURE 4.4.7.1.1.1C Contact Pressure for Footing Loaded Eccentrically About Two Axes
Modified after AREA (1980)
FIGURE 4.4.7.1.1.4A Modified Bearing Capacity Factors for Footing on Sloping Ground
Modified after Meyerhof (1957)
FIGURE 4.4.7.1.1.4B Modified Bearing Capacity Factors for Footing Adjacent Sloping Ground
Modified after Meyerhof (1957)
4.4.7.1.1.6 Ground Water (2D zw)(zwm/D2) (/D2)(D zw)2

Ultimate bearing capacity shall be determined using (4.4.7.1.1.6-4)
the highest anticipated ground water level at the footing
location. The effect of ground water level on the ultimate D 0.5Btan(45° /2)
bearing capacity shall be considered by using a weighted (4.4.7.1.1.6-5)
average soil unit weight in Equation 4.4.7.1.1-1. If
37°, the following equations may be used to determine the
weighted average unit weight: 4.4.7.1.1.7 Layered Soils
If the soil profile is layered, the general bearing capac-
for zw B: use m (no effect) (4.4.7.1.1.6-1) ity equation shall be modified to account for differences
in failure modes between the layered case and the homo-
for zw B: use (zw/B)(m ) geneous soil case assumed in Equation 4.4.7.1.1-1.
(4.4.7.1.1.6-2)
Undrained Loading
for zw 0: use (4.4.7.1.1.6-3) For undrained loading of a footing supported on the
Refer to Figure 4.4.7.1.1.6A for definition of terms upper layer of a two-layer cohesive soil system, qult may
used in these equations. If 37°, the following equa- be determined by the following:
tions may be used to determine the weighted average unit
weight: qult c1Nm q (4.4.7.1.1.7-1)
FIGURE 4.4.7.1.1.6A Definition Sketch for Influence of Ground Water Table on Bearing Capacity
Refer to Figure 4.4.7.1.1.7A for the definition of c1. For The subscripts 1 and 2 refer to the upper and lower
undrained loading, c1 equals the undrained soil shear layers, respectively. K (1 sin21)/(1 sin21)
strength sul, and 1 0. and q2 equals qult of a fictitious footing of the same size and
If the bearing stratum is a cohesive soil which overlies shape as the actual footing but supported on the
a stiffer cohesive soil, refer to Figure 4.4.7.1.1.7B to de- second (or lower) layer. Reduced shear strength values shall
termine Nm. If the bearing stratum overlies a softer layer, be used to determine q2 in accordance with Article 4.4.7.1.
punching shear should be assumed and Nm may be calcu- If the upper layer is a cohesionless soil and equals
lated by the following: 25° to 50°, Equation 4.4.7.1.1.7-3 reduces to
Nm (1/
m scNc) scNc (4.4.7.1.1.7-2) qult q2 exp{0.67[1 (B/L)]H/B} (4.4.7.1.1.7-4)
Drained Loading
The critical depth of the upper layer beyond which the
For drained loading of a footing supported on a strong bearing capacity will generally be unaffected by the pres-
layer overlying a weak layer in a two-layer system, qult ence of the lower layer is given by the following:
may be determined using the following:
Hcrit [3B1n(q1/q2)]/[2(1 B/L)] (4.4.7.1.1.7-5)
qult [q2 (1/K)c1cot1] exp{2[1
(B/L)]Ktan1(H/B)} (1/K)c1 cot1
In the equation, q1 equals the bearing capacity of the
(4.4.7.1.1.7-3) upper layer assuming the upper layer is of infinite extent.
FIGURE 4.4.7.1.1.7B Modified Bearing Capacity Factor for

FIGURE 4.4.7.1.1.7A Two-Layer Cohesive Soil with Softer Soil Overlying
Typical Two-Layer Soil Profiles Stiffer Soil EPRI (1983)
4.4.7.1.1.8 Inclined Base St Se Sc Ss (4.4.7.2-1)

Footings with inclined bases are generally not recom-
Elastic settlement shall be determined using the unfac-
mended. Where footings with inclined bases are neces-
tored dead load, plus the unfactored component of live
sary, the following factors shall be applied in Equation
and impact loads assumed to extend to the footing level.
4.4.7.1.1-1:
Consolidation and secondary settlement may be deter-
mined using the full unfactored dead load only.
bq b (1 tan)2 (4.4.7.1.1.8-1)
Other factors which can affect settlement (e.g., em-
bc b (1 b)/(Nctan) (for 0) bankment loading, lateral and/or eccentric loading, and
for footings on granular soils, vibration loading from dy-
(4.4.7.1.1.8-2) namic live loads or earthquake loads) should also be con-
sidered, where appropriate. Refer to Gifford, et al., (1987)
bc 1 [2/( 2)] (for 0) for general guidance regarding static loading conditions
(4.4.7.1.1.8-3) and Lam and Martin (1986) for guidance regarding dy-
namic/seismic loading conditions.
Refer to Figure 4.4.7.1.1.8A for definition sketch.
Where footings must be placed on sloping surfaces,
refer to Article 4.4.6 for anchorage requirements.
4.4.7.2.1 Stress Distribution
4.4.7.1.2 Factors of Safety Figure 4.4.7.2.1A may be used to estimate the distri-
Spread footings on soil shall be designed for Group 1 bution of vertical stress increase below circular (or
loadings using a minimum factor of safety (FS) of 3.0 square) and long rectangular footings (i.e., where L
against a bearing capacity failure. 5B). For other footing geometries, refer to Poulos and
Davis (1974).
4.4.7.2 Settlement Some methods used for estimating settlement of foot-
ings on sand include an integral method to account for the
The total settlement includes elastic, consolidation, effects of vertical stress increase variations. Refer to Gif-
and secondary components and may be determined using ford, et al., (1987) for guidance regarding application of
the following: these procedures.
FIGURE 4.4.7.1.1.8A Definition Sketch for Footing Base Inclination
58 HIGHWAY BRIDGES 4.4.7.2.2
4.4.7.2.2 Elastic Settlement termined at a depth of about 1⁄ 2 to 2⁄ 3 of B below the foot-

ing. If the soil modulus varies significantly with depth, a
The elastic settlement of footings on cohesionless
weighted average value of Es may be used.
soils and stiff cohesive soils may be estimated using the
Refer to Gifford, et al., (1987) for general guidance re-
following:
garding the estimation of elastic settlement of footings on
sand.
Se [qo(1 2)A
]/Es
z (4.4.7.2.2-1)
Refer to Table 4.4.7.2.2A for approximate values of Es

4.4.7.2.3 Consolidation Settlement
and for various soil types, and Table 4.4.7.2.2B for val-
ues of
z for various shapes of flexible and rigid footings. The consolidation settlement of footings on saturated
Unless Es varies significantly with depth, Es should be de- or nearly saturated cohesive soils may be estimated using
FIGURE 4.4.7.2.1A Boussinesg Vertical Stress Contours for Continuous and Square Footings
Modified after Sowers (1979)
4.4.7.2.3 DIVISION I—DESIGN 59
TABLE 4.4.7.2.2A Elastic Constants of Various Soils

Modified after U.S. Department of the Navy (1982) and Bowles (1982)
TABLE 4.4.7.2.2B Elastic Shape and Rigidity

Factors EPRI (1983)
the following when laboratory test results are expressed in

terms of void ratio (e):
• For initial overconsolidated soils (i.e., p 0):
Sc [Hc /(1 eo)][(Ccr log{p/o}

Cc log{f/p})] (4.4.7.2.3-1)
• For initial normally consolidated soils (i.e., p

o):
Sc [Hc /(1 eo)][Cclog(f/p)] (4.4.7.2.3-2)
If laboratory test results are expressed in terms of ver-

tical strain (v), consolidation settlement may be estimated
FIGURE 4.4.7.2.3A Typical Consolidation
using the following:
Compression Curve for Overconsolidated Soil—
Void Ratio Versus Vertical Effective Stress
• For initial overconsolidated soils (i.e., p o): EPRI (1983)
Sc Hc[Crelog(p/o) Cce log(f/p)]

(4.4.7.2.3-3)
• For initial normally consolidated soils (i.e., p

o):
Sc HcCcelog(f/p) (4.4.7.2.3-4)
Refer to Figures 4.4.7.2.3A and 4.4.7.2.3B for the de-

finition of terms used in the equations.
To account for the decreasing stress with increased
depth below a footing, and variations in soil compress-
ibility with depth, the compressible layer should be di-
vided into vertical increments (i.e., typically 5 to 10 feet
for most normal width footings for highway applications),
FIGURE 4.4.7.2.3B Typical Consolidation
and the consolidation settlement of each increment ana-
Compression Curve for Overconsolidated Soil—
lyzed separately. The total value of Sc is the summation of Void Strain Versus Vertical Effective Stress
Sc for each increment.
If the footing width is small relative to the thickness
of the compressible soil, the effect of three-dimensional
(3-D) loading may be considered using the following:
Sc(3-D) µcSc(1-D) (4.4.7.2.3-5)
Refer to Figure 4.4.7.2.3C for values of µc.

The time (t) to achieve a given percentage of the total
estimated 1-D consolidation settlement may be estimated
using the following:
t THd2/cv (4.4.7.2.3-6)
Refer to Figure 4.4.7.2.3D for values of T for constant FIGURE 4.4.7.2.3C Reduction Factor to Account for
and linearly varying excess pressure distributions. See Effects of Three-Dimensional Consolidation Settlement
Winterkorn and Fang (1975) for values of T for other ex- EPRI (1983)
cess pressure distributions. Values of cv may be estimated (/) between adjacent footings. / shall be limited to
from the results of laboratory consolidation testing of 0.005 for simple span bridges and 0.004 for continuous
undisturbed soil samples or from in-situ measurements span bridges (Moulton, et al., 1985). These / limits are
using devices such as a piezoprobe or piezocone. not applicable to rigid frame structures. Rigid frames shall
be designed for anticipated differential settlements based
4.4.7.2.4 Secondary Settlement on the results of special analysis.
Tolerable movement criteria for horizontal foundations
Secondary settlement of footings on cohesive soil may
displacement shall be developed considering the potential
be estimated using the following:
effects of combined vertical and horizontal movement.
Where combined horizontal and vertical displacements
Ss CHclog(t2/t1) (4.4.7.2.4-1)
are possible, horizontal movements should be limited to 1
inch or less. Where vertical displacements are small, hor-
t1 is the time when secondary settlement begins (typi-
izontal displacements should be limited to 11⁄ 2 inch or less
cally at a time equivalent to 90-percent average degree of
(Moulton, et al. 1985). If estimated or actual movements
consolidation), and t2 is an arbitrary time which could rep-
exceed these levels, special analysis and/or measures to
resent the service life of the structure. Values of C may
limit movements should be considered.
be estimated from the results of consolidation testing of
undisturbed soil samples in the laboratory.
4.4.7.3 Dynamic Ground Stability
4.4.7.2.5 Tolerable Movement
Refer to Division I-A—Seismic Design and Lam and
Tolerable movement criteria (vertical and horizontal) Martin (1986a; 1986b) for guidance regarding the devel-
for footings shall be developed consistent with the func- opment of ground and seismic parameters and methods
tion and type of structure, anticipated service life, and used for evaluation of dynamic ground stability.
consequences of unacceptable movements on structure
performance. Foundation displacement analyses shall be 4.4.8 Geotechnical Design on Rock
based on the results of in-situ and/or laboratory testing to
characterize the load-deformation behavior of the foun- Spread footings supported on rock shall be designed to
dation soils. Displacement analyses should be conducted support the design loads with adequate bearing and struc-
to determine the relationship between estimated settle- tural capacity and with tolerable settlements in confor-
ment and footing bearing pressure to optimize footing size mance with Articles 4.4.8 and 4.4.11. In addition, the re-
with respect to supported loads. sponse of footings subjected to seismic and dynamic
Tolerable movement criteria for foundation settlement loading shall be evaluated in conformance with Article
shall be developed considering the angular distortion 4.4.10. For footings on rock, the location of the resultant
FIGURE 4.4.7.2.3D Percentage of Consolidation as a Function of Time Factor, T

EPRI (1983)
of pressure (R) on the base of footings shall be maintained Figure 4.4.8.1.1A (Peck, et al. 1974). In no instance shall
within B/4 of the center of the footing. the maximum allowable contact stress exceed the allow-
The bearing capacity and settlement of footings on able bearing stress in the concrete. The RQD used in Fig-
rock is influenced by the presence, orientation and condi- ure 4.4.8.1.1A shall be the average RQD for the rock
tion of discontinuities, weathering profiles, and other sim- within a depth of B below the base of the footing, where
ilar features. The methods used for design of footings on the RQD values are relatively uniform within that inter-
rock should consider these factors as they apply at a par- val. If rock within a depth of 0.5B below the base of the
ticular site, and the degree to which they should be incor- footing is of poorer quality, the RQD of the poorer rock
porated in the design. shall be used to determine qall.
For footings on competent rock, reliance on simple and
direct analyses based on uniaxial compressive rock 4.4.8.1.2 Footings on Broken or Jointed Rock
strengths and RQD may be applicable. Competent rock is
The design of footings on broken or jointed rock must
defined as a rock mass with discontinuities that are tight
account for the condition and spacing of joints and other
or open not wider than 1⁄ 8 inch. For footings on less com-
discontinuities. The ultimate bearing capacity of footings
petent rock, more detailed investigations and analyses
on broken or jointed rock may be estimated using the fol-
should be used to account for the effects of weathering,
lowing relationship:
the presence and condition of discontinuities, and other
geologic factors.
qult NmsCo (4.4.8.1.2-1)
4.4.8.1 Bearing Capacity
Refer to Table 4.4.8.1.2A for values of Nms. Values of
Co should preferably be determined from the results of
4.4.8.1.1 Footings on Competent Rock
laboratory testing of rock cores obtained within 2B of the
The allowable contact stress for footings supported on base of the footing. Where rock strata within this interval
level surfaces in competent rock may be determined using are variable in strength, the rock with the lowest capacity
FIGURE 4.4.8.1.1A Allowable Contact Stress for Footings on Rock with Tight Discontinuities
Peck, et al. (1974)
should be used to determine qult. Alternatively, Table mass characteristics must be made. For rock masses which
4.4.8.1.2B may be used as a guide to estimate Co. For have time-dependent settlement characteristics, the proce-
rocks defined by very poor quality, the value of qult should dure in Article 4.4.7.2.3 may be followed to determine the
be determined as the value of qult for an equivalent soil time-dependent component of settlement.
mass.
4.4.8.2.2 Footings on Broken or Jointed Rock
4.4.8.1.3 Factors of Safety Where the criteria for competent rock are not met, the
influence of rock type, condition of discontinuities and de-
Spread footings on rock shall be designed for Group 1
gree of weathering shall be considered in the settlement
loadings using a minimum factor of safety (FS) of 3.0
analysis.
against a bearing capacity failure.
The elastic settlement of footings on broken or jointed
rock may be determined using the following:
4.4.8.2 Settlement
4.4.8.2.1 Footings on Competent Rock • For circular (or square) footings;
For footings on competent rock, elastic settlements will qo (1 2)rI /Em, with I (
)/
z
generally be less than 1⁄ 2 inch when footings are designed
in accordance with Article 4.4.8.1.1. When elastic settle- (4.4.8.2.2-1)
ments of this magnitude are unacceptable or when the rock
is not competent, an analysis of settlement based on rock • For rectangular footings;
TABLE 4.4.8.1.2A Values of Coefficient Nms for Estimation of the Ultimate Bearing Capacity of Footings on
Broken or Jointed Rock (Modified after Hoek, (1983))
TABLE 4.4.8.1.2B Typical Range of Uniaxial Compressive Strength (Co) as a Function of

Rock Category and Rock Type
qo (1 2)BI /Em, with I (L/B)1/2/

z E 0.0231(RQD) 1.32 0.15 (4.4.8.2.2-4)
(4.4.8.2.2-2)
For preliminary design or when site-specific test data can-
not be obtained, guidelines for estimating values of Eo
Values of Ip may be computed using the
z values pre-
(such as presented in Table 4.4.8.2.2B or Figure
sented in Table 4.4.7.2.2B from Article 4.4.7.2.2 for rigid
4.4.8.2.2A) may be used. For preliminary analyses or for
footings. Values of Poisson’s ratio () for typical rock
final design when in-situ test results are not available, a
types are presented in Table 4.4.8.2.2A. Determination of
value of E 0.15 should be used to estimate Em.
the rock mass modulus (Em) should be based on the results
of in-situ and laboratory tests. Alternatively, values of Em
may be estimated by multiplying the intact rock modulus
(Eo) obtained from uniaxial compression tests by a reduc- Refer to Article 4.4.7.2.3.
tion factor (E) which accounts for frequency of disconti-
nuities by the rock quality designation (RQD), using the 4.4.9 Overall Stability
following relationships (Gardner, 1987):
The overall stability of footings, slopes, and founda-
Em EEo (4.4.8.2.2-3) tion soil or rock shall be evaluated for footings located on
TABLE 4.4.8.2.2A Summary of Poisson’s Ratio for Intact Rock

Modified after Kulhawy (1978)
TABLE 4.4.8.2.2B Summary of Elastic Moduli for Intact Rock

