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We will be using the term foundation to describe the structural elements that connect a structure
to the ground. These elements are made of concrete, steel, wood, or perhaps other materials. We
will divide foundations into two broad categories :
Shallow foundations
Shallow foundations transmit the structural loads to the near-surface soils.
Deep foundations
Deep foundations transmit somes or all of the loads to deeper soils.
Classification of foundations are ilustrated in this figure belows :

Figure 3.

Types of foundation

Common types of piles are as follows :

Batter pile
A pile driven in at an angle inclined to the vertical to provide high resistance to lateral loads.

End-bearing pile
A pile whose support capacity is derived principally from the resistance of the foundation
material on whinch the pile tip rests. End-bearing piles are often used when a soft upper layer
is underlain by a dense or hard strata. If the upper soft layer should settle, the pile could be
subjected to down-drag forces, and the pile must be designed to resist these soil-induced

Friction pile
A pile whose support capacity is derived principally from the resitance of the soil friction
and/or adhesion mobilized along the side of the pile. Friction piles are often used in soft clays
where the end-bearing resistance is small because of punching shear at the pile tip.

Combined end-bearing and friction pile

A pile that derives its support capacity from combined end-bearing resistance developed at
the pile tip and friction and/or adhesion resistance ont pile perimeter.

Once the design loads have been defined, we need to develop foundation designs that satisfy
several performance requirements. The first category is strength requirements, which are
intended to avoid catastrophic failures. There are two types :

Geotechnical strength requirements

Geotechnical strength requirements are those that address the ability of the soil or rock to
accept the loads imparted by the foundation without failing. The strength of soil is governed
by its capacity to sustain shear stresses, so we satisfy geotechnical strength requirements by
comparing shear stresses with shear strengths and designing accordingly.
Geotechnical strength analysis are almost always performed using allowable stress design
(ASD) methods.

Structural strength requirements

Structural strength requirements address the foundations structural integrity and its ability to
safely carry the applied loads.

Corrosion of Steel
Under certain conditions, steel can be the object of extensive corrosion. This can be easily
monitored when the steel is above ground, and routine maintenance, such as painting, will
usually keep corrosion under control. However, it is impossible to inspect underground steel
visually, so it is appropriate to be concerned about its potential for corrosion and long-term
For corrosion assessment, steel foundations can be divided into two categories: those in marine
environments and those in land environments. Both are shown in Figure below :

Figure 4.

(a) Marine environments include piers, docks, drilling platforms, and other similar structures where
a portion of the foundation is exposed to open water. (b) Land environments include buildings and other
structures that are built directly on the ground and the entire foundation is buried.

Safety Factor of Foundation Bearing Capacity

Most building codes do not specify design factors of safety. Therefore, engineers must use their
own discretion and proffesional judgment when selecting F. Items to consider when selecting a
design factor of safety include the following :

Soil type
Shear stregth in clays is less reliable than that in sands, and more failures have occured in
clays than in sands. Therefore, use higher factors of safety in clays.

Site characterization data

Projects with minimal subsurface exploration and laboratory or in-situ tests have more
uncertainty in the design soil parameters, and thus require higher factor of safety. However,
when extensive site characterization data is available, thier is less uncertainty so lower
factors of safety may be used.

Importance of the structure and the consequences of a failure

Important projects, suc as hospitals, where foundation failure would be more catstrophic may
use higher factors of safety than less important projects, suc as agricultural storage buildings,
where cost of construction is more important. Likewise, permanent sturctures justify higher
factors of safety than temporary sturctures, such as construction falsework. Structures with
large height-to-width ratio, such as chimneys or towers, could experience more catastrophic
failure, and thus should be designed using higher factors of safety.

The likelihood of the design load ever actually occuring

Some structures, such as grain silos, are much more likely to actually experience their design
loads, and thus might be designed using a higher factor of safety. Conversly, office buildings
are much likely to experience the design load, and might use a slightly lower factor of safety.

The true factor of safety is probably much greater than the design factor of safety, because of the
following :

The shear strength data are normally interpreted conservatively, so the design values of c
and implicitly contain another factor of safety.

The service loads are probably less than the design loads.

Settlement, not bearing capacity, often controls the final design, so the footing will likely
be larger than that required to satisty bearing capacity criteria.

Spread footings are commonly built somewhat larger than the plan dimensions.

Safety Factor for Bearing Capacity of Single Pile

Refers to Engineering Manual (EM 1110-2-2906) :

Safety Factors for Bearing Capacity of Pile Foundation

Table 1.