Modified after Kulhawy (1978)
FIGURE 4.4.8.2.2A Relationship Between Elastic Modulus and Uniaxial Compressive Strength for Intact Rock
Modified after Deere (1968)
or near a slope by limiting equilibrium methods of analy- 4.4.11 Structural Design

sis which employ the Modified Bishop, simplified Janbu,
Spenser or other generally accepted methods of slope sta- 4.4.11.1 Loads and Reactions
bility analysis. Where soil and rock parameters and
ground water levels are based on in-situ and/or laboratory 4.4.11.1.1 Action of Loads and Reactions
tests, the minimum factor of safety shall be 1.3 (or 1.5
where abutments are supported above a slope). Otherwise, Footings shall be considered as under the action of
the minimum factor of safety shall be 1.5 (or 1.8 where downward forces, due to the superimposed loads, resisted
abutments are supported above a retaining wall). by an upward pressure exerted by the foundation materi-
als and distributed over the area of the footings as deter-
mined by the eccentricity of the resultant of the downward
4.4.10 Dynamic/Seismic Design forces. Where piles are used under footings, the upward
reaction of the foundation shall be considered as a series
Refer to Division I-A and Lam and Martin (1986a; of concentrated loads applied at the pile centers, each pile
1986b) for guidance regarding the design of footings sub- being assumed to carry the computed portion of the total
jected to dynamic and seismic loads. footing load.
4.4.11.1.2 Isolated and Multiple Footing Reactions porting a column, pier, or wall. For footings supporting
a column or pier with metallic base plates, the critical
When a single isolated footing supports a column, pier
section shall be measured from the location defined in
or wall, the footing shall be assumed to act as a cantilever.
Article 4.4.11.2.
When footings support more than one column, pier, or
wall, the footing slab shall be designed for the actual con-
ditions of continuity and restraint. 4.4.11.3.2 Footings on Piles or Drilled Shafts
Shear on the critical section shall be in accordance with
4.4.11.2 Moments the following:
4.4.11.2.1 Critical Section • Entire reaction from any pile or drilled shaft whose
center is located dp /2 or more outside the critical
External moment on any section of a footing shall be
section shall be considered as producing shear on
determined by passing a vertical plane through the foot-
that section.
ing, and computing the moment of the forces acting over
• Reaction from any pile or drilled shaft whose center
the entire area of the footing on one side of that vertical
is located dp /2 or more inside the critical section
plane. The critical section for bending shall be taken at the
shall be considered as producing no shear on that
face of the column, pier, or wall. In the case of columns
section.
that are not square or rectangular, the section shall be
• For the intermediate position of pile or drilled shaft
taken at the side of the concentric square of equivalent
centers, the portion of the pile or shaft reaction to be
area. For footings under masonry walls, the critical sec-
considered as producing shear on the critical section
tion shall be taken halfway between the middle and edge
shall be based on linear interpolation between full
of the wall. For footings under metallic column bases, the
value at dp /2 outside the section and zero value at
critical section shall be taken halfway between the column
dp /2 inside the section.
face and the edge of the metallic base.
4.4.11.2.2 Distribution of Reinforcement

4.4.11.4 Development of Reinforcement
Reinforcement of one-way and two-way square foot-
ings shall be distributed uniformly across the entire width 4.4.11.4.1 Development Length
of footing.
Computation of development of reinforcement in
Reinforcement of two-way rectangular footings shall
footings shall be in accordance with Articles 8.24
be distributed uniformly across the entire width of footing
through 8.32.
in the long direction. In the short direction, the portion of
the total reinforcement given by Equation 4.4.11.2.2-1
shall be distributed uniformly over a band width (centered 4.4.11.4.2 Critical Section
on center line of column or pier) equal to the length of the Critical sections for development of reinforcement
short side of the footing. The remainder of reinforcement shall be assumed at the same locations as defined in Arti-
required in the short direction shall be distributed uni- cle 4.4.11.2 and at all other vertical planes where changes
formly outside the center band width of footing. in section or reinforcement occur. See also Article
8.24.1.5.
Reinforcement in band width 2
=
Total reinforcement in short direction (β + 1)
4.4.11.5 Transfer of Force at Base of Column
( 4.4.11.2.2 -1)

is the ratio of the footing length to width. 4.4.11.5.1 Transfer of Force
All forces and moments applied at base of column or
4.4.11.3 Shear pier shall be transferred to top of footing by bearing on
concrete and by reinforcement.
4.4.11.3.1 Critical Section
4.4.11.5.2 Lateral Forces
Computation of shear in footings, and location of crit-
ical section, shall be in accordance with Articles 8.15.5.6 Lateral forces shall be transferred to supporting foot-
or 8.16.6.6. Location of critical section shall be measured ing in accordance with shear-transfer provisions of Arti-
from the face of column, pier or wall, for footings sup- cles 8.15.5.4 or 8.16.6.4.
4.4.11.5.3 Bearing overall thickness minus 3 inches. Extreme fiber stress in

tension shall not exceed that specified in Article
Bearing on concrete at contact surface between sup-
8.15.2.1.1. Bending need not be considered unless pro-
porting and supported member shall not exceed concrete
jection of footing from face to support member exceeds
bearing strength for either surface as given in Articles
footing thickness.
8.15.2 or 8.16.7.
4.4.11.6.2 Pedestals
4.4.11.5.4 Reinforcement
The ratio of unsupported height to average least lateral
Reinforcement shall be provided across interface be-
dimension of plain concrete pedestals shall not exceed 3.
tween supporting and supported member either by ex-
tending main longitudinal reinforcement into footings or
by dowels. Reinforcement across interface shall be suffi-
4.5 DRIVEN PILES
cient to satisfy all of the following:
• Reinforcement shall be provided to transfer all force 4.5.1 General

that exceeds concrete bearing strength in supporting
or supported member. The provisions of this article shall apply to the design
• If required loading conditions include uplift, total of axially and laterally loaded driven piles in soil or ex-
tensile force shall be resisted by reinforcement. tending through soil to rock.
• Area of reinforcement shall not be less than 0.005
times gross area of supported member, with a mini- 4.5.1.1 Application
mum of four bars.
Piling may be considered when footings cannot be
4.4.11.5.5 Dowel Size founded on rock, or on granular or stiff cohesive soils
Diameter of dowels, if used, shall not exceed diameter within a reasonable depth. At locations where soil condi-
of longitudinal reinforcement by more than 0.15 inch. tions would normally permit the use of spread footings but
the potential for scour exists, piles may be used as a pro-
4.4.11.5.6 Development Length tection against scour. Piles may also be used where an un-
acceptable amount of settlement of spread footings may
For transfer of force by reinforcement, development of occur.
reinforcement in supporting and supported member shall
be in accordance with Articles 8.24 through 8.32.
4.5.1.2 Materials
4.4.11.5.7 Splicing
Piles may be structural steel sections, steel pipe, pre-
At footings, No. 14 and 18 main longitudinal rein- cast concrete, cast-in-place concrete, prestressed con-
forcement, in compression only, may be lap spliced with crete, timber, or a combination of materials. In every case,
footing dowels to provide the required area, but not less materials shall be supplied in accordance with the provi-
than that required by Article 4.4.11.5.4. Dowels shall not sions of this article.
be larger than No. 11 and shall extend into the column a
distance of not less than the development length of the No.
4.5.1.3 Penetration
14 or 18 bars or the splice length of the dowels, whichever
is greater; and into the footing a distance of not less than
Pile penetration shall be determined based on vertical
the development length of the dowels.
and lateral load capacities of both the pile and subsurface
materials. In general, the design penetration for any pile
shall be not less than 10 feet into hard cohesive or dense
4.4.11.6 Unreinforced Concrete Footings
granular material nor less than 20 feet into soft cohesive
or loose granular material. Where the depth to dense ma-
4.4.11.6.1 Design Stress
terial or rock is less than 10 feet, spread footings should
Design stresses in plain concrete footings or pedestals be considered. Piles for trestle or pile bents shall meet the
shall be computed assuming a linear stress distribution. above requirements and, additionally, unless refusal is en-
For footings and pedestals cast against soil, effective countered, shall penetrate not less than 1⁄ 3 the unsupported
thickness used in computing stresses shall be taken as the length of the pile.
4.5.1.4 Lateral Tip Restraint 4.5.2 Pile Types
No piling shall be used to penetrate a soft or loose Piles shall be classified as “friction” or “end bearing”
upper stratum overlying a hard or firm stratum unless the or a combination of both according to the manner in
piles penetrate the hard or firm stratum by a sufficient dis- which load transfer is developed.
tance to fix the ends against lateral movement of the pile
tip. Driving points or shoes may be necessary to accom-
4.5.2.1 Friction Piles
plish this penetration.
A pile shall be considered to be a friction pile if the
4.5.1.5 Estimated Lengths
major portion of support capacity is derived from soil re-
sistance mobilized along the side of the embedded pile.
Estimated pile lengths for each substructure shall be
shown on the plans and shall be based upon careful eval-
uation of available subsurface information, static and lat- 4.5.2.2 End Bearing Piles
eral capacity calculations, and/or past experience.
A pile shall be considered to be an end bearing pile if
4.5.1.6 Estimated and Minimum Tip Elevation the major portion of support capacity is derived from the
resistance of the foundation material on which the pile tip
Estimated and minimum pile tip elevations for each rests.
substructure should be shown on the contract plans. Esti-
mated pile tip elevations shall reflect the elevation where
4.5.2.3 Combination Friction and End Bearing
the required ultimate pile capacity can be obtained. Min-
Piles
imum pile tip elevations shall reflect the penetration re-
quired to support lateral pile loads (including scour con-
Under certain soil conditions and for certain pile ma-
siderations where appropriate) and/or penetration of
terials, the bearing capacity of a pile may be considered as
overlying, unsuitable soil strata.
the sum of the resistance mobilized on the embedded shaft
and that developed at the pile tip, even though the forces
4.5.1.7 Piles Through Embankment Fill that are mobilized simultaneously are not necessarily
maximum values.
Piles to be driven through embankments shall pene-
trate a minimum of 10 feet through original ground unless
refusal on bedrock or competent bearing strata occurs at a 4.5.2.4 Batter Piles
lesser penetration. Fill used for embankment construction
shall be a select material which shall not obstruct pile pen- When the lateral resistance of the soil surrounding the
etration to the required depth. The maximum size of any piles is inadequate to counteract the horizontal forces
rock particles in the fill shall not exceed 6 inches. Pre- transmitted to the foundation, or when increased rigidity
drilling or spudding pile locations may be required, par- of the entire structure is required, batter piles should be
ticularly for displacement piles. used in the foundation. Where negative skin friction loads
are expected, batter piles should be avoided, and an alter-
4.5.1.8 Test Piles nate method of providing lateral restraint should be used.
Test piles shall be considered for each substructure unit 4.5.3 Notations
(See Article 7.1.1 for definition of substructure unit) to de-
termine pile installation characteristics, evaluate pile ca- The following notations shall apply for the design of
pacity with depth and to establish contractor pile order driven pile foundations:
lengths. Piles may be tested by static loading, dynamic
testing, conducting driveability studies, or a combination As Area of pile circumference (ft2)
thereof, based upon the knowledge of subsurface condi- At Area of pile tip (ft2)
tions. The number of test piles required may be increased B Pile diameter or width (ft)
in non-uniform subsurface conditions. Test piles may not fc Concrete compression strength (ksi)
be required where previous experience exists with the fpe Concrete compression stress due to prestressing
same pile type and ultimate pile capacity in similar sub- after all losses (ksi)
surface conditions. FS Factor of safety (dim)
Fy Yield strength of steel (ksi) The allowable design axial capacity shall be deter-
L Pile length (ft) mined from:
Qall Design capacity (k)
QS Ultimate shaft resistance (k) Qall Qult/FS (4.5.6.1-2)
QT Ultimate tip resistance (k)
Qult Ultimate pile capacity (k) 4.5.6.1.1 Factors Affecting Axial Capacity
rs Unit side resistance (ksi)
In determining the design axial capacity, consideration
Rs Side resistance (k)
shall be given to:
rt Unit tip resistance (ksi)
Rt Tip resistance (k)
• The difference between the supporting capacity of a
Percentage of reinforcement (dim)
single pile and that of a group of piles;
a Allowable stress (ksi)
• The capacity of an underlying strata to support the
load of the pile group;
The notations for dimension units include the follow- • The effects of driving piles on adjacent structures or
ing: dim Dimensionless; ft foot; square feet ft2; slopes;
k kip; ksi kip/in.2; and in. inch. The dimensional • The possibility of scour and its effect on axial and
units provided with each notation are presented for illus- lateral capacity;
tration only to demonstrate a dimensionally correct com- • The effects of negative skin friction or downdrag
bination of units for the footing capacity procedures pre- loads from consolidating soil and the effects of up-
sented herein. If other units are used, the dimensional lift loads from expansive or swelling soils;
correctness of the equations shall be confirmed. • The influence of construction techniques such as
augering or jetting on capacity; and
4.5.4 Design Terminology • The influence of fluctuations in the elevation of the
ground water table on capacity.
Refer to Figure 4.5.4A for terminology used in the de-
sign of driven pile foundations. 4.5.6.1.2 Axial Capacity in Cohesive Soils
The ultimate axial capacity of piles in cohesive soils
4.5.5 Selection of Soil and Rock Properties
may be calculated using a total stress method (e.g., Tom-
linson, 1957) for undrained loading conditions, or an ef-
Soil and rock properties defining the strength and com-
fective stress method (e.g., Meyerhof, 1976) for drained
pressibility characteristics of the foundation materials, are
loading conditions. The axial capacity may also be calcu-
required for driven pile design. Refer to Article 4.3 for
lated from in-situ testing methods such as the cone pene-
guidelines for subsurface exploration to obtain soil and
tration (e.g., Schmertmann, 1978) or pressuremeter tests
rock properties.
(e.g., Baguelin, 1978).
4.5.6 Selection of Design Pile Capacity 4.5.6.1.3 Axial Capacity in Cohesionless Soils
The design pile capacity is the maximum load the The ultimate axial capacity of piles in cohesionless
pile shall support with tolerable movement. In determin- soils may be calculated using an empirical effective stress
ing the design pile capacity, the following items shall be method (e.g., Nordlund, 1963) or from in-situ testing
considered: methods and analysis such as the cone penetration (e.g.,
Schmertmann, 1978) or pressuremeter tests (e.g.,
• Ultimate geotechnical capacity; and Baguelin, 1978).
• Structural capacity of the pile section.
4.5.6.1.4 Axial Capacity on Rock
4.5.6.1 Ultimate Geotechnical Capacity For piles driven to competent rock, the structural ca-
pacity in Article 4.5.7 will generally govern the design
The ultimate axial capacity of a driven pile shall be de- axial capacity. For piles driven to weak rock such as shale
termined from: and mudstone or poor quality weathered rock, a static load
test is recommended. Pile relaxation should be considered
Qult QS QT (4.5.6.1-1) in certain kinds of rock when performing load tests.
FIGURE 4.5.4A Design Terminology for Driven Pile Foundations
4.5.6.2 Factor of Safety Selection 4.5.6.3 Settlement
The selection of the factor of safety to be applied to The settlement of axially loaded piles and pile groups
the ultimate axial geotechnical capacity shall consider at the allowable loads shall be estimated. Elastic analysis,
the reliability of the ultimate soil capacity determination load transfer and/or finite element techniques (e.g., Vesic,
and pile installation control. Recommended values for 1977 or Poulos and Davis, 1980) may be used. The set-
the factor of safety depending upon the degree of con- tlement of the pile or pile group shall not exceed the tol-
struction control specified on the plans are presented in erable movement limits of the structure.
Table 4.5.6.2A. All factors of safety are based on full-
time observation of pile installation. The design pile ca- 4.5.6.4 Group Pile Loading
pacity shall be specified on the plans so the factor of
safety can be adjusted if the specified construction con- Group pile capacity should be determined as the prod-
trol is altered. uct of the group efficiency, number of piles in the group,
TABLE 4.5.6.2A Recommended Factor of Safety on 4.5.6.6.2 Pile Group

Ultimate Geotechnical Capacity Based on Specified
Construction Control The uplift design capacity for a pile group shall be the
lesser of: (1) The single pile uplift design capacity multi-
Increasing Construction plied by the number of piles in the group, or (2) two-thirds
Control of the effective weight of the pile group and the soils con-
(1)
tained within a block defined by the perimeter of the
Subsurface exploration X X X X X
Static calculation X X X X X group and the embedded length of the piles, or (3) one-
Dynamic formula X half the effective weight of the pile group and the soil con-
Wave equation X X X X tained within a block defined by the perimeter of the
Dynamic measurement X X
and analysis group and the embedded pile length plus one-half the total
Static load test X X soil shear on the peripheral surface of the group.
Factor of safety 3.50 2.75 2.25 (2)
2.00 1.90
X Construction Control Specified on Contract Plans.

(1) 4.5.6.7 Vertical Ground Movement
(2)
For any combination of construction control that includes an
approved static load test, a factor of safety of 2.0 may be used.
The potential for external loading on a pile by vertical
ground movements shall be considered as part of the de-
sign. Vertical ground movements may result in negative
and the capacity of a single pile. In general, a group effi- skin friction or downdrag loads due to settlement of com-
ciency value of 1.0 should be used except for friction piles pressible soils or may result in uplift loads due to heave of
in cohesive soils. The efficiency factor for friction piles in expansive soils. For design purposes, the full magnitude
cohesive soils with a center-to-center pile spacing less of maximum vertical ground movement shall be assumed.
than 3.0B should be 0.7. Center-to-center pile spacings
less than 2.5B are not recommended. 4.5.6.7.1 Negative Skin Friction
The potential for external loading on a pile by negative
4.5.6.5 Lateral Loads on Piles skin friction/downdrag due to settlement of compressible
soil shall be considered as a part of the design. Evaluation
The design of laterally loaded piles is usually governed of negative skin friction shall include a load-transfer
by lateral movement criteria. The design of laterally method of analysis to determine the neutral point (i.e.,
loaded piles shall account for the effects of soil/rock- point of zero relative displacement) and load distribution
structure interaction between the pile and ground (e.g., along shaft (e.g., Fellenius, 1984, Reese and O’Neill,
Reese, 1984). Methods of analysis evaluating the ultimate 1988). Due to the possible time dependence associated
capacity or deflection of laterally loaded piles (e.g., with vertical ground movement, the analysis shall con-
Broms, 1964a and 1964b; Singh, et al., 1971) may be used sider the effect of time on load transfer between the
for preliminary design only as a means to evaluate appro- ground and shaft and the analysis shall be performed for
priate pile sections. the time period relating to the maximum axial load trans-
fer to the pile. If necessary, negative skin friction loads
4.5.6.6 Uplift Loads on Piles that cause excessive settlement may be reduced by appli-
cation of bitumen or other viscous coatings to the pile sur-
The uplift design capacity of single piles and pile faces before installation.
groups shall be determined in accordance with Articles
4.5.6.6.1 and 4.5.6.6.2, respectively. Proper provision 4.5.6.7.2 Expansive Soil
shall be made for anchorage of the pile into the pile cap.
Piles driven in swelling soils may be subjected to up-
lift forces in the zone of seasonal moisture change. Piles
4.5.6.6.1 Single Pile
shall extend a sufficient distance into moisture—stable
The uplift design capacity for a single pile shall not ex- soils to provide adequate resistance to swelling uplift
ceed one-third of the ultimate frictional capacity deter- forces. In addition, sufficient clearance shall be provided
mined by a static analysis method. Alternatively, the uplift between the ground surface and the underside of pile caps
capacity of a single pile can be determined by uplift load or grade beams to preclude the application of uplift loads
tests in conformance with ASTM D 3689 (ASTM, 1988). at the pile cap. Uplift loads may be reduced by application
If determined by load tests, the allowable uplift design ca- of bitumen or other viscous coatings to the pile surface in
pacity shall not exceed 50% of the failure uplift load. the swelling zone.
4.5.6.8 Dynamic/Seismic Design TABLE 4.5.7.3A Allowable Working Stress for