Method of Determining

Load Condition

Theoretical of empirical

Minimum Factor of Safety





prediction to be verified by




pile load test

Theoretical or empirical




prediction to be verified by




pile driving analyzer

Theoretical or empirical




prediction not verified by




load test




Loading conditions :

Usual. These conditions include normal operating and frequent flood conditions. Basic
allowable stresses and safety factors should be used for this type of loading condition.

Unusual. Higher allowable stresses and lower safety factors may be used for unusual
loading conditions such as maintenance, infrequent floods, barge impact, construction, or
hurricanes. For these conditions allowable stresses may be increased up to 33 percent. Lower
safety factors for pile capacity may be used, as described in Table above.

Extreme. High allowable stresses and low safety factors are used for extreme loading
conditions such as accidental or natural disasters that have a very remote probability of
occurrence and that involve emergency maintenance conditions after such disasters. For these
conditions allowable stresses may be increased up to 75 percent. Low safety factors for pile
capacity may be used as described in Table above. An iterative (nonlinear) analysis of the
pile group should be performed to determine that a state of ductile, stable equilibrium is
attainable even if individual piles will be loaded to their peak, or beyond to their residual
capacities. Special provisions (such as field instrumentation, frequent or continuous field
monitoring or performance, engineering studies and analyses, constraints on operational or
rehabilitation activities, etc.) are required to ensure that the structure will not catastrophically
fail during or after extreme loading condition.

Safety Factor of Pullout Capacity

Table below gives typical design factors of safety based on these assessments. Consider them to
be guides, not absolute dictates, so do not hesitate to modify them as necessary.
Safety Factor of Pullout Capacity
Design Factor of Safety, F
Very Poor
of Failure

Table 2.

Classification of

Safety factor of pullout capacity will be equal of 3,00

Safety Factor of Lateral Resistance
The definition of failure load should therefore be related to the acceptable or tolerate lateral
deformation of the structure. Where no such criteria are available, 0.25 in. (6.25 mm) is
considered as the criterion on which failure load is established. It should be realized that actual
instability at which the load could not be held when the pile head had deformed about 1 in. (25
mm). (refers to Pile Foundations In Engineering Practice, Shamsher Prakash and Hari D.
For lateral resistance design of pile foundation, we use some boundary :
Maximum Design for Lateral Deflection of Pile Foundation
Table 3.
Maximum Lateral Defflection
Service Load without earthquake load
0,625 cm (0,25)
Service Load with earthquake load
1,25 cm (0,50)
Ultimate Load
2,50 cm (1,00)

Allowable Settlement
The amount of settlement that a foundation can tolerate is called the allowable settlement, the
magnitude of this settlement depends upon it mode.
A structure that has undergone uniform settlement is one where all points within the structure
have moved vertically the same amount (Figure a). This type of settlement does not result in
structural damage if it is constant across whole structure. However, there will be problems with
appurtenances such as with pipes, entrance-ways, etc. Another possibility is settlement that
varies linearly across the structure as shown in (Figure b). This causes the structure to tilt.
Finally, (Figure c) shows a structure with irregular settlements. This mode distorts the structure
and typically is the greatest source of problems.

Figure 5.

Modes of settlement; (a) Uniform; (b) Tilting with no distortion; (c) Distortion

Figure 6.

Types of foundation settlement

Table below presents typical design values for the allowable settlement, a. The design meets
total settlement requirements if the following condition is met :

Where :
= total settlement of foundation
a = allowable settlement

Type of Movement

Total Settlement


Differential Movement

Allowable Settlement (Sowers, 1962)

Table 4.
Limiting Factor
Limiting Factor
15-30 cm (6-12 in.)
30-60 cm (12-24 in.)
Probability of non-uniform settlement :
- Masonry walled structure
2,5-5 cm (1-2 in.)
- Framed structures
5-10 cm (2-4 in.)
- Smokestacks, silos, mats
8-30 cm (3-12 in.)
Stability against overturning
Depends on H and W
Tilting of smokestacks, towers
Rolling of trucks, etc.
Stacking of goods
Machine operation cotton loom
Machine operation turbogenerator
Crane rails
Drainage of floors
High continuous brick walls
One-story brick mill building, wall cracking
Plaster cracking (gypsum)
Reinforced-concrete-building frame
Reinforced-concrete-building curtain walls
Steel frame, continuous
Simple steel frame

Note :
L = distance between adjacent columns that settle diffrent amounts
H = height of structure
W = width of structure
- Higher values are for regular settlements and more tolerant structures.
- Lower values for irregular settlement and critical structures.

Table below also presents typical design values for the allowable total settlement, a. These
values already include a factor of safety, and thus may be compared directly to the predicted
Typical Allowable Total Settlements for Foundation Design
Typical Allowable Total Settlement, a
Type of Structure
Office buildings
0,5-2,0 (1,0 is the most 12-50 (25 is the most
common value)
common value)
Heavy industrial buildings
Table 5.

Diffrential Settlement
Engineer normally design the foundations for a structure such that all of them have the same
computed total settlement. Thus, in theory, the structure will settle uniformly. Unfortunately, the
actual performance of the foundations will usually not be exactly as predicted, with some of
them settling more than expected and other less. This discrepancy between predicted behavior
and actual behavior has many causes, including the following :
The soil profile may not be uniform across the site. This is nearly always true, no matter how
uniform it might appear to be.
The ratio between the actual load and the design load may be different for each column.
Thus, the column with the lower ratio will settle less than that with the higher ratio.

The ratio of dead load to live load may be different for each column. Settlement
computations are usually based on dead-plus-live load, and the foundations are sized
accordingly. However, in many structures much of the live load will rarely, if ever, occur, so
foundations that have a large ratio of design live load to design dead load will probably settle
less than those carrying predominantly dead loads.
The as-built foundation dimensions may differ from the plan dimensions. This will cause the
actual settlements to be correspondingly different.

The differential settlement, Da, is the difference in total settlement between two foundations or
between two points on a single foundation. Differential settlements are generally more
troublesome than total settlements because they distort the structure. This causes cracking in
walls and other members, jamming in doors and windows, poor aesthetics, and other problems.
If allowed to progress to an extreme, differential settlements could threaten the integrity of the
Therefore, we define a maximum allowable differential settlement, Da, and design the
foundation so that :
D Da

Table below presents a synthesis of these studies, expressed in terms of the allowable angular
distortion, Da. These values already include a factor safety of at least 1.5, which is why they are
called allowable. We use them to compute Da as follows :
Da a .L

Da = allowable differential settlement
a = allowable angular distortion (from table below)
= distance between adjacent columns that settle different amounts
Allowable Angular Distortion, a (Wahls, 1994; AASTHO, 1996; and Other Sources)
Type of Structure
Steel tanks
Bridges with simply-supported spans
Bridges with continous spans
Buildings that are very tolerant of differential settlements, such as
industrial buildings with corrugated steel siding and no sensitive
interior finishes
Typical commercial and residential buildings
Overhead traveling crane rails
Buildings that are especially intolerant of differential settlement, such
as those with sensitive wall or floor finishes
Buildings with unreinforced masonry load-bearing walls
Length/height 3
Length/height 5

Table 6.

Site Investigation

The site investigation phase of the exploration program consists of planning, making test
boreholes, and collecting soil samples at desired intervals for subsequent observation and
laboratory tests. The approximate required minimum depth of the borings should be
predetermined. The depth can be changed during the drilling operation, depending on the subsoil
encountered. To determine the approximate minimum depth of boring, engineers may use the
rules established by the American Society of Civil Engineers (1972):

Determine the net increase in the effective stress, , under a foundation with depth as
shown in figure.

Estimate the variation of the vertical effective stress, 0, with depth.

Determine the depth, D = D1, at which the effective stress increase is equal to 0,1q (q
= estimated net stress on the foundation).

Determine the depth, D = D2, at which /0 = 0,05.

Choose the smaller of the two depths, D1 and D2, just determined as the approximate
minimum depth of boring required, unless bedrock is encountered.

Figure 7.

Determination of the minimum depth of boring

If the preceding rules are used, the depths of boring for a building with a width of 30 m (100ft)
will be approximately the following, according to Sowers and Sowers (1970):
Boring depth for building
Table 7.
No. of stories
Boring depth
3,5 m (11 ft)
6 m (20 ft)
10 m (33 ft)
16 m (53 ft)
24 m (79 ft)

To determine the boring depth for hospitals and office buildings, Sowers and Sowers also use the

Db 3.S 0,7

(for light steel or narrow concrete buildings)

Db 6.S 0,7

(for heavy steel or wide concrete buildings)