Round Timber Piles
Refer to Division I-A for guidance regarding the design
of driven piles subjected to dynamic and seismic loads. Allowable Unit Working
Stress Compression
Parallel to Grain for
4.5.7 Structural Capacity of Pile Section
Normal Duration of
Species Loading a (psi)
4.5.7.1 Load Capacity Requirements
Ash, white 1,200
Piles shall be designed as structural members capable Beech 1,300
of safely supporting all loads imposed on them by the Birch 1,300
structure or surrounding soil. Chestnut , 900
Cypress, Southern 1,200
Cypress, Tidewater red 1,200
4.5.7.2 Piles Extending Above Ground Surface
Douglas Fir, coast type 1,200
Douglas Fir, inland 1,100
For portions of piles in air or water, or in soil not ca- Elm, rock 1,300
pable of providing adequate lateral support throughout the Elm, soft , 850
pile length to prevent buckling, the structural design pro- Gum, black and red , 850
visions for compression members of Sections 8, 9, 10, and Hemlock, Eastern , 800
13 shall apply except: timber piles shall be designed in ac- Hemlock, West Coast 1,000
cordance with Article 13.5 using the allowable unit Hickory 1,650
stresses given in Article 13.2 for lumber and in Table Larch 1,200
4.5.7.3A. Maple, hard 1,300
Oak, red and white 1,100
Pecan 1,650
4.5.7.3 Allowable Stresses in Piles
Pine, Lodgepole , 800
Pine, Norway , 850
The maximum allowable stress on a pile shall not ex- Pine, Southern 1,200
ceed the following limits in severe subsurface conditions. Pine, Southern, dense 1,400
Where pile damage or deterioration is possible, it may be Poplar, yellow , 800
prudent to use a lower stress level than the maximum al- Redwood 1,100
lowable stress. Spruce, Eastern , 850
Tupelo , 850
• For steel H-piles, the maximum allowable stress
shall not exceed 0.25Fy over the cross-sectional area
of the pile, not including the area of any tip rein-
forcement. The maximum allowable stress may be • For precast concrete piles, the maximum allowable
increased to 0.33Fy in conditions where pile damage stress shall not exceed 0.33fc on the gross cross-sec-
is unlikely. Static and/or dynamic load test and eval- tional area of the concrete.
uation confirming satisfactory results should be per- • For prestressed concrete piles fully embedded in
formed when using 0.33Fy. soils providing lateral support, the maximum allow-
• For unfilled steel pipe piles, the maximum allowable able stress shall not exceed 0.33fc 0.27fpe on the
stress shall not exceed 0.25Fy over the minimum gross cross-sectional area of the concrete.
cross-sectional area of the pile. The maximum al- • For round timber piles, the maximum allowable
lowable stress may be increased to 0.33Fy in condi- stress shall not exceed the values in Table 4.5.7.3A
tions where pile damage is unlikely. Static and/or for the pile tip area. For sawn timber piles, the val-
dynamic load test and evaluation confirming satis- ues applicable to “wet condition” for allowable com-
factory results should be performed when using pression parallel to grain shall be used in accordance
0.33Fy. with Article 13.2.
• For concrete filled steel pipe piles, the maximum
allowable stress shall not exceed 0.25Fy 0.40fc 4.5.7.4 Cross-Section Adjustment for Corrosion
applied over the cross-sectional area of the steel
pipe and on the cross-sectional area of the concrete, For concrete-filled pipe piles where corrosion may be
respectively. expected, 1⁄ 16 inch shall be deducted from the shell thick-
ness to allow for reduction in section due to corrosion.

Steel piles 0.90Fy (Compression)
Area of shell shall be included in determining percentage
0.90Fy (Tension)
of reinforcement, .
Concrete piles 0.85fc (Compression)
0.70Fy of Steel Reinforcement
4.5.7.5 Scour (Tension)
Prestressed concrete piles 0.85fc fpe (Compression)
The probable depth of scour shall be determined by Normal environments 3 fc fpe (Tension)
subsurface exploration and hydraulic studies as described (fc and fpe must be in psi.
in Article 4.3.5. If heavy scour is expected, consideration The resulting max stress
shall be given to designing the portion of the pile that is also in psi.)
would be exposed as a column. In all cases, the pile length Severe corrosive
shall be determined such that the design structural load environments fpe (Tension)
may be safely supported entirely below the probable scour Timber piles 3a (Compression)
depth. The pile shall be of adequate cross-section to with- 3a (Tension)
stand the driving necessary to penetrate through the an-
ticipated scour depth to the design embedment. Driving stresses may be estimated by performing wave
equation analyses or by dynamic monitoring of force and
4.5.8 Protection Against Corrosion and Abrasion acceleration at the pile head during pile driving.
Where conditions of exposure warrant, concrete en-

4.5.12 Tolerable Movement
casement or other corrosion protection shall be used on
steel piles and steel shells. Exposed steel piles or steel
Tolerable axial and lateral displacement criteria for driv-
shells shall not be used in salt or brackish water, and only
en pile foundations shall be developed by the structural
with caution in fresh water. Where the piling is exposed to
engineer consistent with the function and type of struc-
the abrasive action of the bed load of materials, the sec-
ture, fixity of bearings, anticipated service life, and con-
tion shall be increased in thickness or positive protection
sequences of unacceptable displacements on the structural
shall be provided.
performance. Driven pile displacement analyses shall be
based on the results of in-situ and/or laboratory testing to
4.5.9 Wave Equation Analysis characterize the load deformation behavior of the founda-
tion materials. Refer to Article 4.4.7.2.5 for additional
The constructability of the pile foundation design guidance regarding tolerable vertical and horizontal
should be evaluated using a wave equation computer pro- movement criteria.
gram. The wave equation should be used to confirm that
the design pile section can be installed to the desired
depth, ultimate capacity, and within the allowable driving 4.5.13 Buoyancy
stress levels specified in Article 4.5.11 using an appropri-
ately sized driving system. The effect of hydrostatic pressure shall be considered
in the design as provided in Article 3.19.
4.5.10 Dynamic Monitoring
4.5.14 Protection Against Deterioration
Dynamic monitoring may be specified for piles in-
stalled in difficult subsurface conditions such as soils with 4.5.14.1 Steel Piles
obstructions and boulders, or a steeply sloping bedrock
surface to evaluate compliance with structural pile capac- A steel pile foundation design shall consider that steel
ity. Dynamic monitoring may also be considered for ge- piles may be subject to corrosion, particularly in fill soils,
otechnical capacity verification where the size of the proj- low ph soils (acidic) and marine environments. A field
ect or other limitations deter static load testing. electric resistivity survey, or resistivity testing and ph test-
ing of soil and ground water samples should be used to
4.5.11 Maximum Allowable Driving Stresses evaluate the corrosion potential. Methods of protecting
steel piling in corrosive environments include use of pro-
Maximum allowable driving stresses in pile material tective coatings, cathodic protection, and increased pile
for top driven piles shall not exceed the following limits: steel area.
4.5.14.2 Concrete Piles 4.5.16 Precast Concrete Piles
A concrete pile foundation design shall consider that 4.5.16.1 Size and Shape
deterioration of concrete piles can occur due to sulfates in
soil, ground water, or sea water; chlorides in soils and Precast concrete piles shall be of approved size and
chemical wastes; acidic ground water and organic acids. shape but may be either of uniform section or tapered. In
Laboratory testing of soil and ground water samples for general, tapered piling shall not be used for trestle con-
sulfates and ph is usually sufficient to assess pile deterio- struction except for the portion of the pile which lies
ration potential. A full chemical analysis of soil and below the ground line; nor shall tapered piles be used in
ground water samples is recommended when chemical any location where the piles are to act as columns.
wastes are suspected. Methods of protecting concrete pil-
ing can include dense impermeable concrete, sulfate re- 4.5.16.2 Minimum Area
sisting portland cement, minimum cover requirements for
reinforcing steel, and use of epoxies, resins, or other pro- In general, concrete piles shall have a cross-sectional
tective coatings. area, measured above the taper, of not less than 98 square
inches. In saltwater a minimum cross-sectional area of
4.5.14.3 Timber Piles 140 square inches shall be used. If a square section is em-
ployed, the corners shall be chamfered at least 1 inch.
A timber pile foundation design shall consider that de-
terioration of timber piles can occur due to decay from 4.5.16.3 Minimum Diameter of Tapered Piles
wetting and drying cycles or from insects or marine bor-
ers. Methods of protecting timber piling include pressure The diameter of tapered piles measured at the point
treating with creosote or other wood preservers. shall be not less than 8 inches. In all cases the diameter
shall be considered as the least dimension through the
4.5.15 Spacing, Clearances, and Embedment center.
4.5.15.1 Pile Footings 4.5.16.4 Driving Points
4.5.15.1.1 Pile Spacing Piles preferably shall be cast with a driving point and,
Pile footings shall be proportioned such that the mini- for hard driving, preferably shall be shod with a metal
mum center-to-center pile spacing shall exceed the greater shoe of approved pattern.
of 2 feet 6 inches or 2.5 pile diameters/widths. The dis-
tance from the side of any pile to the nearest edge of the 4.5.16.5 Vertical Reinforcement
pile footing shall not be less than 9 inches.
Vertical reinforcement shall consist of not less than
4.5.15.1.2 Minimum Projection into Cap four bars spaced uniformly around the perimeter of the
pile, except that if more than four bars are used, the num-
The tops of piles shall project not less than 12 inches ber may be reduced to four in the bottom 4 feet of the pile.
into concrete after all damaged pile material has been re- The amount of reinforcement shall be at least 11⁄ 2 percent
moved, but in special cases, it may be reduced to 6 of the total section measured above the taper.
inches.
4.5.16.6 Spiral Reinforcement
4.5.15.2 Bent Caps
The full length of vertical steel shall be enclosed with
Where a reinforced concrete beam is cast-in-place spiral reinforcement or equivalent hoops. The spiral rein-
and used as a bent cap supported by piles, the concrete forcement at the ends of the pile shall have a pitch of 3
cover at the sides of the piles shall be a minimum of 6 inches and gage of not less than No. 5 (U.S. Steel Wire
inches. The piles shall project at least 6 inches and Gage). In addition, the top 6 inches of the pile shall have
preferably 9 inches into the cap, although concrete piles five turns of spiral winding at 1-inch pitch. For the re-
may project a lesser distance into the cap if the projec- mainder of the pile, the lateral reinforcement shall be a
tion of the pile reinforcement is sufficient to provide ad- No. 5 gage spiral with not more than 6-inch pitch, or 1⁄ 4-
equate bond. inch round hoops spaced on not more than 6-inch centers.
4.5.16.7 Reinforcement Cover equate lateral restraint. Where the shell is smooth pipe and
more than 0.12 inch in thickness, it may be considered as
The reinforcement shall be placed at a clear distance load carrying in the absence of corrosion. Where the shell
from the face of the pile of not less than 2 inches and, is corrugated and is at least 0.075 inch in thickness, it may
when piles are used in saltwater or alkali soils, this clear be considered as providing confinement in the absence of
distance shall not be less than 3 inches. corrosion.
4.5.16.8 Splices 4.5.17.5 Reinforcement into Superstructure
Piles may be spliced provided that the splice develops Sufficient reinforcement shall be provided at the junc-
the full strength of the pile. Splices should be detailed on tion of the pile with the superstructure to make a suitable
the contract plans. Any alternative method of splicing that connection. The embedment of the reinforcement into the
provides equal results may be considered for approval. cap shall be as specified for precast piles.
4.5.16.9 Handling Stresses 4.5.17.6 Shell Requirements
In computing stresses due to handling, the static loads The shell shall be of sufficient thickness and strength
shall be increased by 50% as an allowance for impact and so that it will hold its original form and show no harmful
shock. distortion after it and adjacent shells have been driven and
the driving core, if any, has been withdrawn. The plans
4.5.17 Cast-in-Place Concrete Piles shall stipulate that alternative designs of the shell must be
approved by the Engineer before any driving is done.
4.5.17.1 Materials
4.5.17.7 Splices
Cast-in-place concrete piles shall be, in general, cast in
metal shells that shall remain permanently in place. How- Piles may be spliced provided the splice develops the
ever, other types of cast-in-place piles, plain or reinforced, full strength of the pile. Splices should be detailed on the
cased or uncased, may be used if the soil conditions per- contract plans. Any alternative method of splicing pro-
mit their use and if their design and method of placing are viding equal results may be considered for approval.
satisfactory.
4.5.17.8 Reinforcement Cover
4.5.17.2 Shape
The reinforcement shall be placed a clear distance of
Cast-in-place concrete piles may have a uniform cross- not less than 2 inches from the cased or uncased sides.
section or may be tapered over any portion. When piles are in corrosive or marine environments, or
when concrete is placed by the water or slurry displace-
4.5.17.3 Minimum Area ment methods, the clear distance shall not be less than
3 inches for uncased piles and piles with shells not suffi-
The minimum area at the butt of the pile shall be 100 ciently corrosion resistant.
inches and the minimum diameter at the tip of the pile
shall be 8 inches. Above the butt or taper, the minimum 4.5.18 Steel H-Piles
size shall be as specified for precast piles.
4.5.18.1 Metal Thickness
4.5.17.4 General Reinforcement Requirements
Steel piles shall have a minimum thickness of web of
Cast-in-place piles, carrying axial loads only where the 0.400 inch. Splice plates shall not be less than 3⁄ 8 in. thick.
possibility of lateral forces being applied to the piles is in-
significant, need not be reinforced where the soil provides 4.5.18.2 Splices
adequate lateral support. Those portions of cast-in-place
concrete piles that are not supported laterally shall be de- Piles shall be spliced to develop the net section of pile.
signed as reinforced concrete columns in accordance with The flanges and web shall be either spliced by butt weld-
Articles 8.15.4 and 8.16.4, and the reinforcing steel shall ing or with plates that are welded, riveted, or bolted.
extend 10 feet below the plane where the soil provides ad- Splices shall be detailed on the contract plans. Prefabri-
cated splicers may be used if the splice can develop the a portion of the pile, the pile will be investigated for col-
net section of the pile in compression, tension, shear, and umn action. The provisions of Article 4.5.8 shall apply to
bending. unfilled tubular steel piles.
4.5.18.3 Caps 4.5.20 Prestressed Concrete Piles
In general, caps are not required for steel piles embed- 4.5.20.1 Size and Shape
ded in concrete.
Prestressed concrete piles that are generally octagonal,
4.5.18.4 Lugs, Scabs, and Core-Stoppers square or circular shall be of approved size and shape. Air
entrained concrete shall be used in piles that are subject to
These devices may be used to increase the bearing ca- freezing and thawing or wetting and drying. Concrete in
pacity of the pile where necessary. They may consist of prestressed piles shall have a minimum compressive
structural shapes—welded, riveted, or bolted—of plates strength, fc, of 5,000 psi at 28 days. Prestressed concrete
welded between the flanges, or of timber or concrete piles may be solid or hollow. For hollow piles, precau-
blocks securely fastened. tionary measures should be taken to prevent breakage due
to internal water pressure during driving, ice pressure in
4.5.18.5 Point Attachments trestle piles, and gas pressure due to decomposition of ma-
terial used to form the void.
If pile penetration through cobbles, boulders, debris fill
or obstructions is anticipated, pile tips shall be reinforced 4.5.20.2 Main Reinforcement
with structural shapes or with prefabricated cast steel
points. Cast steel points shall meet the requirements of Main reinforcement shall be spaced and stressed so as
ASTM A 27. to provide a compressive stress on the pile after losses, fpe,
general not less than 700 psi to prevent cracking during
4.5.19 Unfilled Tubular Steel Piles handling and installation. Piles shall be designed to resist
stresses developed during handling as well as under ser-
4.5.19.1 Metal Thickness vice load conditions. Bending stresses shall be investi-
gated for all conditions of handling, taking into account
Piles shall have a minimum thickness not less than in- the weight of the pile plus 50-percent allowance for im-
dicated in the following table: pact, with tensile stresses limited to 5fc.
Outside Diameter Less than 14 inches 4.5.20.3 Vertical Reinforcement
14 inches and over
Wall Thickness 0.25 inch 0.375 inch The full length of vertical reinforcement shall be en-
closed within spiral reinforcement. For piles up to 24
4.5.19.2 Splices inches in diameter, spiral wire shall be No. 5 (U.S. Steel
Wire Gage). Spiral reinforcement at the ends of these piles
Piles shall be spliced to develop the full section of the shall have a pitch of 3 inches for approximately 16 turns.
pile. The piles shall be spliced either by butt welding or In addition, the top 6 inches of pile shall have five turns of
by the use of welded sleeves. Splices shall be detailed on spiral winding at 1-inch pitch. For the remainder of the
the contract plans. pile, the vertical steel shall be enclosed with spiral rein-
forcement with not more than 6-inch pitch. For piles hav-
4.5.19.3 Driving ing diameters greater than 24 inches, spiral wire shall be
No. 4 (U.S. Steel Wire Gage). Spiral reinforcement at the
Tubular steel piles may be driven either closed or open end of these piles shall have a pitch of 2 inches for ap-
ended. Closure plates should not extend beyond the proximately 16 turns. In addition, the top 6 inches of pile
perimeter of the pile. shall have four turns of spiral winding at 11⁄ 2 inches. For
the remainder of the pile, the vertical steel shall be en-
4.5.19.4 Column Action closed with spiral reinforcement with not more than 4-
inch pitch. The reinforcement shall be placed at a clear
Where the piles are to be used as part of a bent struc- distance from the face of the prestressed pile of not less
ture or where heavy scour is anticipated that would expose than 2 inches.
4.5.20.4 Hollow Cylinder Piles 4.6.1.1 Application
Large diameter hollow cylinder piles shall be of ap- Drilled shafts may be considered when spread footings
proved size and shape. The wall thickness for cylinder cannot be founded on suitable soil or rock strata within a
piles shall not be less than 5 inches. The grouting of post- reasonable depth and when piles are not economically vi-
tensioning tendons shall be in accordance with Article able due to high loads or obstructions to driving. Drilled
4.33.9, Division II. shafts may be used in lieu of spread footings as a protec-
tion against scour. Drilled shafts may also be considered
4.5.20.5 Splices to resist high lateral or uplift loads when deformation tol-
erances are small.
When prestressed concrete piles are spliced, the splice
shall be capable of developing the full section of the pile. 4.6.1.2 Materials
Splices shall be detailed on the contract plans.
Shafts shall be cast-in-place concrete and may include
4.5.21 Timber Piles deformed bar steel reinforcement, structural steel sections,
and/or permanent steel casing as required by design. In
4.5.21.1 Materials every case, materials shall be supplied in accordance with
the provisions of this Standard.
Timber piles shall conform to the requirements of the
“Specifications for Wood Products,” AASHTO M 168.
Timber piles shall be treated or untreated as indicated on 4.6.1.3 Construction
the contract plans. Preservative treatment shall conform to
the requirements of Section 16, “Preservative Treatments Drilled shafts may be constructed using the dry, casing,
for Lumber.” or wet method of construction, or a combination of meth-
ods. In every case, hole excavation, concrete placement,
4.5.21.2 Limitations on Untreated Timber and all other aspects of shaft construction shall be
Pile Use performed in conformance with the provisions of this
Standard.
Untreated timber piles may be used for temporary con-
struction, revetments, fenders, and similar work, and in 4.6.1.4 Embedment
permanent construction under the following conditions:
Shaft embedment shall be determined based on verti-
• For foundation piling when the cutoff is below per- cal and lateral load capacities of both the shaft and sub-
manent ground water level. surface materials.
• For trestle construction when it is economical to do
so, although treated piles are preferable.
• They shall not be used where they will, or may, be 4.6.1.5 Shaft Diameter
exposed to marine borers.
• They shall not be used where seismic design con- For rock-socketed shafts which require casing through
siderations are critical. the overburden soils, the socket diameter should be at
least 6 inches less than the inside diameter of the casing
4.5.21.3 Limitations on Treated Timber Pile Use to facilitate drill tool insertion and removal through the
casing. For rock-socketed shafts not requiring casing
Treated timber piles shall not be used where seismic through the overburden soils, the socket diameter can be
design considerations are critical. equal to the shaft diameter through the soil.
4.6 DRILLED SHAFTS 4.6.1.6 Batter Shafts
4.6.1 General The use of battered shafts to increase the lateral capac-
ity of foundations is not recommended due to their diffi-
The provisions of this article shall apply to the design culty of construction and high cost. Instead, consideration
of axially and laterally loaded drilled shafts in soil or ex- should first be given to increasing the shaft diameter to ob-
tending through soil to or into rock. tain the required lateral capacity.
4.6.1.7 Shafts Through Embankment Fill N Standard penetration resistance (blows/ft)

N Standard penetration test blow count corrected
Shafts extending through embankments shall extend a for effects of overburden (blows/ft)
minimum of 10 feet into original ground unless bedrock Nc Bearing capacity factor (dim); (See Article
or competent bearing strata occurs at a lesser penetration. 4.6.5.1.3)
Fill used for embankment construction shall be random Ni Number of depth intervals into which shaft is di-
fill material having adequate capacity which shall not ob- vided for determination of side resistance (dim);
struct shaft construction to the required depth. Negative (See Articles 4.6.5.1.1 and 4.6.5.1.2)
skin friction loads due to settlement and consolidation of P Lateral load on shaft (k)
embankment or underlying soils shall be evaluated for Q Total axial compression load applied to shaft butt
shafts in embankments. (See Article 4.6.5.2.5.) (k)
qE Ultimate unit tip capacity for an equivalent shaft
4.6.2 Notations for a group of shafts supported in strong layer
overlying weaker layer (ksf); (See Article
The following notations shall apply for the design of 4.6.5.2.4.3)
drilled shaft foundations in soil and rock: qLo Ultimate unit tip capacity of an equivalent shaft
bearing in weaker underlying soil layer (ksf);
a Tip bearing factor to account for large diameter (See Article 4.6.5.2.4.3)
shaft tip (dim); (See Article 4.6.5.1.3) Qu Total axial uplift load applied to shaft butt (k)
A Area of shaft (ft2) qUP Ultimate unit tip capacity of an equivalent shaft
At Area of shaft tip (ft2) bearing in stronger upper soil layer (ksf); (See
b Tip bearing factor to account for large diameter Article 4.6.5.2.4.3)
shaft tip (dim); (See Article 4.6.5.1.3) QS Ultimate side resistance in soil (k); (See Articles
B Shaft diameter (ft); (See Article 4.6.3) 4.6.5.1.1 and 4.6.5.1.2)
Bb Diameter of enlarged base (ft); (See Article qSR Ultimate unit shear resistance along shaft/rock
4.6.3) interface (psi); (See Article 4.6.5.3.1)
Bl Least width of shaft group (ft); (See Article QSR Ultimate side resistance of rock socket (k); (See
4.6.5.2.4.3) Article 4.6.5.3.1)
Br Diameter of rock socket (ft); (See Article 4.6.3) qT Ultimate unit tip resistance for shafts (ksf); (See
Bt Tip diameter (ft); (See Article 4.6.5.1.3) Articles 4.6.5.1.3 and 4.6.5.1.4)
Cm Uniaxial compressive strength of rock mass qTR Ultimate unit tip resistance for shafts reduced for
(ksf); (See Article 4.6.5.3.1) size effects (ksf); (See Equations 4.6.5.1.3-3 and
Co Uniaxial compressive strength of intact rock 4.6.5.1.4-2)
(ksf) QT Ultimate tip resistance in soil (k); (See Articles
D Shaft length (ft); (See Article 4.6.3) 4.6.5.1.3 and 4.6.5.1.4)
Dr Length of rock socket (ft); (See Article 4.6.3) QTR Ultimate tip resistance of rock socket (k); (See
Ec Elastic modulus of concrete shaft or reinforced Article 4.6.5.3.2)
shaft (ksf) Qult Ultimate axial load capacity (k); (See Article
Eo Elastic modulus of intact rock (ksf) 4.6.5.1)
Em Elastic modulus of rock mass (ksf) RQD Rock Quality Designation (dim)
FS Factor of safety (dim) sui Incremental undrained shear strength as a func-
fsi Ultimate load transfer along shaft (ksf); (See Ar- tion over ith depth interval (ksf); (See Article
ticles 4.6.5.1.1 and 4.6.5.1.2) 4.6.5.1.1)
H Distance from shaft tip to top of weak soil layer sut Undrained shear strength within 2B below shaft
(ft); (See Article 4.6.5.2.4.3) tip (ksf); (See Article 4.6.5.1.3)
i Depth interval (dim); (See Articles 4.6.5.1.1 and W Weight of shaft (k)
4.6.5.1.2) zi Depth to midpoint of ith interval (ft); (See Arti-
I s Displacement influence factor for rock-socketed cle 4.6.5.1.2)
shafts loaded in compression (dim); (See Article Adhesion factor (dim)
4.6.5.5.2) i Adhesion factor as a function over ith depth in-
I u Displacement influence factor for rock-socketed terval (dim); (See Article 4.6.5.1.1)
shafts loaded in uplift (dim); (See Article E Reduction factor to estimate rock mass modulus
4.6.5.5.2) and uniaxial strength from the modulus and
uniaxial strength of intact rock (dim); (See Article values used for design shall be confirmed by field and/or
4.6.5.3.1) laboratory testing.
i Load transfer factor in the ith interval (dim); (See

Article 4.6.5.1.2) 4.6.4.2 Measured Values
i Effective soil unit weight in ith interval (kcf);
(See Article 4.6.5.1.2) Foundation stability and settlement analyses for final
zi ith increment of shaft length (ft) design shall be performed using soil and rock properties
Factor to account for reduced individual capac- based on the results of field and/or laboratory testing.
ity of closely spaced shafts in group (dim); (See
Article 4.6.5.2.4.1)
e Elastic shortening of shaft (ft); (See Articles 4.6.5 Geotechnical Design
4.6.5.5.1.1 and 4.6.5.5.1.2)
s Total settlement displacement at butt for shaft Drilled shafts shall be designed to support the design
with rock socket (ft); (See Article 4.6.5.5.2) loads with adequate bearing and structural capacity, and
u Total uplift displacement at butt for shaft with with tolerable settlements in conformance with Articles
rock socket (ft); (See Equation 4.6.5.5.2) 4.6.5 and 4.6.6. In addition, the response of drilled shafts
3.1415 (dim) subjected to seismic and dynamic loads, materials and
Poisson’s ratio (dim) shaft shall be evaluated in conformance with Articles
c Unconfined compressive strength of rock mass 4.4.7.3 (dynamic ground stability) and 4.6.5.7, respec-
or concrete, whichever is weaker (psi); (See Ar- tively.
ticle 4.6.5.3.1) Shaft design shall be based on working stress princi-
vi Effective vertical stress at midpoint of ith depth ples using maximum unfactored loads derived from cal-
interval (ksf); (See Article 4.6.5.1.2) culations of dead and live loads from superstructures, sub-
structures, earth (i.e., sloping ground), wind and traffic.
The notations for dimension units include the follow- Allowable axial and lateral loads may be determined by
ing: dim Dimensionless; deg degree; ft foot; k separate methods of analysis.
kip; k/ft kip/ft; ksf kip/ft2; and kcf kip/ft3. The di- The design methods presented herein for determining
mensional units provided with each notation are presented axial load capacity assume drilled shafts of uniform cross-
for illustration only to demonstrate a dimensionally cor- section, with vertical alignment, concentric axial loading,
rect combination of units for the shaft capacity and settle- and a relatively horizontal ground surface. The effects of
ment procedures presented below. If other units are used, an enlarged base, group action, and sloping ground are
the dimensional correctness of the equations should be treated separately.
confirmed.
4.6.5.1 Axial Capacity in Soil
4.6.3 Design Terminology
The ultimate axial capacity (Qult) of drilled shafts shall
Refer to Figure 4.6.3A for terminology used in design be determined in accordance with the following for com-
of drilled shafts. pression and uplift loading, respectively:
Qult QS QT W (4.6.5.1-1)
4.6.4 Selection of Soil and Rock Properties
Qult 0.7QS W (4.6.5.1-2)
Soil and rock properties defining the strength and com-
pressibility characteristics of the foundation materials are The allowable or working axial load shall be deter-
required for drilled shaft design. mined as:
4.6.4.1 Presumptive Values Qall Qult/FS (4.6.5.1-3)
Presumptive values for allowable bearing pressures on Shafts in cohesive soils may be designed by total and
soil and rock may be used only for guidance, preliminary effective stress methods of analysis, for undrained and
design or design of temporary structures. The use of pre- drained loading conditions, respectively. Shafts in cohe-
sumptive values shall be based on the results of subsur- sionless soils shall be designed by effective stress meth-
face exploration to identify soil and rock conditions. All ods of analysis for drained loading conditions.
FIGURE 4.6.3A Design Terminology for Drilled Shaft Foundations
4.6.5.1.1 Side Resistance in Cohesive Soil from a consolidating clay), effective stress methods (Ar-
ticle 4.6.5.1.2) should be used to compute QS in the zone
For shafts in cohesive soil loaded under undrained
where such changes may occur.
loading conditions, the ultimate side resistance may be es-
timated using the following:
4.6.5.1.2 Side Resistance in Cohesionless Soil
N
Q S = πB Σ α i Sui ∆z i ( 4.6.5.1.1 -1) For shafts in cohesionless soil or for effective stress
i =1
analysis of shafts in cohesive soils under drained loading
The ultimate unit load transfer in side resistance at any conditions, the ultimate side resistance of axially loaded
depth fsi is equal to the product of i and sui. Refer to Table drilled shafts may be estimated using the following:
4.6.5.1.1A for guidance regarding selection of i and lim- N
iting values of fsi for shafts excavated dry in open or cased Q S = πB Σ γ ′i z i β i ∆z i ( 4.6.5.1.2 -1)
i =1
holes. Environmental, long-term loading or construction
factors may dictate that a depth greater than 5 feet should The value of
i may be determined using the follow-
be ignored in estimating QS. Refer to Figure 4.6.5.1.1A ing:
for identification of portions of drilled shaft not consid-
ered in contributing to the computed value of QS. For β i = 1.5 − 0.135 z i ; 1.2 > β i > 0.25 ( 4.6.5.1.2 − 2)
shafts in cohesive soil under drained loading conditions,
QS may be determined using the procedure in Article The value of i should be determined from measure-
4.6.5.1.2. ments from undisturbed samples along the length of the
Where time-dependent changes in soil shear strength shaft or from empirical correlations with SPT or other in-
may occur (e.g., swelling of expansive clay or downdrag situ test methods. The ultimate unit load transfer in side
TABLE 4.6.5.1.1A Recommended Values of and fsi resistance at any depth, fsi, is equal to the product of
i and
for Estimation of Drilled Shaft Side Resistance in vi. The limiting value of fsi for shafts in cohesionless soil
Cohesive Soil Reese and O’Neill (1988) is 4 ksf.
4.6.5.1.3 Tip Resistance in Cohesive Soil

For axially loaded shafts in cohesive soil subjected to
undrained loading conditions, the ultimate tip resistance
of drilled shafts may be estimated using the following:
QT qTAt NcsutAt (4.6.5.1.3-1)
Values of the bearing capacity factor Nc may be deter-

mined using the following:
Nc 6.0[1 0.2(D/Bt)]; Nc 9 (4.6.5.1.3-2)
The limiting value of unit end bearing (qT Ncsut) is

80 ksf.
The value of sut should be determined from the results
of in-situ and/or laboratory testing of undisturbed samples
FIGURE 4.6.5.1.1A Identification of Portions of Drilled Shafts Neglected for Estimation of

Drilled Shaft Side Resistance in Cohesive Soil
Reese and O’Neill (1988)
obtained within a depth of 2B below the tip of the shaft. TABLE 4.6.5.1.4A Recommended Values of qT*
If the soil within 2B of the tip is of soft consistency, the for Estimation of Drilled Shaft Tip Resistance in
value of Nc should be reduced by one-third. Cohesionless Soil after Reese and O’Neill (1988)
If Bt 6.25 feet (75 inches) and shaft settlements will Standard
not be evaluated, the value of qT should be reduced to qTR Penetration Resistance
as follows: N
(Blows/Foot) Value of qT
qTR FrqT (2.5/[aBt/12 2.5b])qT (4.6.5.1.3-3) (uncorrected) (ksf)
a 0.0071 0.0021(D/Bt); a 0.015 (4.6.5.1.3-4) 0 to 75 1.20 N

Above 75 90
b 0.45(sut)0.5; 0.5 b 1.5 (4.6.5.1.3-5) *Ultimate value or value at settlement of 5 percent of base diameter.
The limiting value of qTR is 80 ksf.