Db = depth of boring, in meters
= number of stories
When deep excavations are anticipated, the depth of boring should be at least 1,5 times the depth
of excavation.
Sometimes, subsoil conditions require that the foundation load be transmitted to bedrock. The
minimum depth of core boring into the bedrock is about 3 m. If the bedrock is irregular or
weathered, the core borings may have to be deeper.
There are no hard-and-fast rules for borehole spacing. Table below gives some general
guidelines. Spacing can be increased or decreased, depending on the condition of the subsoil. If
various soil strata are more or less uniform and predictable, fewer boreholes are needed than in
non-homogeneous soil strata.
Approximate spacing of boreholes
Table 8.
Type of project
Multistory building
10-30 m (30-100 ft)
One-story building
20-60 m (60-200 ft)
250-500 m (800-1600 ft)
Residential subdivision
250-500 m (800-1600 ft)
Dams and dikes
40-80 m (130-260 ft)

The engineer should also take into account the ultimate cost of the structure when making
decisions regarding the extent of field exploration. The exploration cost generally should be 0,1
0,5% of the cost of the structure. Soil borings can be made by several methods, including auger
boring, wash boring, percussion drilling, and rotary drilling.
Auger boring is the simplest method of making exploratory boreholes. There are two types of
hand auger: the posthole auger and the helical auger. Hand augers cannot be used for advancing
holes to depths exceeding 3-5 m. However, the can be used for soil exploration work on some
highways and small structures. Portable power-driven helical augers (76 mm to 305 mm in
diameter) are available for making deeper boreholes. The soil samples obtained from such
borings are highly disturbed. In some non-cohesive soils or soils having low cohesion, the walls
of the boreholes will not stand unsupported. In such circumstances, a metal pipe is used as a
casing to prevent the soil from caving in. When power is available, continuous-flight augers are
probably the most common method used for advancing a borehole. The power for drilling is
delivered by truck-or tractor-mounted drilling rigs. Boreholes up to about 60-70 m can easily be
made by this method.
Wash boring is another method of advancing boreholes. In this method, a casing about 2-3 m
long is driven into the ground. The soil inside the casing is then removed by means of a chopping
bit attached to a drilling rod. Water is forced through the drilling rod and exits at a very high
velocity through the holes at the bottom of the chopping bit. The water and the chopped soil

particles rise in the drill hole and overflow at the top of the casing through a T connection. The
washwater is collected in a container. The casing can be extended with additional pieces as the
borehole progresses; however, that is not required if the borehole will stay open and not cave in.
Wash borings are rarely used now in the United States and other developed countries.
Rotary drilling is a procedure by which rapidly rotating drilling bits attached to the bottom of
drilling rods cut and grind the soil and advance the borehole. There are several types of drilling
bit. Rotary drilling can be used in sand, clay, and rocks (unless they are badly fissured). Water of
drilling mud is forced down the drilling rods to the bits, and the return flow forces the cuttings to
the surface. Boreholes with diameters of 50-203 mm (2-8 in.) can easily be made by this
technique. The drilling mud is a slurry of water and bentonite. Generally, it is used when the soil
that is encountered is likely to cave in. When soil samples are needed, the drilling rod is raised
and the drilling bit is replaced by a sampler. With the environmental drilling applications, rotary
drilling with air is becoming more common.
Percussion drilling is an alternative method of advancing a borehole, particularly through hard
soil and rock. A heavy drilling bit is raised and lowered to chop the hard soil. The chopped soil
particles are brought up by the circulation of water. Percussion drilling may require casing.
Procedures for Sampling Soil
Two types of soil samples can be obtained during subsurface exploration: disturbed and
undisturbed. Disturbed, but respresentative, samples can generally be used for the following
types of laboratory test:

Grain-size analysis

Determination of liquid and plastic limits

Specific gravity of soil solids

Determination of organic content

Classification of soil
Disturbed soil samples, however, cannot be used for consolidation, hydraulic conductivity, or
shear strength tests. Undisturbed soil samples must be obtained for these types of laboratory
The degree of disturbance for a soil sample is usually expressed as:
AR %

Do2 Di2

AR = area ratio (ratio of disturbed area to total area of soil)
Do = outside diameter of the sampling tube
Di = inside diameter of the sampling tube
When the area ratio is 10% or less, the sample generally is considered to be undisturbed.

Split-Spoon Sampling (SPT)

Split-spoon samplers can be used in the field to obtain soil samples that are generally disturbed,
but still representative. A section of a standard split-spoon sample is shown in figure.

Figure 8.

Standard split-spoon sampler

The tool consists of a steel driving shoe, a steel tube that is split longitudinally in half, and a
coupling at the top. The coupling connects the sampler to the drill rod. The standard split tube
in.) and an outside diameter of 50,8 mm (2 in.);
however, samplers having inside and outside diameters up to 63,5 mm ( 2 in.) and 76,2 mm (3

has an inside diameter of 34,93 mm ( 1

in.), respectively, are also available. When a borehole is extended to a predetermined depth, the
drill tools are removed and the sampler is lowered to the bottom of the hole. The sampler is
driven into the soil by hammer blows to the top of the drill rod. The standard weight of the
hammer is 622,72 N (140 lb), and for each blow, the hammer drops a distance of 0,762 m (30
in.). The number of blows required for a spoon penetration of three 152,4 mm (6 in.) intervals
are recorded. The number of blows required for the last two intervals are added to give the
standard penetration number, N, at that depth. This number is generally referred to as the N value
(American Society for Testing and Materials, 2001, Designation D-1586-99). The sampler is then
withdrawn, and the shoe and coupling are removed. Finally, the soil sample recovered from the
tube is placed in a glass bottle and transported to the laboratory. This field test is called the
standard penetration test (SPT).
The boring log shows refusal and the test is halted if :

50 blows are required for any 150-mm increment.

100 blows are obtained (to drive the required 300 mm).

10 successive blows produce no advance.

For a standard split-spoon sampler,
AR %

50,8 2 34,93 2 .100 111,5%

34,93 2

When the area ratio is 10% or less, the sample generally is considered to be undisturbed. Hence,
these samples are highly disturbed. Split-spoon samples generally are taken at intervals of about

1,53 m (5 ft). When the material encoutered in the field is sand (particularly fine sand below the
water table), recovery of the sample by a split-spoon sampler may be difficult. In that case, a
device such as a spring core catcher may have to be placed inside the split spoon.

Figure 9.

Spring core catcher

At this juncture, it is important to point out that several factors contribute to the variation of the
standard penetration number N at a given depth for similar soil profiles. Among these factors are
the SPT hammer effeciency, borehole diameter, sampling method, and rod length factor
(Skempton, 1986; Seed et al., 1985). The two most common types of SPT hammers used in the
field are the safety hammer and donut hammer. They are commonly dropped by a rope with two
wraps around a pulley.

Figure 10.

(a) Safety hammer; (b) Donut hammer (after Seed et. Al., 1985)

Figure 11.

The SPT sampler in place in the boring with hammer, rope and cathead (Kovacs, et al. 1981)

Soil density or consistency description based on SPT blowcount values can be seen below (after
AASHTO, 1988) :
Soil density/consistency based on SPT blowcount values
Cohesionless Soils
Cohesive Soils
N-SPT values
N-SPT values
Relative Density
(blows/300 mm)
(blows/300 mm)
Very soft
Very loose
5 10
Medium stiff
Medium dense
11 24
9 15
25 50
Very stiff
16 30
Very dense
> 51
31 60
Very hard
> 61
Table 9.

Cone Penetration Test (CPT)

The cone penetration test (CPT), originally known as the Dutch cone penetration test, is a
versatile sounding method that can be used to determine the materials in a soil profile and
estimate their engineering properties. The test is also called the static penetration test, and no
borehole is necessary to perform it. In the original version, a 60 cone with a base area of 10 cm2
was pushed into the ground at a steady rate of about 20 mm/sec, and the resistance to penetration
(called the point resistance) was measured.

The cone penetrometers in use at present measure (a) the cone resistance (qc) to penetration
developed by the cone, which is equal to the vertical force applied to the cone, divided by its
horizontally projected area; and (b) the frictional resistance (fc), which is the resistance measured
by a sleeve located above the cone with the local soil surrounding it. The frictional resistance is
equal to the vertical force applied to the sleeve, divided by its surface area actually, the sum of
friction and adhesion.
The original mechanical cone test is illustrated in Figure below with the step sequence as follows

The cone system is stationary at position 1.

The cone is advanced by pushing an inner rod to extrude the cone tip and a short length
of cone shaft. This action measures the tip resistance qc.

The outer shaft is now advanced to the cone base, and skin resistance is measured as the
force necessary to advance the shaft fc.

Now the cone and sleeve are advanced in combination to obtain position 4 and to obtain a
qtotal, which should be approximately the sum of the q c + fc just measured. The cone is now
positioned for a new position 1.

Figure 12.