For shafts in cohesive soil under drained loading con- given to the effects of negative skin friction (Article
ditions, QT may be estimated using the procedure de- 4.6.5.2.5) due to the consolidation settlement of soils sur-
scribed in Article 4.6.5.1.4. rounding the shaft. Where the shaft tip would bear on a
thin firm soil layer underlain by a softer soil unit, the shaft
4.6.5.1.4 Tip Resistance in Cohesionless Soil shall be extended through the softer soil unit to eliminate
the potential for a punching shear failure into the softer
For axially loaded drilled shafts in cohesionless soils
deposit.
or for effective stress analysis of axially loaded drilled
shafts in cohesive soil, the ultimate tip resistance may be
4.6.5.2.2 Ground Water
estimated using the following:
The highest anticipated water level shall be used for
QT qTAt (4.6.5.1.4-1) design.
The value of qT may be determined from the results of 4.6.5.2.3 Enlarged Bases
standard penetration testing using uncorrected blow count
An enlarged base (bell or underream) may be used at
readings within a depth of 2B below the tip of the shaft.
the shaft tip in stiff cohesive soil to increase the tip bear-
Refer to Table 4.6.5.1.4A for recommended values of qT.
ing area and reduce the unit end bearing pressure, or to
If Bt 4.2 feet (50 inches) and shaft settlements will
provide additional resistance to uplift loads.
not be evaluated, the value of qT should be reduced to qTR
The tip capacity of an enlarged base shall be deter-
as follows:
mined assuming that the entire base area is effective in
transferring load. Allowance of full effectiveness of the
qTR (50/12Bt)qT (4.6.5.1.4-2)
enlarged base shall be permitted only when cleaning of
the bottom of the drilled hole is specified and can be ac-
4.6.5.2 Factors Affecting Axial Capacity in Soil
ceptably completed before concrete placement.
4.6.5.2.1 Soil Layering and Variable Soil Strength
4.6.5.2.4 Group Action
with Depth
Evaluation of group shaft capacity assumes the effects
The design of shafts in layered soil deposits or soil de-
of negative skin friction (if any) are negligible.
posits having variable strength with depth requires evalu-
ation of soil parameters characteristic of the respective
4.6.5.2.4.1 Cohesive Soil
layers or depths. QS in such soil deposits may be estimated
by dividing the shaft into layers according to soil type and Evaluation of group capacity of shafts in cohesive soil
properties, determining QS for each layer, and summing shall consider the presence and contact of a cap with the
values for each layer to obtain the total QS. If the soil ground surface and the spacing between adjacent shafts.
below the shaft tip is of variable consistency, QT may be For a shaft group with a cap in firm contact with the
estimated using the predominant soil strata within 2B ground, Qult may be computed as the lesser of (1) the sum
below the shaft tip. of the individual capacities of each shaft in the group or
For shafts extending through soft compressible layers (2) the capacity of an equivalent pier defined in the
to tip bearing on firm soil or rock, consideration shall be perimeter area of the group. For the equivalent pier, the
shear strength of soil shall not be reduced by any factor design. For design purposes, it shall be assumed that the
(e.g., 1) to determine the QS component of Qult, the total full magnitude of maximum potential vertical ground
base area of the equivalent pier shall be used to determine movement occurs.
the QT component of Qult, and the additional capacity of Evaluation of negative skin friction shall include a
the cap shall be ignored. load-transfer method of analysis to determine the neutral
If the cap is not in firm contact with the ground, or if point (i.e., point of zero relative displacement) and load
the soil at the surface is loose or soft, the individual ca- distribution along shaft (e.g., Reese and O’Neill, 1988).
pacity of each shaft should be reduced to times QT for an Due to the possible time dependence associated with ver-
isolated shaft, where 0.67 for a center-to-center tical ground movement, the analysis shall consider the ef-
(CTC) spacing of 3B and 1.0 for a CTC spacing of fect of time on load transfer between the ground and shaft
6B. For intermediate spacings, the value of may be de- and the analysis shall be performed for the time period re-
termined by linear interpolation. The group capacity may lating to the maximum axial load transfer to the shaft.
then be computed as the lesser of (1) the sum of the mod- Shafts designed for and constructed in expansive soil
ified individual capacities of each shaft in the group, or (2) shall extend to a sufficient depth into moisture-stable soils
the capacity of an equivalent pier as described above. to provide adequate anchorage to resist uplift movement.
In addition, sufficient clearance shall be provided between
4.6.5.2.4.2 Cohesionless Soil the ground surface and underside of caps or beams con-
necting shafts to preclude the application of uplift loads at
Evaluation of group capacity of shafts in cohesionless the shaft/cap connection from swelling ground conditions.
soil shall consider the spacing between adjacent shafts. Uplift capacity shall rely only on side resistance in con-
Regardless of cap contact with the ground, the individual formance with Article 4.6.5.1. If the shaft has an enlarged
capacity of each shaft should be reduced to times QT for base, QS shall be determined in conformance with Article
an isolated shaft, where 0.67 for a center-to-center 4.6.5.2.3.
(CTC) spacing of 3B and 1.0 for a CTC spacing of
8B. For intermediate spacings, the value of may be de-
4.6.5.2.6 Method of Construction
termined by linear interpolation. The group capacity may
be computed as the lesser of (1) the sum of the modified The load capacity and deformation behavior of drilled
individual capacities of each shaft in the group or (2) the shafts can be greatly affected by the quality and method(s)
capacity of an equivalent pier circumscribing the group, of construction. The effects of construction methods are
including resistance over the entire perimeter and base incorporated in design by application of a factor of safety
areas. consistent with the expected construction method(s) and
level of field quality control measures (Article 4.6.5.4).
4.6.5.2.4.3 Group in Strong Soil Overlying Where the spacing between shafts in a group is re-
Weaker Soil stricted, consideration shall be given to the sequence of
construction to minimize the effect of adjacent shaft con-
If a group of shafts is embedded in a strong soil deposit struction operations on recently constructed shafts.
which overlies a weaker deposit (cohesionless and cohe-
sive soil), consideration shall be given to the potential for
4.6.5.3 Axial Capacity in Rock
a punching failure of the tip into the weaker soil strata. For
this case, the unit tip capacity of the equivalent shaft (qE)
Drilled shafts are socketed into rock to limit axial dis-
may be determined using the following:
placements, increase load capacity and/or provide fixity
for resistance to lateral loading. In determining the axial
qE qLO (H/10B1)(qUP qLO) qUP (4.6.5.2.4.3-1)
capacity of drilled shafts with rock sockets, the side resis-
tance from overlying soil deposits may be ignored.
If the underlying soil unit is a weaker cohesive soil
Typically, axial compression load is carried solely by
strata, careful consideration shall be given to the potential
the side resistance on a shaft socketed into rock until a
for large settlements in the weaker layer.
total shaft settlement ( s) on the order of 0.4 inches oc-
curs. At this displacement, the ultimate side resistance,
4.6.5.2.5 Vertical Ground Movement
QSR, is mobilized and slip occurs between the concrete
The potential for external loading on a shaft by verti- and rock. As a result of this slip, any additional load is
cal ground movement (i.e., negative skin friction/down- transferred to the tip.
drag due to settlement of compressible soil or uplift due The design procedures assume the socket is con-
to heave of expansive soil) shall be considered as a part of structed in reasonably sound rock that is little affected by
construction (i.e., does not rapidly degrade upon excava- 4.6.5.3.2 Tip Resistance
tion and/or exposure to air or water) and which is cleaned
Evaluation of ultimate tip resistance (QTR) for rock-
prior to concrete placement (i.e., free of soil and other de-
socketed drilled shafts shall consider the influence of rock
bris). If the rock is degradable, consideration of special
discontinuities. QTR for rock-socketed drilled shafts may
construction procedures, larger socket dimensions, or re-
be determined using the following:
duced socket capacities should be considered.
QTR NmsCoAt (4.6.5.3.2-1)
4.6.5.3.1 Side Resistance
The ultimate side resistance (QSR) for shafts socketed Preferably, values of Co should be determined from the
into rock may be determined using the following: results of laboratory testing of rock cores obtained within
2B of the base of the footing. Where rock strata within this
QSR BrDr (0.144qSR) (4.6.5.3.1-1) interval are variable in strength, the rock with the lowest
capacity should be used to determine QTR. Alternatively,
Refer to Figure 4.6.5.3.1A for values of qSR. For uplift Table 4.4.8.1.2B may be used as a guide to estimate Co.
loading Qult of a rock socket shall be limited to 0.7QSR. For rocks defined by very poor quality, the value of QTR
The design of rock sockets shall be based on the un- cannot be less than the value of QT for an equivalent soil
confined compressive strength of the rock mass (Cm) or mass.
concrete, whichever is weaker (c). Cm may be estimated
using the following relationship: 4.6.5.3.3 Factors Affecting Axial Capacity in Rock
Cm ECo (4.6.5.3.1-2)
4.6.5.3.3.1 Rock Stratification
Refer to Article 4.4.8.2.2 for the procedure to deter- Rock stratification shall be considered in the design of
mine E as a function of RQD. rock sockets as follows:
FIGURE 4.6.5.3.1A Procedure for Estimating Average Unit Shear for Smooth Wall Rock-Socketed Shafts
Horvath, et al. (1983)
• Sockets embedded in alternating layers of weak and 4.6.5.5 Deformation of Axially Loaded Shafts
strong rock shall be designed using the strength of
the weaker rock. The settlement of axially loaded shafts at working or
• The side resistance provided by soft or weathered allowable loads shall be estimated using elastic or load
rock should be neglected in determining the required transfer analysis methods. For most cases, elastic analysis
socket length where a socket extends into more com- will be applicable for design provided the stress levels in
petent underlying rock. Rock is defined as soft when the shaft are moderate relative to Qult. Where stress levels
the uniaxial compressive strength of the weaker rock are high, consideration should be given to methods of load
is less than 20% of that of the stronger rock, or transfer analysis.
weathered when the RQD is less than 20%.
• Where the tip of a shaft would bear on thin rigid rock 4.6.5.5.1 Shafts in Soil
strata underlain by a weaker unit, the shaft shall be
extended into or through the weaker unit (depending Settlements should be estimated for the design or
on load capacity or deformation requirements) to working load.
eliminate the potential for failure due to flexural ten-
sion or punching failure of the thin rigid stratum. 4.6.5.5.1.1 Cohesive Soil
• Shafts designed to bear on strata in which the rock
The short-term settlement of shafts in cohesive soil
surface is inclined should extend to a sufficient depth
may be estimated using Figures 4.6.5.5.1.1A and
to ensure that the shaft tip is fully bearing on the rock.
4.6.5.5.1.1B. The curves presented indicate the propor-
• Shafts designed to bear on rock strata in which bed-
tions of the ultimate side resistance (QS) and ultimate tip
ding planes are not perpendicular to the shaft axis resistance (QT) mobilized at various magnitudes of settle-
shall extend a minimum depth of 2B into the dipping ment. The total axial load on the shaft (Q) is equal to the
strata to minimize the potential for shear failure sum of the mobilized side resistance (QS) and mobilized
along natural bedding planes and other slippage sur- tip resistance (Qt).
faces associated with stratification. The settlement in Figure 4.6.5.5.1.1A incorporates the
effects of elastic shortening of the shaft provided the shaft
4.6.5.3.3.2 Rock Mass Discontinuities is of typical length (i.e., D 100 ft). For longer shafts, the
The strength and compressibility of rock will be af- effects of elastic shortening may be estimated using the
fected by the presence of discontinuities (joints and frac- following:
tures). The influence of discontinuities on shaft behavior
will be dependent on their attitude, frequency and condi- e PD/AEc (4.6.5.5.1.1-1)
tion, and shall be evaluated on a case-by-case basis as nec-
essary. For a shaft with an enlarged base in cohesive soil, the
diameter of the shaft at the base (Bb) should be used in
4.6.5.3.3.3 Method of Construction Figure 4.6.5.5.1.1B to estimate shaft settlement at the tip.
Refer to Article 4.4.7.2.3 for procedures to estimate the
The effect of the method of construction on the engi- consolidation settlement component for shafts extending
neering properties of the rock and the contact between the into cohesive soil deposits.
rock and shaft shall be considered as a part of the design
process.
4.6.5.5.1.2 Cohesionless Soil
4.6.5.4 Factors of Safety The short-term settlement of shafts in cohesion-
less soil may be estimated using Figures 4.6.5.5.1.2A
Drilled shafts in soil or socketed in rock shall be de- and 4.6.5.5.1.2B. The curves presented indicate the
signed for a minimum factor of safety of 2.0 against bear- proportions of the ultimate side resistance (QS) and
ing capacity failure (end bearing, side resistance or com- ultimate tip resistance (QT) mobilized at various magni-
bined) when the design is based on the results of a load test tudes of settlement. The total axial load on the shaft (Q)
conducted at the site. Otherwise, shafts shall be designed is equal to the sum of the mobilized side resistance (QS)
for a minimum factor of safety 2.5. The minimum recom- and mobilized tip resistance (Qt). Elastic shortening
mended factors of safety are based on an assumed normal of the shaft shall be estimated using the following rela-
level of field quality control during shaft construction. If a tionship:
normal level of field quality control cannot be assured,
higher minimum factors of safety shall be used. e PD/AEc (4.6.5.5.1.2-1)
FIGURE 4.6.5.5.1.1A Load Transfer in

Side Resistance Versus Settlement Drilled Shafts in FIGURE 4.6.5.5.1.1B Load Transfer in
Cohesive Soil Tip Bearing Settlement Drilled Shafts in
After Reese and O’Neill (1988) Cohesive Soil
After Reese and O’Neill (1988)
4.6.5.5.1.3 Mixed Soil Profile
u Qu[(I u/BrEm) (D/AEc)] (4.6.5.5.2-2)
The short-term settlement of shafts in a mixed soil pro-
file may be estimated by summing the proportional settle-
Refer to Figure 4.6.5.5.2B to determine Ipu.
ment components from layers of cohesive and cohesion-
The rock mass modulus (Em) should be deter-
less soil comprising the subsurface profile.
mined based on the results of in-situ testing (e.g.,
pressure-meter) or estimated from the results of labora-
4.6.5.5.2 Shafts Socketed into Rock tory tests in which Em is the modulus of intact rock spec-
imens, and (Eo) is estimated in accordance with Article
In estimating the displacement of rock-socketed drilled 4.4.8.2.2.
shafts, the resistance to deformation provided by overly- For preliminary design or when site-specific test
ing soil deposits may be ignored. Otherwise, the load data cannot be obtained, guidelines for estimating
transfer to soil as a function of displacement may be esti- values of Eo, such as presented in Table 4.4.8.2.2B or
mated in accordance with Article 4.6.5.5.1. Figure 4.4.8.2.2A, may be used. For preliminary analyses
The butt settlement ( s) of drilled shafts fully sock- or for final design when in-situ test results are not
eted into rock may be determined using the following available, a value of E 0.15 should be used to esti-
which is modified to include elastic shortening of the mate Em.
shaft:
s Q[(I s/BrEm) (Dr /AEc)] (4.6.5.5.2-1)
Tolerable axial displacement criteria for drilled shaft
foundations shall be developed by the structural designer
Refer to Figure 4.6.5.5.2A to determine Ips. consistent with the function and type of structure, fixity of
The uplift displacement ( u) at the butt of drilled shafts bearings, anticipated service life, and consequences of un-
fully socketed into rock may be determined using the fol- acceptable displacements on the structure performance.
lowing which is modified to include elastic shortening of Drilled shaft displacement analyses shall be based on the
the shaft: results of in-situ and/or laboratory testing to characterize
FIGURE 4.6.5.5.1.2A Load Transfer in

FIGURE 4.6.5.5.1.2B Load Transfer in
Side Resistance Versus Settlement Drilled Shafts in
Tip Bearing Versus Settlement Drilled Shafts in
Cohesionless Soil
Cohesionless Soil
the load-deformation behavior of the foundation materials.

4.6.5.6.1.3 Scour
Refer to Article 4.4.7.2.5 for additional guidance regarding
tolerable vertical and horizontal movement criteria. The potential for loss of lateral capacity due to scour
shall be considered in the design. Refer to Article 1.3.2
4.6.5.6 Lateral Loading and FHWA (1988) for general guidance regarding hy-
draulic studies and design. If heavy scour is expected,
The design of laterally loaded drilled shafts shall ac- consideration shall be given to designing the portion of
count for the effects of soil/rock-structure interaction be- the shaft that would be exposed as a column. In all cases,
tween the shaft and ground (e.g., Reese, 1984; Borden and the shaft length shall be determined such that the design
Gabr, 1987). Methods of analysis evaluating the ultimate structural load can be safely supported entirely below the
capacity or deflection of laterally loaded shafts (e.g., probable scour depth.
Broms, 1964a,b; Singh, et al., 1971) may be used for pre-
liminary design only as a means to determine approximate 4.6.5.6.1.4 Group Action
shaft dimensions.
There is no reliable rational method for evaluating
4.6.5.6.1 Factors Affecting Laterally Loaded Shafts the group action for closely spaced, laterally loaded
shafts. Therefore, as a general guide, drilled shafts
4.6.5.6.1.1 Soil Layering in a group may be considered to act individually when
the center-to-center (CTC) spacing is greater than 2.5B
The design of laterally loaded drilled shafts in layered in the direction normal to loading, and CTC 8B in
soils shall be based on evaluation of the soil parameters the direction parallel to loading. For shaft layouts
characteristic of the respective layers.
not conforming to these criteria, the effects of shaft inter-
action shall be considered in the design. As a general
4.6.5.6.1.2 Ground Water
guide, the effects of group action for in-line CTC 8B
The highest anticipated water level shall be used for may be considered using the ratios (CGS, 1985) appear-
design. ing on page 89.
FIGURE 4.6.5.5.2B Influence Coefficient for

Elastic Uplift Displacement of Rock-Socketed
Drilled Shafts
Modified after Pells and Turner (1979)
4.6.5.6.1.7 Sloping Ground

FIGURE 4.6.5.5.2A Influence Coefficient for For drilled shafts which extend through or below
Elastic Settlement of Rock-Socketed Drilled Shafts sloping ground, the potential for additional lateral
Modified after Pells and Turner (1979)
loading shall be considered in the design. The
general method of analysis developed by Borden
Ratio of Lateral and Gabr (1987) may be used for the analysis of shafts
CTC Shaft Spacing Resistance of Shaft in in stable slopes. For shafts in marginally stable slopes,
for In-line Loading Group to Single Shaft additional consideration should be given for low
8B 1.00 factors of safety against slope failure or slopes showing
6B 0.70 ground creep, or when shafts extend through fills over-
4B 0.40 lying soft foundation soils and bear into more competent
3B 0.25 underlying soil or rock formations. For unstable ground,
detailed explorations, testing and analysis are required to
4.6.5.6.1.5 Cyclic Loading evaluate potential additional lateral loads due to slope
movements.
The effects of traffic, wind, and other nonseismic
cyclic loading on the load-deformation behavior of later-
ally loaded drilled shafts shall be considered during de- 4.6.5.6.2 Tolerable Lateral Movements
sign. Analysis of drilled shafts subjected to cyclic load- Tolerable lateral displacement criteria for drilled shaft
ing may be considered in the COM624 analysis (Reese,
foundations shall be developed by the structural designer
1984).
consistent with the function and type of structure, fixity of
bearings, anticipated service life, and consequences of un-
4.6.5.6.1.6 Combined Axial and Lateral Loading acceptable displacements on the structure performance.
The effects of lateral loading in combination with axial Drilled shaft lateral displacement analysis shall be based
loading shall be considered in the design. Analysis of on the results of in-situ and/or laboratory testing to char-
drilled shafts subjected to combined loading may be con- acterize the load-deformation behavior of the foundation
sidered in the COM624 analysis (Reese, 1984). materials.
4.6.5.7 Dynamic/Seismic Design not be less than 3 times the diameter of the bundled bars.
Where heavy reinforcement is required, consideration
Refer to Division I-A and Lam and Martin (1986a; may be given to an inner and outer reinforcing cage.
1986b) for guidance regarding the design of drilled shafts
subjected to dynamic and seismic loads. 4.6.6.2.2 Splices
Splices shall develop the full capacity of the bar in ten-
4.6.6 Structural Design and General Shaft sion and compression. The location of splices shall be
Dimensions staggered around the perimeter of the reinforcing cage so
as not to occur at the same horizontal plane. Splices may
4.6.6.1 General be developed by lapping, welding, and special approved
connectors. Splices shall be in conformance with the re-
Drilled shafts shall be designed to insure that the shaft quirements of Article 8.32.
will not collapse or suffer loss of serviceability due to ex-
cessive stress and/or deformation. Shafts shall be de- 4.6.6.2.3 Transverse Reinforcement
signed to resist failure following applicable procedures Transverse reinforcement shall be designed to resist
presented in Section 8. stresses caused by fresh concrete flowing from inside the
All shafts should be sized in 6-inch increments with a cage to the side of the excavated hole. Transverse rein-
minimum shaft diameter of 18 inches. The diameter of forcement may be constructed of hoops or spiral steel.
shafts with rock sockets should be sized a minimum of 6
inches larger than the diameter of the socket. The diame-
4.6.6.2.4 Handling Stresses
ter of columns supported by shafts shall be less than or
equal to B. Reinforcement cages shall be designed to resist han-
dling and placement stresses.
4.6.6.2 Reinforcement 4.6.6.2.5 Reinforcement Cover

Where the potential for lateral loading is insignificant, The reinforcement shall be placed a clear distance of
drilled shafts need to be reinforced for axial loads only. not less than 2 inches from the permanently cased or 3
Those portions of drilled shafts that are not supported inches from the uncased sides. When shafts are con-
laterally shall be designed as reinforced concrete structed in corrosive or marine environments, or when
columns in accordance with Articles 8.15.4 and 8.16.4, concrete is placed by the water or slurry displacement
and the reinforcing steel shall extend a minimum of 10 methods, the clear distance shall not be less than 4 inches
feet below the plane where the soil provides adequate for uncased shafts and shafts with permanent casings not
lateral restraint. sufficiently corrosion resistant.
Where permanent steel casing is used and the shell The reinforcement cage shall be centered in the hole
is smooth pipe and more than 0.12 inch in thickness, it using centering devices. All steel centering devices shall
may be considered as load carrying in the absence of be epoxy coated.
corrosion.
The design of longitudinal and spiral reinforcement 4.6.6.2.6 Reinforcement into Superstructure
shall be in conformance with the requirements of Articles
Sufficient reinforcement shall be provided at the
8.18.1 and 8.18.2.2, respectively. Development of de-
junction of the shaft with the superstructure to make a
formed reinforcement shall be in conformance with the
suitable connection. The embedment of the reinforcement
requirements of Articles 8.24, 8.26, and 8.27.
into the cap shall be in conformance with Articles 8.24
and 8.25.
4.6.6.2.1 Longitudinal Bar Spacing
4.6.6.3 Enlarged Bases
The minimum clear distance between longitudinal
reinforcement shall not be less than 3 times the bar diam- Enlarged bases shall be designed to insure that plain
eter nor 3 times the maximum aggregate size. If bars are concrete is not overstressed. The enlarged base shall slope
bundled in forming the reinforcing cage, the minimum at a side angle not less than 30 degrees from the vertical
clear distance between longitudinal reinforcement shall and have a bottom diameter not greater than 3 times the
diameter of the shaft. The thickness of the bottom edge of • Apparatus for measuring movements.
the enlarged base shall not be less than 6 inches. • Apparatus for measuring loads.
• Procedures for loading including rates of load appli-
4.6.6.4 Center-to-Center Shaft Spacing cation, load cycling and maximum load.
• Procedures for measuring movements.
The center-to-center spacing of drilled shafts should be • Safety requirements.
3B or greater to avoid interference between adjacent • Data presentation requirements and methods of data
shafts during construction. If closer spacing is required, analysis.
the sequence of construction shall be specified and the in- • Drawings showing the procedures and materials to
teraction effects between adjacent shafts shall be evalu- be used to construct the load test apparatus.
ated by the designer.
As a minimum, the results of the load test(s) shall pro-
4.6.7 Load Testing vide the load-deformation response at the butt of the shaft.
When appropriate, information concerning ultimate load
4.6.7.1 General capacity, load transfer, lateral load-displacement with
depth, the effects of shaft group interaction, the degree of
Where necessary, a full scale load test (or tests) should fixity provided by caps and footings, and other data perti-
be conducted on a drilled shaft foundation(s) to confirm nent to the anticipated loading conditions on the produc-
response to load. Load tests shall be conducted using a test tion shafts shall be obtained.
shaft(s) constructed in a manner and of dimensions and
materials identical to those planned for the production
4.6.7.3 Load Test Method Selection
shafts into the materials planned for support. Load testing
should be conducted whenever special site conditions or
Selection of an appropriate load test method shall be
combinations of load are encountered, or when structures
based on an evaluation of the anticipated types and dura-
of special design or sensitivity (e.g., large bridges) are to
tion of loads during service, and shall include considera-
be supported on drilled shaft foundations.
tion of the following:
4.6.7.2 Load Testing Procedures
• The immediate goals of the load test (i.e., to proof
load the foundation and verify design capacity).
Load tests shall be conducted following prescribed
• The loads expected to act on the production founda-
written procedures which have been developed from ac-
tion (compressive and/or uplift, dead and/or live),
cepted standards (e.g., ASTM, 1989; Crowther, 1988) and
and the soil conditions predominant in the region of
modified, as appropriate, for the conditions at the site.
concern.
Standard pile load testing procedures developed by
• The local practice or traditional method used in sim-
ASTM which may be modified for testing drilled shafts
ilar soil/rock deposits.
include:
• Time and budget constraints.
• ASTM D 1143, Standard Method of Testing Piles
Under Static Axial Compressive Load;
• ASTM D 3689, Standard Method of Testing Indi-
vidual Piles Under Static Axial Tensile Load; and Part C
• ASTM D 3966, Standard Method for Testing Piles STRENGTH DESIGN METHOD
Under Lateral Loads. LOAD FACTOR DESIGN
A simplified procedure for testing drilled shafts per- Note to User: Article Number 4.7 has been omitted in-
mitting determination of the relative contribution of side tentionally.
resistance and tip resistance to overall shaft capacity is
also available (Osterberg, 1984).
As a minimum, the written test procedures should in- 4.8 SCOPE
clude the following:
Provisions of this section shall apply for the design
• Apparatus for applying loads including reaction sys- of spread footings, driven piles, and drilled shaft
tem and loading system. foundations.
92 HIGHWAY BRIDGES 4.9
4.9 DEFINITIONS Nominal Resistance—The analytically estimated load-

carrying capacity of a foundation calculated using nomi-
Batter Pile—A pile driven at an angle inclined to the nal dimensions and material properties, and established
vertical to provide higher resistance to lateral loads. soil mechanics principles.
Combination End-Bearing and Friction Pile—Pile that Performance Factor—A factor used to modify a nom-
derives its capacity from the contributions of both end inal resistance, which accounts for the uncertainties asso-
bearing developed at the pile tip and resistance mobilized ciated with the determination of the nominal resistance
along the embedded shaft. and the variability of the actual capacity.
Deep Foundation—A foundation which derives its Pile—A relatively slender deep foundation unit,
support by transferring loads to soil or rock at some depth wholly or partly embedded in the ground, installed by driv-
below the structure by end bearing, by adhesion or fric- ing, drilling, augering, jetting, or otherwise, and which de-
tion or both. rives its capacity from the surrounding soil and/or from
Design Load—All applicable loads and forces or their the soil or rock strata below its tip.
related internal moments and forces used to proportion a Piping—Progressive erosion of soil by seeping water,
foundation. In load factor design, design load refers to producing an open pipe through the soil, through which
nominal loads multiplied by appropriate load factors. water flows in an uncontrolled and dangerous manner.
Design Strength—The maximum load-carrying capac- Shallow Foundation—A foundation which derives its
ity of the foundation, as defined by a particular limit state. support by transferring load directly to the soil or rock at
In load factor design, design strength is computed as the shallow depth. If a single slab covers the supporting stra-
product of the nominal resistance and the appropriate per- tum beneath the entire area of the superstructure, the foun-
formance factor. dation is known as a combined footing. If various parts of
Drilled Shaft—A deep foundation unit, wholly or the structure are supported individually, the individual
partly embedded in the ground, constructed by placing supports are known as spread footings, and the foundation
fresh concrete in a drilled hole with or without steel rein- is called a footing foundation.
forcement. Drilled shafts derive their capacities from the
surrounding soil and/or from the soil or rock strata below 4.10 LIMIT STATES, LOAD FACTORS, AND
their tips. Drilled shafts are also commonly referred to as RESISTANCE FACTORS
caissons, drilled caissons, bored piles or drilled piers.
End-Bearing Pile—A pile whose support capacity is 4.10.1 General
derived principally from the resistance of the foundation
material on which the pile tip rests. All relevant limit states shall be considered in the de-
Factored Load—Load, multiplied by appropriate load sign to ensure an adequate degree of safety and service-
factors, used to proportion a foundation in load factor ability.
design.
Friction Pile—A pile whose support capacity is de- 4.10.2 Serviceability Limit States
rived principally from soil resistance mobilized along the
side of the embedded pile. Service limit states for foundation design shall include:
Limit State—A limiting condition in which the foun-
dation and/or the structure it supports are deemed to be —settlements, and
unsafe (i.e., strength limit state), or to be no longer fully —lateral displacements.
useful for their intended function (i.e., serviceability limit
state). The limit state for settlement shall be based upon ride-
Load Effect—The force in a foundation system (e.g., ability and economy. The cost of limiting foundation
axial force, sliding force, bending moment, etc.) due to the movements shall be compared to the cost of designing the
applied loads. superstructure so that it can tolerate larger movements, or
Load Factor—A factor used to modify a nominal load of correcting the consequences of movements through
effect, which accounts for the uncertainties associated maintenance, to determine minimum lifetime cost. More
with the determination and variability of the load effect. stringent criteria may be established by the owner.
Load Factor Design—A design method in which safety
provisions are incorporated by separately accounting for 4.10.3 Strength Limit States
uncertainties relative to load and resistance.
Nominal Load—A typical value or a code-specified Strength limit states for foundation design shall
value for a load. include:
—bearing resistance failure, 4.11 SPREAD FOOTINGS

—excessive loss of contact,
—sliding at the base of footing, 4.11.1 General Considerations
—loss of overall stability, and
—structural capacity. 4.11.1.1 General
Foundations shall be proportioned such that the fac- Provisions of this article shall apply to design of iso-
tored resistance is not less than the effects of factored lated footings, and where applicable, to combined foot-
loads specified in Section 3. ings. Special attention shall be given to footings on fill.
Footings shall be designed to keep the soil pressure
as nearly uniform as practicable. The distribution of soil
4.10.4 Strength Requirement pressure shall be consistent with properties of the soil
and the structure, and with established principles of soil
Foundations shall be proportioned by the methods mechanics.
specified in Articles 4.11 through 4.13 so that their design
strengths are at least equal to the required strengths. 4.11.1.2 Depth
The required strength is the combined effect of the fac-
tored loads for each applicable load combination stipu- The depth of footings shall be determined with respect
lated in Article 3.22. The design strength is calculated for to the character of the foundation materials and the possi-
each applicable limit state as the nominal resistance, Rn, bility of undermining. Footings at stream crossings shall
multiplied by an appropriate performance (or resistance) be founded at depth below the maximum anticipated
factor, . Methods for calculating nominal resistance are depth of scour as specified in Article 4.11.1.3.
provided in Articles 4.11 through 4.13, and values of per- Footings not exposed to the action of stream current
formance factors are given in Article 4.10.6. shall be founded on a firm foundation and below frost
level.
Consideration shall be given to the use of either a
4.10.5 Load Combinations and Load Factors geotextile or graded granular filter layer to reduce sus-
ceptibility to piping in rip rap or abutment backfill.
Foundations shall be proportioned to withstand safely
all load combinations stipulated in Article 3.22 which are 4.11.1.3 Scour Protection
applicable to the particular site or foundation type. With
the exception of the portions of concrete or steel piles that Footings supported on soil or degradable rock strata
are above the ground line and are rigidly connected to the shall be embedded below the maximum computed scour
superstructure as in rigid frame or continuous structures, depth or protected with a scour counter-measure. Footings
impact forces shall not be considered in foundation design. supported on massive, competent rock formations which
(See Article 3.8.1.) are highly resistant to scour shall be placed directly on the
Values of and
coefficients for load factor design, as cleaned rock surface. Where required, additional lateral
given in Table 3.22.1A, shall apply to strength limit state resistance shall be provided by drilling and grouting steel
considerations; while those for service load design (also dowels into the rock surface rather than blasting to embed
given in Table 3.22.1A) shall apply to serviceability con- the footing below the rock surface.
siderations.
4.11.1.4 Frost Action
4.10.6 Performance Factors In regions where freezing of the ground occurs during
the winter months, footings shall be founded below the
Values of performance factors for different types of maximum depth of frost penetration in order to prevent
foundation systems at strength limit states shall be as damage from frost heave.
specified in Tables 4.10.6-1, 4.10.6-2, and 4.10.6-3, unless
regionally specific values are available. 4.11.1.5 Anchorage
If methods other than those given in Tables 4.10.6-1,
4.10.6-2, and 4.10.6-3 are used to estimate the soil capac- Footings which are founded on inclined smooth solid
ity, the performance factors chosen shall provide the same rock surfaces and which are not restrained by an overbur-
reliability as those given in these tables. den of resistant material shall be effectively anchored by
TABLE 4.10.6-1 Performance Factors for Strength Limit States for Shallow Foundations
means of rock anchors, rock bolts, dowels, keys or other 4.11.1.7 Uplift
suitable means. Shallow keying of large footing areas
shall be avoided where blasting is required for rock Where foundations may be subjected to uplift forces,
removal. they shall be investigated both for resistance to pullout
and for their structural strength.
4.11.1.6 Groundwater
4.11.1.8 Deterioration
Footings shall be designed for the highest anticipated
position of the groundwater table. Deterioration of the concrete in a foundation by
The influence of the groundwater table on bearing sulfate, chloride, and acid attack should be investi-
capacity of soils or rocks, and settlements of the struc- gated. Laboratory testing of soil and groundwater
ture shall be considered. In cases where seepage samples for sulfates, chloride and pH should be suffi-
forces are present, they should also be included in the cient to assess deterioration potential. When chemical
analyses. wastes are suspected, a more thorough chemical anal-
TABLE 4.10.6-2 Performance Factors for Geotechnical Strength Limit States in Axially Loaded Piles
ysis of soil and groundwater samples should be con- i type of load

sidered. L reduced effective length (see Article
4.11.4.1.5) (in length units)
4.11.1.9 Nearby Structures Li load type i

N average value of standard penetration
In cases where foundations are placed adjacent to ex- test blow count (dimensionless)
isting structures, the influence of the existing structures on Nm, Ncm, Nqm modified bearing capacity factors used in
the behavior of the foundation, and the effect of the foun- analytic theory (dimensionless)
dation on the existing structures, shall be investigated. qc cone resistance (in units of force/length2)
qult ultimate bearing capacity (in units of
4.11.2 Notations force/length2)
RI reduction factor due to the effect of load
B footing width (in length units) inclination (dimensionless)
B reduced effective footing width (see Rn nominal resistance
Article 4.11.4.1.5) (in length units) RQD rock quality designation
c soil cohesion (in units of force/length2) s span length (in length units)
Cw1, Cw2 correction factors for groundwater effect su undrained shear strength of soil (in units
(dimensionless) of force/length2)
Df depth to footing base (in length units)
i load factor coefficient for load type i (see
Dw depth to groundwater table (in length Article C 4.10.4)
units) load factor (see Article C 4.10.4)
Em elastic modulus of rock masses (in units total (moist) unit weight of soil (see Arti-
of force/length2) cle C 4.11.4.1.1)
TABLE 4.10.6-3 Performance Factors for Geotechnical Strength Limit States

in Axially Loaded Drilled Shafts
differential settlement between adjacent 4.11.3.4 Settlement Analyses

footings
performance factor Foundation settlements shall be estimated using de-
f friction angle of soil formation analyses based on the results of laboratory or
in situ testing. The soil parameters used in the analyses
4.11.3 Movement Under Serviceability shall be chosen to reflect the loading history of the
Limit States ground, the construction sequence and the effect of soil
layering.
4.11.3.1 General Both total and differential settlements, including time
effects, shall be considered.
Movement of foundations in both vertical settlement
and lateral displacement directions shall be investigated at
4.11.3.4.1 Settlement of Footings on
service limit states.
Cohesionless Soils
Lateral displacement of a structure shall be evaluated
when: Estimates of settlement of cohesionless soils shall
make allowance for the fact that settlements in these soils
—horizontal or inclined loads are present, can be highly erratic.
—the foundation is placed on an embankment slope, No method should be considered capable of predicting
—possibility of loss of foundation support through settlements of footings on sand with precision.
erosion or scour exists, or Settlements of footings on cohesionless soils may be
—bearing strata are significantly inclined. estimated using empirical procedures or elastic theory.
4.11.3.2 Loads 4.11.3.4.2 Settlement of Footings on Cohesive Soils

Immediate settlement shall be determined using the For foundations on cohesive soils, both immediate and
service load combinations given in Table 3.22.1A. Time- consolidation settlements shall be investigated. If the
dependent settlement shall be determined using only the footing width is small relative to the thickness of a com-
permanent loads. pressible soil, the effect of three-dimensional loading
Settlement and horizontal movements caused by em- shall be considered. In highly plastic and organic clay,
bankment loadings behind bridge abutments should be in- secondary settlements are significant and shall be in-
vestigated. cluded in the analysis.
In seismically active areas, consideration shall be
given to the potential settlement of footings on sand re-
4.11.3.4.3 Settlements of Footings on Rock
sulting from ground motions induced by earthquake load-
ings. For guidance in design, refer to Division I-A of these The magnitude of consolidation and secondary settle-
Specifications. ments in rock masses containing soft seams shall be esti-
mated by applying procedures discussed in Article
4.11.3.3 Movement Criteria 4.11.3.4.2.
Vertical and horizontal movement criteria for footings

4.11.4 Safety Against Soil Failure
shall be developed consistent with the function and type
of structure, anticipated service life, and consequences of
unacceptable movements on structure performance. The 4.11.4.1 Bearing Capacity of Foundation Soils
tolerable movement criteria shall be established by em-
pirical procedures or structural analyses. Several methods may be used to calculate ultimate
The maximum angular distortion (/s) between bearing capacity of foundation soils. The calculated value
adjacent foundations shall be limited to 0.008 for sim- of ultimate bearing capacity shall be multiplied by an ap-
ple span bridges and 0.004 for continuous span bridges. propriate performance factor, as given in Article 4.10.6, to
These /s limits shall not be applicable to rigid frame determine the factored bearing capacity.
structures. Rigid frames shall be designed for anticipated Footings are considered to be adequate against soil
differential settlements based on the results of special failure if the factored bearing capacity exceeds the effect
analyses. of design loads.
4.11.4.1.1 Theoretical Estimation sure that: (1) the product of the bearing capacity and an
appropriate performance factor exceeds the effect of ver-
The bearing capacity should be estimated using ac-
tical design loads, and (2) eccentricity of loading, evalu-
cepted soil mechanics theories based on measured soil pa-
ated based on factored loads, is less than 1⁄4 of the footing
rameters. The soil parameter used in the analysis shall be
dimension in any direction for footings on soils.
representative of the soil shear strength under the consid-
For structural design of an eccentrically loaded foun-
ered loading and subsurface conditions.
dation, a triangular or trapezoidal contact pressure distri-
bution based on factored loads shall be used.
4.11.4.1.2 Semi-empirical Procedures
The bearing capacity of foundation soils may be esti-
4.11.4.1.6 Effect of Groundwater Table
mated from the results of in situ tests or by observing
foundations on similar soils. The use of a particular in situ Ultimate bearing capacity shall be determined based
test and the interpretation of the results shall take local ex- on the highest anticipated position of groundwater level
perience into consideration. The following in situ tests at the footing location. In cases where the groundwater
may be used: table is at a depth less than 1.5 times the footing width
below the bottom of the footing, reduction of bearing
—Standard penetration test (SPT), capacity, as a result of submergence effects, shall be
—Cone penetration test (CPT), and considered.
—Pressuremeter test.
4.11.4.1.3 Plate Loading Test 4.11.4.2 Bearing Capacity of

Foundations on Rock
Bearing capacity may be determined by load tests pro-
viding that adequate subsurface explorations have been The bearing capacity of footings on rock shall consider
made to determine the soil profile below the foundation. the presence, orientation and condition of discontinuities,
The bearing capacity determined from a load test may weathering profiles and other similar profiles as they
be extrapolated to adjacent footings where the subsurface apply at a particular site, and the degree to which they
profile is similar. shall be incorporated in the design.
Plate load test shall be performed in accordance with For footings on competent rock, reliance on simple and
the procedures specified in ASTM Standard D 1194-87 or direct analyses based on uniaxial compressive rock
AASHTO Standard T 235. strengths and RQD may be applicable. Competent
rock shall be defined as a rock mass with discontinuities
4.11.4.1.4 Presumptive Values that are tight or open not wider than 1⁄8 inch. For footings
on less competent rock, more detailed investigations and
Presumptive values for allowable bearing pressures on
analyses shall be performed to account for the effects
soil and rock, given in Table 4.11.4.1.4-1, shall be used
of weathering, and the presence and condition of discon-
only for guidance, preliminary design or design of tem-
tinuities.
porary structures. The use of presumptive values shall be
Footings on rocks are considered to be adequate
based on the results of subsurface exploration to identify
against bearing capacity failure if the product of the ulti-
soil and rock conditions. All values used for design shall
mate bearing capacity determined using procedures de-
be confirmed by field and/or laboratory testing.
scribed in Articles 4.11.4.2.1 through 4.11.4.2.3 and
The values given in Table 4.11.4.1.4-1 are applicable
an appropriate performance factor exceeds the effect of
directly for working stress procedures. When these values
design loads.
are used for preliminary design, all load factors shall be
taken as unity.
4.11.4.2.1 Semi-empirical Procedures
4.11.4.1.5 Effect of Load Eccentricity
Bearing capacity of foundations on rock may be deter-
For loads eccentric to the centroid of the footing, a re- mined using empirical correlation with RQD, or other sys-
duced effective footing area (B L) shall be used in de- tems for evaluating rock mass quality, such as the Geo-
sign. The reduced effective area is always concentrically mechanic Rock Mass Rating (RMR) system, or
loaded, so that the design bearing pressure on the reduced Norwegian Geotechnical Institute (NGI) Rock Mass
effective area is always uniform. Classification System. The use of these semi-empirical
Footings under eccentric loads shall be designed to en- procedures shall take local experience into consideration.
TABLE 4.11.4.1.4-1 Presumptive Allowable Bearing Pressures for Spread Footing Foundations
Modified after U.S. Department of the Navy, 1982
4.11.4.2.2 Analytic Method 4.11.5 Structural Capacity

The ultimate bearing capacity of foundations on rock
The structural design of footings shall comply to the
shall be determined using established rock mechanics
provisions given in Articles 4.4.11 and 8.16.
principles based on the rock mass strength parameters.
The influence of discontinuities on the failure mode shall
4.11.6 Construction Considerations for
also be considered.
Shallow Foundations
4.11.4.2.3 Load Test
4.11.6.1 General
Where appropriate, load tests may be performed to de-
termine the bearing capacity of foundations on rock. The ground conditions should be monitored closely
during construction to determine whether or not the
4.11.4.2.4 Presumptive Bearing Values ground conditions are as foreseen and to enable prompt
intervention, if necessary. The control investigation
For simple structures on good quality rock masses, val-
should be performed and interpreted by experienced and
ues of presumptive bearing pressure given in Table
qualified engineers. Records of the control investigations
4.11.4.2.4-1 may be used for preliminary design. The use
should be kept as part of the final project data, among
of presumptive values shall be based on the results of sub-
other things, to permit a later assessment of the founda-
surface exploration to identify rock conditions. All values
tion in connection with rehabilitation, change of neigh-
used in design shall be confirmed by field and/or labora-
boring structures, etc.
tory testing. The values given in Table 4.11.4.2.4-1 are di-
rectly applicable to working stress procedure, i.e., all the
4.11.6.2 Excavation Monitoring
load factors shall be taken as unity.
Prior to concreting footings or placing backfill, an ex-
4.11.4.2.5 Effect of Load Eccentricity
cavation shall be free of debris and excessive water.
If the eccentricity of loading on a footing is less than Monitoring by an experienced and trained person
1
⁄ 6 of the footing width, a trapezoidal bearing pressure should always include a thorough examination of the sides
shall be used in evaluating the bearing capacity. If the ec- and bottom of the excavation, with the possible addition
centricity is between 1⁄ 6 and 1⁄ 4 of the footing width, a of pits or borings to evaluate the geological conditions.
triangular bearing pressure shall be used. The maximum The assumptions made during the design of the foun-
bearing pressure shall not exceed the product of the ulti- dations regarding strength, density, and groundwater con-
mate bearing capacity multiplied by a suitable perfor- ditions should be verified during construction, by visual
mance factor. The eccentricity of loading evaluated using inspection.
factored loads shall not exceed 3⁄8 (37.5%) of the footing
dimensions in any direction. 4.11.6.3 Compaction Monitoring
4.11.4.3 Failure by Sliding Compaction shall be carried out in a manner so that the
fill material within the section under inspection is as close
Failure by sliding shall be investigated for footings that as practicable to uniform. The layering and compaction of
support inclined loads and/or are founded on slopes. the fill material should be systematic everywhere, with the
For foundations on clay soils, possible presence of a same thickness of layer and number of passes with the
shrinkage gap between the soil and the foundation shall be compaction equipment used as for the inspected fill. The
considered. If passive resistance is included as part of the control measurements should be undertaken in the form
shear resistance required for resisting sliding, considera- of random samples.
tion shall also be given to possible future removal of the
soil in front of the foundation. 4.12 DRIVEN PILES
4.11.4.4 Loss of Overall Stability 4.12.1 General
The overall stability of footings, slopes and foundation The provisions of the specifications in Articles 4.5.1
soil or rock, shall be evaluated for footings located on or through 4.5.21 with the exception of Article 4.5.6, shall
near a slope using applicable factored load combinations apply to strength design (load factor design) of driven
in Article 3.22 and a performance factor of 0.75. piles. Article 4.5.6 covers the allowable stress design of
TABLE 4.11.4.2.4-1 Presumptive Bearing Pressures (tsf) for Foundations on Rock (After Putnam, 1981)
piles and shall be replaced by the articles in this section Es soil modulus
for load factor design of driven piles, unless otherwise fs sleeve friction measured from a CPT at point con-
stated. sidered
H distance between pile tip and a weaker underly-
4.12.2 Notations ing soil layer
Hs depth of embedment of pile socketed into rock
as pile perimeter I influence factor for the effective group embed-
Ap area of pile tip ment
As surface area of shaft of pile Ip moment of inertia of a pile
CPT cone penetration test K coefficient of lateral earth pressure
d dimensionless depth factor for estimating tip ca- Kc correction factor for sleeve friction in clay
pacity of piles in rock Ks correction factor for sleeve friction in sand
D pile width or diameter Ksp dimensionless bearing capacity coefficient
D effective depth of pile group Lf depth to point considered when measuring sleeve
Db depth of embedment of pile into a bearing stratum friction
Ds diameter of socket nh rate of increase of soil modulus with depth
ex eccentricity of load in the x-direction N Standard Penetration Test (SPT) blow count
ey eccentricity of load in the y-direction
N average uncorrected SPT blow count along pile
Ep Young’s modulus of a pile shaft
Ncorr average SPT-N value corrected for effect of v vertical effective stress
overburden av average shear stress along side of pile
Npile number of piles in a pile group performance factor
OCR overconsolidation ratio øg performance factor for the bearing capacity of a
PD unfactored dead load pile group failing as a unit consisting of the piles
Pg factored total axial load acting on a pile group and the block of soil contained within the piles
Px,y factored axial load acting on a pile in a pile group; øq performance factor for the total ultimate bearing
the pile has coordinates (X,Y) with respect to the capacity of a pile
centroidal origin in the pile group øqs performance factor for the ultimate shaft capacity
PI plasticity index of a pile
q net foundation pressure øqp performance factor for the ultimate tip capacity of
qc static cone resistance a pile
ql limiting tip resistance øu Performance factor for the uplift capacity of a sin-
qo limiting tip resistance in lower stratum gle pile
qp ultimate unit tip resistance øug performance factor for the uplift capacity of pile
qs ultimate unit side resistance groups
qu average uniaxial compressive strength of rock
cores 4.12.3 Selection of Design Pile Capacity
qult ultimate bearing capacity
Qp ultimate load carried by tip of pile Piles shall be designed to have adequate bearing and
Qs ultimate load carried by shaft of pile structural capacity, under tolerable settlements and toler-
Qug ultimate uplift resistance of a pile group or a able lateral displacements.
group of drilled shafts The supporting capacity of piles shall be determined by
Qult ultimate bearing capacity static analysis methods based on soil-structure interaction.
R characteristic length of soil-pile system in cohe- Capacity may be verified with pile load test results, use of
sive soils wave equation analysis, use of the dynamic pile analyzer
sd spacing of discontinuities or, less preferably, use of dynamic formulas.
S average spacing of piles
Su undrained shear strength 4.12.3.1 Factors Affecting Axial Capacity
SPT Standard Penetration Test
u average undrained shear strength along pile shaft
S See Article 4.5.6.1.1. The following sub-articles shall
td width of discontinuities supplement Article 4.5.6.1.1.
T characteristic length of soil-pile system in cohe-
sionless soils 4.12.3.1.1 Pile Penetration
Wg weight of block of soil, piles and pile cap
x distance of the centroid of the pile from the cen- Piling used to penetrate a soft or loose upper stratum
troid of the pile cap in the x-direction overlying a hard or firm stratum, shall penetrate the hard
X width of smallest dimension of pile group or firm stratum by a sufficient distance to limit lateral and
y distance of the centroid of the pile from the cen- vertical movement of the piles, as well as to attain suffi-
troid of the pile cap in the y-direction cient vertical bearing capacity.
Y length of pile group or group of drilled shafts
Z total embedded pile length 4.12.3.1.2 Groundwater Table and Buoyancy
adhesion factor applied to Su Ultimate bearing capacity shall be determined using
coefficient relating the vertical effective stress the groundwater level consistent with that used to calcu-
and the unit skin friction of a pile or drilled shaft late load effects. For drained loading, the effect of hydro-
effective unit weight of soil static pressure shall be considered in the design.
angle of shearing resistance between soil and pile
empirical coefficient relating the passive lateral
4.12.3.1.3 Effect Of Settling Ground and
earth pressure and the unit skin friction of a pile
Downdrag Forces
pile group efficiency factor
settlement Possible development of downdrag loads on piles shall
tol tolerable settlement be considered where sites are underlain by compressible
h horizontal effective stress clays, silts or peats, especially where fill has recently been
placed on the earlier surface, or where the groundwater is veloped considering the potential effects of combined ver-
substantially lowered. Downdrag loads shall be consid- tical and horizontal movement. Where combined hori-
ered as a load when the bearing capacity and settlement of zontal and vertical displacements are possible, horizontal
pile foundations are investigated. Downdrag loads shall movement shall be limited to 1.0 inch or less. Where ver-
not be combined with transient loads. tical displacements are small, horizontal displacements
The downdrag loads may be calculated, as specified in shall be limited to 2.0 inches or less (Moulton et al.,
Article 4.12.3.3.2 with the direction of the skin friction 1985). If estimated or actual movements exceed these lev-
forces reversed. The factored downdrag loads shall be els, special analysis and/or measures shall be considered.
added to the factored vertical dead load applied to the
deep foundation in the assessment of bearing capacity. 4.12.3.2.3 Settlement
The effect of reduced overburden pressure caused by the
The settlement of a pile foundation shall not exceed the
downdrag shall be considered in calculating the bearing
tolerable settlement, as selected according to Article
capacity of the foundation.
4.12.3.2.2.
The downdrag loads shall be added to the vertical dead
load applied to the deep foundation in the assessment of 4.12.3.2.3a Cohesive Soil
settlement at service limit states.
Procedures used for shallow foundations shall be used
4.12.3.1.4 Uplift to estimate the settlement of a pile group, using the equiv-
alent footing location shown in Figure 4.12.3.2.1-1.
Pile foundations designed to resist uplift forces should
be checked both for resistance to pullout and for structural 4.12.3.2.3b Cohesionless Soil
capacity to carry tensile stresses. Uplift forces can be
caused by lateral loads, buoyancy effects, and expansive The settlement of pile groups in cohesionless soils can
soils. be estimated using results of in situ tests, and the equiva-
lent footing location shown in Figure 4.12.3.2.1-1.
4.12.3.2 Movement Under Serviceability
4.12.3.2.4 Lateral Displacement
Limit State
The lateral displacement of a pile foundation shall not
4.12.3.2.1 General exceed the tolerable lateral displacement, as selected ac-
cording to Article 4.12.3.2.2.
For purposes of calculating the settlements of pile The lateral displacement of pile groups shall be esti-
groups, loads shall be assumed to act on an equivalent mated using procedures that consider soil-structure inter-
footing located at two-thirds of the depth of embedment action.
of the piles into the layer which provide support as shown
in Figure 4.12.3.2.1-1. 4.12.3.3 Resistance at Strength Limit States
Service loads for evaluating foundation settlement
shall include both the unfactored dead and live loads for The strength limit states that shall be considered in-
piles in cohesionless soils and only the unfactored dead clude:
load for piles in cohesive soils.
Service loads for evaluating lateral displacement of —bearing capacity of piles,
foundations shall include all lateral loads in each of the —uplift capacity of piles,
load combinations as given in Article 3.22. —punching of piles in strong soil into a weaker layer,
and
4.12.3.2.2 Tolerable Movement —structural capacity of the piles.
Tolerable axial and lateral movements for driven pile
4.12.3.3.1 Axial Loading of Piles
foundations shall be developed consistent with the func-
tion and type of structure, fixity of bearings, anticipated Preference shall be given to a design process based
service life and consequences of unacceptable displace- upon static analyses in combination with either field mon-
ments on performance of the structure. itoring during driving or load tests. Load test results may
Tolerable settlement criteria for foundations shall be be extrapolated to adjacent substructures with similar sub-
developed considering the maximum angular distortion surface conditions. The ultimate bearing capacity of piles
according to Article 4.11.3.3. may be estimated using analytic methods or in situ test
Tolerable horizontal displacement criteria shall be de- methods.
4.12.3.3.2 Analytic Estimates of Pile Capacity When piles are subjected to uplift, they should be in-
vestigated for both resistance to pullout and structural
Analytic methods may be used to estimate the ultimate
ability to resist tension.
bearing capacity of piles in cohesive and cohesionless
soils. Both total and effective stress methods may be used
4.12.3.3.7a Single Pile Uplift Capacity
provided the appropriate soil strength parameters are eval-
uated. The performance factors for skin friction and tip re- The ultimate uplift capacity of a single pile shall be es-
sistance, estimated using three analytic methods, shall be timated in a manner similar to that for estimating the skin
as provided in Table 4.10.6-2. If another analytic method friction resistance of piles in compression in Article
is used, application of performance factors presented in 4.12.3.3.2 for piles in cohesive soils and Article 4.12.3.3.3
Table 4.10.6-2 may not be appropriate. for piles in cohesionless soils. Performance factors for
the uplift capacity of single piles shall be as provided in
4.12.3.3.3 Pile of Capacity Estimates Based Table 4.10.6-2.
on In Situ Tests
4.12.3.3.7b Pile Group Uplift Capacity
In situ test methods may be used to estimate the ulti-
mate axial capacity of piles. The performance factors for The ultimate uplift capacity of a pile group shall be es-
the ultimate skin friction and ultimate tip resistance, esti- timated as the lesser of the sum of the individual pile up-
mated using in situ methods, shall be as provided in Table lift capacities, or the uplift capacity of the pile group con-
4.10.6-2. sidered as a block. The block mechanism for cohesionless
soil shall be taken as provided in Figure C4.12.3.7.2-1 and
4.12.3.3.4 Piles Bearing on Rock for cohesive soils as given in Figure C4.12.3.7.2-2. Buoy-
ant unit weights shall be used for soil below the ground-
For piles driven to weak rock such as shales and mud-
water level.
stones or poor quality weathered rock, the ultimate tip
The performance factor for the group uplift capacity
capacity shall be estimated using semi-empirical meth-
calculated as the sum of the individual pile capacities shall
ods. The performance factor for the ultimate tip resistance
be the same as those for the uplift capacity of single piles
of piles bearing on rock shall be as provided in Table
as given in Table 4.10.6-2. The performance factor for the
4.10.6-2.
uplift capacity of the pile group considered as a block
shall be as provided in Table 4.10.6-2 for pile groups in
4.12.3.3.5 Pile Load Test
clay and in sand.
The load test method specified in ASTM D 1143-81
may be used to verify the pile capacity. Tensile load test- 4.12.3.3.8 Lateral Load
ing of piles shall be done in accordance with ASTM D
For piles subjected to lateral loads, the pile heads shall
3689-83 Lateral load testing of piles shall be done in ac-
be fixed into the pile cap. Any disturbed soil or voids cre-
cordance with ASTM D 3966-81. The performance factor
ated from the driving of the piles shall be replaced with
for the axial compressive capacity, axial uplift capacity
compacted granular material.
and lateral capacity obtained from pile load tests shall be
The effects of soil-structure or rock-structure interac-
as provided in Table 4.10.6-2.
tion between the piles and ground, including the number
and spacing of the piles in the group, shall be accounted
4.12.3.3.6 Presumptive End Bearing Capacities
for in the design of laterally loaded piles.
Presumptive values for allowable bearing pressures
given in Table 4.11.4.1.4-1 on soil and rock shall be used 4.12.3.3.9 Batter Pile
only for guidance, preliminary design or design of tem-
The bearing capacity of a pile group containing batter
porary structures. The use of presumptive values shall be
piles may be estimated by treating the batter piles as ver-
based on the results of subsurface exploration to identify
tical piles.
soil and rock conditions. All values used for design shall
be confirmed by field and/or laboratory testing.
4.12.3.3.10 Group Capacity
4.12.3.3.7 Uplift
4.12.3.3.10a Cohesive Soil
Uplift shall be considered when the force effects cal-
culated based on the appropriate strength limit state load If the cap is not in firm contact with the ground, and if
combinations are tensile. the soil at the surface is soft, the individual capacity of
4.12.3.3.10A DIVISION I—DESIGN 105
each pile shall be multiplied by an efficiency factor , sign of driven piles subjected to dynamic and seismic
where 0.7 for a center-to-center spacing of three di- loads.
ameters and 1.0 for a center-to-center spacing of six
diameters. For intermediate spacings, the value of may 4.12.4 Structural Design
be determined by linear interpolation.
If the cap is not in firm contact with the ground and The structural design of driven piles shall be in accor-
if the soil is stiff, then no reduction in efficiency shall be dance with the provisions of Articles 4.5.7, which was de-
required. veloped for allowable stress design procedures. To use
If the cap is in firm contact with the ground, then no re- load factor design procedures for the structural design of
duction in efficiency shall be required. driven piles, the load factor design procedures for rein-
The group capacity shall be the lesser of: forced concrete, prestressed concrete and steel in Sections
8, 9, and 10, respectively, shall be used in place of the al-
—the sum of the modified individual capacities of each lowable stress design procedures.
pile in the group, or
—the capacity of an equivalent pier consisting of the 4.12.4.1 Buckling of Piles
piles and a block of soil within the area bounded by
the piles. Stability of piles shall be considered when the piles ex-
tend through water or air for a portion of their lengths.
For the equivalent pier, the full shear strength of soil
shall be used to determine the skin friction resistance, the 4.12.5 Construction Considerations
total base area of the equivalent pier shall be used to de-
termine the end bearing resistance, and the additional ca- Foundation design shall not be uncoupled from con-
pacity of the cap shall be ignored. struction considerations. Factors such as pile driving, pile
The performance factor for the capacity of an equiva- splicing, and pile inspection shall be done in accordance
lent pier or block failure shall be as provided in Table with the provisions of this specification and Division II.
4.10.6-2. The performance factors for the group capacity
calculated using the sum of the individual pile capacities, 4.13 DRILLED SHAFTS
are the same as those for the single pile capacity as given
in Table 4.10.6-2. 4.13.1 General
4.12.3.3.10b Cohesionless Soil The provisions of the specifications in Articles 4.6.1

through 4.6.7, with the exception of Article 4.6.5, shall
The ultimate bearing capacity of pile groups in cohe- apply to the strength design (load factor design) of drilled
sionless soil shall be the sum of the capacities of all the shafts. Article 4.6.5 covers the allowable stress design of
piles in the group. The efficiency factor, , shall be 1.0 drilled shafts, and shall be replaced by the articles in this
where the pile cap is, or is not, in contact with the ground. section for load factor design of drilled shafts, unless oth-
The performance factor is the same as those for single pile erwise stated.
capacities as given in Table 4.10.6-2. The provisions of Article 4.13 shall apply to the design
of drilled shafts, but not drilled piles installed with con-
4.12.3.3.10c Pile Group in Strong Soil tinuous flight augers that are concreted as the auger is
Overlying a Weak or being extracted.
Compressible Soil
4.13.2 Notations
If a pile group is embedded in a strong soil deposit over-
lying a weaker deposit, consideration shall be given to the
a parameter used for calculating Fr
potential for a punching failure of the pile tips into the
Ap area of base of drilled shaft
weaker soil stratum. If the underlying soil stratum consists
As surface area of a drilled pier
of a weaker compressible soil, consideration shall be given
Asoc cross-sectional area of socket
to the potential for large settlements in that weaker layer.
Au annular space between bell and shaft
b perimeter used for calculating Fr
4.12.3.3.11 Dynamic/Seismic Design
CPT cone penetration test
Refer to Division I-A of these Specifications and Lam d dimensionless depth factor for estimating tip
and Martin (1986a, 1986b) for guidance regarding the de- capacity of drilled shafts in rock
D diameter of drilled shaft Qult total ultimate bearing capacity

Db embedment of drilled shaft in layer that pro- R characteristic length of soil-drilled shaft sys-
vides support tem in cohesive soils
Dp diameter of base of a drilled shaft RQD Rock Quality Designation
Ds diameter of a drilled shaft socket in rock sd spacing of discontinuities
Ec Young’s modulus of concrete SPT Standard Penetration Test
Ei intact rock modulus Su undrained shear strength
Ep Young’s modulus of a drilled shaft td width of discontinuities
Er modulus of the in situ rock mass T characteristic length of soil-drilled shaft sys-
Es soil modulus tem in cohesionless soils
Fr reduction factor for tip resistance of large z depth below ground surface
diameter drilled shaft Z total embedded length of drilled shaft
Hs depth of embedment of drilled shaft socketed
Greek
into rock
adhesion factor applied to Su
Ip moment of inertia of a drilled shaft

coefficient relating the vertical effective stress
I influence coefficient (see Figure
and the unit skin friction of a drilled shaft
C4.13.3.3.4-1)
effective unit weight of soil
I influence coefficient for settlement of drilled
angle of shearing resistance between soil and
shafts socketed in rock
drilled shaft
k factor that reduces the tip capacity for shafts
drilled shaft group efficiency factor
with a base diameter larger than 20 inches so
base settlement of the base of the drilled shaft
as to limit the shaft settlement to 1 inch
e elastic shortening of drilled shaft
K coefficient of lateral earth pressure or load
tol tolerable settlement
transfer factor
v vertical effective stress
Kb dimensionless bearing capacity coefficient for
v total vertical stress
drilled shafts socketed in rock using pres-
Pi working load at top of socket
suremeter results
performance factor
KE modulus modification ratio
or f angle of internal friction of soil
Ksp dimensionless bearing capacity coefficient
q performance factor for the total ultimate bear-
(see Figure C4.13.3.3.4-4)
ing capacity of a drilled shaft
LL liquid limit of soil
qs performance factor for the ultimate shaft ca-
N uncorrected Standard Penetration Test (SPT)
pacity of a drilled shaft
blow count
qp performance factor for the ultimate tip capac-
Nc bearing capacity factor
ity of a drilled shaft
Ncorr corrected SPT-N value
Nu uplift bearing capacity factor
p1 limit pressure determined from pressuremeter 4.13.3 Geotechnical Design
tests within 2D above and below base of shaft
Po at rest horizontal stress measured at the base Drilled shafts shall be designed to have adequate bear-
of drilled shaft ing and structural capacities under tolerable settlements
PD unfactored dead load and tolerable lateral movements.
PL plastic limit of soil The supporting capacity of drilled shafts shall be esti-
qp ultimate unit tip resistance mated by static analysis methods (analytical methods
qpr reduced ultimate unit tip resistance of drilled based on soil-structure interaction). Capacity may be ver-
shafts ified with load test results.
qs ultimate unit side resistance The method of construction may affect the drilled shaft
qs bell unit uplift capacity of a belled drilled shaft capacity and shall be considered as part of the design
qu uniaxial compressive strength of rock core process. Drilled shafts may be constructed using the dry,
qult ultimate bearing capacity casing or wet method of construction, or a combination of
Qp ultimate load carried by tip of drilled shaft methods. In every case, hole excavation, concrete place-
Qs ultimate load carried by side of drilled shaft ment, and all other aspects shall be performed in con-
QSR ultimate side resistance of drilled shafts sock- formance with the provisions of this specification and
eted in rock Division II.
4.13.3.1 Factors Affecting Axial Capacity 4.13.3.2.3a Settlement of Single Drilled Shafts
The settlement of single drilled shafts shall be esti-
See Article 4.6.5.2 for drilled shafts in soil and Arti-
mated considering short-term settlement, consolidation
cle 4.6.5.3.3 for drilled shafts in rock. The follow-
settlement (if constructed in cohesive soils), and axial
ing sub-articles shall supplement Articles 4.6.5.2 and
compression of the drilled shaft.
4.6.5.3.3.
4.13.3.2.3b Group Settlement
4.13.3.1.1 Downdrag Loads
The settlement of groups of drilled shafts shall be esti-
Downdrag loads shall be evaluated, where appropriate, mated using the same procedures as described for pile
as indicated in Article 4.12.3.1.3. groups, Article 4.12.3.2.3.
4.13.3.1.2 Uplift —Cohesive Soil, See Article 4.12.3.2.3a

—Cohesionless Soil, See Article 4.12.3.2.3b
The provisions of Article 4.12.3.1.4 shall apply as ap-
plicable. 4.13.3.2.4 Lateral Displacement
Shafts designed for and constructed in expansive soil
shall extend for a sufficient depth into moisture-stable The provisions of Article 4.12.3.2.4 shall apply as
soils to provide adequate anchorage to resist uplift. Suffi- applicable.
cient clearance shall be provided between the ground sur-
face and underside of caps or beams connecting shafts to 4.13.3.3 Resistance at Strength Limit States
preclude the application of uplift loads at the shaft/cap
connection due to swelling ground conditions. Uplift ca- The strength limit states that must be considered in-
pacity of straight-sided drilled shafts shall rely only on clude: (1) bearing capacity of drilled shafts, (2) uplift ca-
side resistance in conformance with Article 4.13.3.3.2 for pacity of drilled shafts, and (3) punching of drilled shafts
drilled shafts in cohesive soils, and Article 4.13.3.3.3 for bearing in strong soil into a weaker layer below.
drilled shafts in cohesionless soils. If the shaft has an en-
larged base, Qs shall be determined in conformance with 4.13.3.3.1 Axial Loading of Drilled Shafts
Article 4.13.3.3.6. The provisions of Article 4.12.3.3.1 shall apply as
applicable.
4.13.3.2 Movement Under Serviceability
Limit State 4.13.3.3.2 Analytic Estimates of Drilled Shaft
Capacity in Cohesive Soils
4.13.3.2.1 General Analytic (rational) methods may be used to estimate
The provisions of Article 4.12.3.2.1 shall apply as the ultimate bearing capacity of drilled shafts in cohesive
applicable. soils. The performance factors for side resistance and tip
In estimating settlements of drilled shafts in clay, only resistance for three analytic methods shall be as provided
unfactored permanent loads shall be considered. However in Table 4.10.6-3. If another analytic method is used, ap-
unfactored live loads must be added to the permanent plication of the performance factors in Table 4.10.6-3 may
loads when estimating settlement of shafts in granular not be appropriate.
soil.
4.13.3.3.3 Estimation of Drilled-Shaft Capacity in
Cohesionless Soils
The ultimate bearing capacity of drilled shafts in co-
The provisions of Article 4.12.3.2.2 shall apply as hesionless soils shall be estimated using applicable meth-
applicable. ods, and the factored capacity selected using judgment,
and any available experience with similar conditions.
4.13.3.2.3 Settlement
4.13.3.3.4 Axial Capacity in Rock
The settlement of a drilled shaft foundation involving
either single drilled shafts or groups of drilled shafts shall In determining the axial capacity of drilled shafts with
not exceed the tolerable settlement as selected according rock sockets, the side resistance from overlying soil de-
to Article 4.13.3.2.2 posits shall be ignored.
If the rock is degradable, consideration of special con- or structural failure of the drilled shaft. The design of lat-
struction procedures, larger socket dimensions, or re- erally loaded drilled shafts shall account for the effects of
duced socket capacities shall be considered. interaction between the shaft and ground, including the
The performance factors for drilled shafts socketed in number of piers in the group.
rock shall be as provided in Table 4.10.6-3.
4.13.3.3.8 Group Capacity
4.13.3.3.5 Load Test
Possible reduction in capacity from group effects shall
Where necessary, a full scale load test or tests shall be
be considered.
conducted on a drilled shaft or shafts to confirm response
to load. Load tests shall be conducted using shafts con-
structed in a manner and of dimensions and materials 4.13.3.3.8a Cohesive Soil
identical to those planned for the production shafts. The provisions of Article 4.12.3.3.10a shall apply. The
Load tests shall be conducted following prescribed performance factor for the group capacity of an equivalent
written procedures which have been developed from ac- pier or block failure shall be as provided in Table 4.10.6-
cepted standards and modified, as appropriate, for the 2 for both cases of the cap being in contact, and not in con-
conditions at the site. Standard pile load testing proce- tact with the ground. The performance factors for the
dures developed by ASTM as specified in Article group capacity calculated using the sum of the individual
4.12.3.3.5 may be modified for testing drilled shafts. drilled shaft capacities are the same as those for the single
The performance factor for axial compressive capac- drilled shaft capacities.
ity, axial uplift capacity, and lateral capacity obtained
from load tests shall be as provided in Table 4.10.6-3.
4.13.3.3.8b Cohesionless Soil
4.13.3.3.6 Uplift Capacity Evaluation of group capacity of shafts in cohesionless
Uplift shall be considered when (i) upward loads act on soil shall consider the spacing between adjacent shafts.
the drilled shafts and (ii) swelling or expansive soils act Regardless of cap contact with the ground, the individual
on the drilled shafts. Drilled shafts subjected to uplift capacity of each shaft shall be reduced by a factor for
forces shall be investigated, both for resistance to pullout an isolated shaft, where 0.67 for a center-to-center
and for their structural strength. (CTC) spacing of three diameters and 1.0 for a cen-
ter-to-center spacing of eight diameters. For intermediate
4.13.3.3.6a Uplift Capacity of a Single spacings, the value of may be determined by linear
Drilled Shaft interpolation.
See Article 4.13.3.3.3 for a discussion on the selection
The uplift capacity of a single straight-sided drilled of performance factors for drilled shaft capacities in co-
shaft shall be estimated in a manner similar to that for hesionless soils.
estimating the ultimate side resistance for drilled shafts
in compression (Articles 4.13.3.3.2, 4.13.3.3.3, and
4.13.3.3.4). 4.13.3.3.8c Group in Strong Soil Overlying
The uplift capacity of a belled shaft shall be estimated Weaker Compressible Soil
neglecting the side resistance above the bell, and assum- The provisions of Article 4.12.3.3.10c shall apply as
ing that the bell behaves as an anchor. applicable.
The performance factor for the uplift capacity of
drilled shafts shall be as provided in Table 4.10.6-3.
4.13.3.3.9 Dynamic/Seismic Design
4.13.3.3.6b Group Uplift Capacity
Refer to Division I-A for guidance regarding the design
See Article 4.12.3.3.7b. The performance factors for of drilled shafts subjected to dynamic and seismic loads.
uplift capacity of groups of drilled shafts shall be the same
as those for pile groups as given in Table 4.10.6-3.
4.13.4 Structural Design
4.13.3.3.7 Lateral Load
The structural design of drilled shafts shall be in
The design of laterally loaded drilled shafts is usually accordance with the provisions of Article 4.6.6,
governed by lateral movement criteria (Article 4.13.3.2) which was developed for allowable stress design proce-
dures. In order to use load factor design procedures for 4.13.4.1 Buckling of Drilled Shafts
the structural design of drilled shafts, the load factor
design procedures in Section 8 for reinforced concrete Stability of drilled shafts shall be considered when the
shall be used in place of the allowable stress design shafts extend through water or air for a portion of their
procedures. length.

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Section 4

4.1 GENERAL 4.2.2.2 Settlement

TABLE 4.2.3A Problem Conditions Requiring Special Consideration

4.4.3 Design Terminology 4.4.5.1 Minimum Embedment and Bench Width

FIGURE 4.4.3A Design Terminology for Spread Footing Foundations

4.4.5.4 Piping Effective stress methods of analysis and drained shear

TABLE 4.4.7.1A Bearing Capacity Factors

qult cNcscbcic 0.5BNsbi qNqsqbqiq A BL (4.4.7.1.1.1-3)

(4.4.7.1.1-1) Refer to Figure 4.4.7.1.1.1A for loading definitions and

s 1  0.4 (B/L) (4.4.7.1.1.2-3) Ns Hs/c (4.4.7.1.1.4-2)

4.4.7.1.1.3 Inclined Loading 4.4.7.1.1.5 Embedment Depth

4.4.7.1.1.6 Ground Water  (2D  zw)(zwm/D2) (/D2)(D  zw)2

FIGURE 4.4.7.1.1.7B Modified Bearing Capacity Factor for

4.4.7.1.1.8 Inclined Base St Se Sc Ss (4.4.7.2-1)

FIGURE 4.4.7.1.1.8A Definition Sketch for Footing Base Inclination

4.4.7.2.2 Elastic Settlement termined at a depth of about 1⁄ 2 to 2⁄ 3 of B below the foot-

Refer to Table 4.4.7.2.2A for approximate values of Es

TABLE 4.4.7.2.2A Elastic Constants of Various Soils

TABLE 4.4.7.2.2B Elastic Shape and Rigidity

the following when laboratory test results are expressed in

• For initial overconsolidated soils (i.e., p 0):

Sc [Hc /(1 eo)][(Ccr log{p/o}

• For initial normally consolidated soils (i.e., p

Sc [Hc /(1 eo)][Cclog(f/p)] (4.4.7.2.3-2)

If laboratory test results are expressed in terms of ver-

Sc Hc[Crelog(p/o) Cce log(f/p)]

• For initial normally consolidated soils (i.e., p

Refer to Figures 4.4.7.2.3A and 4.4.7.2.3B for the de-

Sc(3-D) µcSc(1-D) (4.4.7.2.3-5)

Refer to Figure 4.4.7.2.3C for values of µc.

FIGURE 4.4.7.2.3D Percentage of Consolidation as a Function of Time Factor, T

4.4.8.2.1 Footings on Competent Rock • For circular (or square) footings;

TABLE 4.4.8.1.2B Typical Range of Uniaxial Compressive Strength (Co) as a Function of

qo (1  2)BI /Em, with I (L/B)1/2/

TABLE 4.4.8.2.2A Summary of Poisson’s Ratio for Intact Rock

TABLE 4.4.8.2.2B Summary of Elastic Moduli for Intact Rock

or near a slope by limiting equilibrium methods of analy- 4.4.11 Structural Design

4.4.11.2.2 Distribution of Reinforcement

4.4.11.5.3 Bearing overall thickness minus 3 inches. Extreme fiber stress in

• Reinforcement shall be provided to transfer all force 4.5.1 General

4.5.1.4 Lateral Tip Restraint 4.5.2 Pile Types

FIGURE 4.5.4A Design Terminology for Driven Pile Foundations

4.5.6.2 Factor of Safety Selection 4.5.6.3 Settlement

TABLE 4.5.6.2A Recommended Factor of Safety on 4.5.6.6.2 Pile Group

X Construction Control Specified on Contract Plans.

4.5.6.8 Dynamic/Seismic Design TABLE 4.5.7.3A Allowable Working Stress for

ness to allow for reduction in section due to corrosion.

Where conditions of exposure warrant, concrete en-

4.5.14.2 Concrete Piles 4.5.16 Precast Concrete Piles

4.5.15.1 Pile Footings 4.5.16.4 Driving Points

4.5.16.8 Splices 4.5.17.5 Reinforcement into Superstructure

4.5.16.9 Handling Stresses 4.5.17.6 Shell Requirements

4.5.18.3 Caps 4.5.20 Prestressed Concrete Piles

4.5.20.4 Hollow Cylinder Piles 4.6.1.1 Application

4.6 DRILLED SHAFTS 4.6.1.6 Batter Shafts

4.6.1.7 Shafts Through Embankment Fill N Standard penetration resistance (blows/ft)

i Load transfer factor in the ith interval (dim); (See

4.6.4.1 Presumptive Values Qall Qult/FS (4.6.5.1-3)

FIGURE 4.6.3A Design Terminology for Drilled Shaft Foundations

4.6.5.1.3 Tip Resistance in Cohesive Soil

QT qTAt NcsutAt (4.6.5.1.3-1)

Values of the bearing capacity factor Nc may be deter-

Nc 6.0[1 0.2(D/Bt)]; Nc 9 (4.6.5.1.3-2)

qult cNcscbcic 0.5BNsbi qNqsqbqiq A BL (4.4.7.1.1.1-3)

s 1 0.4 (B/L) (4.4.7.1.1.2-3) Ns Hs/c (4.4.7.1.1.4-2)

4.4.7.1.1.6 Ground Water (2D zw)(zwm/D2) (/D2)(D zw)2

• For initial overconsolidated soils (i.e., p 0):

Sc [Hc /(1 eo)][(Ccr log{p/o}

• For initial normally consolidated soils (i.e., p

Sc [Hc /(1 eo)][Cclog(f/p)] (4.4.7.2.3-2)

Sc Hc[Crelog(p/o) Cce log(f/p)]

• For initial normally consolidated soils (i.e., p

qo (1 2)BI /Em, with I (L/B)1/2/