Mechanical (or Dutch) cone, operations sequence, and tip resistance data

Luas proyeksi ujung = 10 cm2 (ASTM D3411)

Luas selimut = 150 cm2 (ASTM D3411) atau ada juga 100 cm2
Luas piston = 10 cm2 (ASTM D3411)
Berikut adalah penelusuran perhitungan bacaan pada sondir :
1. Bacaan I = tahanan ujung (R1)
qc x Aproyeksi = R1 x Apiston (qc, R1 = kg/cm2)
qc = R1 x (Apiston / Aproyeksi)
2. Bacaan II = (tahanan ujung + tahanan selimut) (R2)
(qc x Aproyeksi) + (fs x Aselimut) = R2 x Apiston (qc, fs, R2 = kg/cm2)
fs = {( R2 x Apiston)-( qc x Aproyeksi)}/ Aselimut
fs = (R2- qc) x (Apiston or Aproyeksi / Aselimut)
dimana = (Apiston or Aproyeksi / Aselimut) faktor koreksi alat

Several correlations that are useful in estimating the properties of soils encountered during an
exploration program have been developed for the point resistance (qc) and the friction ratio (Fr)
obtained from the cone penetration tests. The friction ratio is defined as :
Fr c

fc = frictional resistance
qc = cone resistance
Fr = friction ratio
It may also be used to give an estimate of the soil sensitivity, St with the correlation being
approximately :


St = sensitivity
Fr = friction ratio (in percent)
Clays may be classified as follows :

Shear Strength
The shear strength of a soil, defined in terms of effective stress, is
c ' '. tan( ' )

= effective normal stress on plane of shearing
c = cohesion, or apparent cohesion
= effective stress angle of friction
The equation above is referred to as the Mohr-Coulomb failure criterion. The value of c for
sands and normally concolidated clays is equal to zero. For overconsolidated clays, c > 0.
For most day-to-day work, the shear strength parameters of a soil (i.e., c and ) are determined
by two standard laboratory tests: the direct shear test and the triaxial test.
Direct Shear Test

Dry sand can be conveniently tested by direct shear tests. The sand is placed in a shear box that
is split into two halves. First a normal load is applied to specimen. Then a shear force is applied
to the top half of the shear box to cause failure in the sand.
The normal and shear stresses at failure are:




= area of the failure plan in soil - that is, the cross-sectional area of shear box
= applied shear force
Several tests of this type can be conducted by varying the normal load. The angle of friction of
the sand can be determined by plotting a graph of against (= for dry sand), as shown in
figure below, or :


' tan 1

For sands, the angle of friction usually ranges from 26 to 45, increasing with the relative
density of compaction. The approximate range of the relative density of compaction and the
corresponding range of the angle of friction for various coarse-grained soils is shown in figure

Figure 13.

Direct shear test in sand ; (a) schematic diagram of test equipment; (b) plot of test results to
obtain the friction angle

A thin soil sample is placed in a shear box consisting of two parallel blocks. The lower block is
fixed while the upper block is moved parallel to it in a horizontal direction. The soil fails by
shearing along a plane assumed to be horizontal.
This test is relatively easy to perform. Consolidated-drained tests can be performed on soils of
low permeability in a short period of time as compared to the triaxial test. However, the stress,

strain, and drainage conditions during shear are not as accurately understood or controlled as in
the triaxial test.

Triaxial Test
Two fundamentally different approaches to the solution of stability problems in geotechnical
engineering :
The total stress approach
In the total stress approach, we allow no drainage to take place during the shear test, and we
make the assumption, admittedly a big one, that the pore water pressure and therefore the
effective stresses in the test specimen are identical to those in the field. The method of
stability analysis is called the total stress analysis, and it utilizes the total or the undrained
shear strength f, of the soil. The undrained strength can be determined by either laboratory
or field tests. If field tests such as the vane shear, Dutch cone penetrometer, or pressuremeter
test are used, then they must be conducted rapidly enough so that undrained conditions
prevail in situ.
The effective stress approach
The second approach to calculate the stability of foundations, embankments, slopes, etc.,
uses the shear strength in terms of effective stresses. In this approach, we have to measure or
estimate the excess hydrostatic pressure, both in the laboratory and in the field. Then, if we
know or can estimate the initial and applied total stresses, we may calculate the effective
stresses acting in the soil. Since we believe that shear strength and stress-deformation
behavior of soils is really controlled or determined by the effective stresses, this second
approach is philisophically more satisfying. But, it does have its practical problems. For
example, estimating or measuring the pore pressures, especially in the field, is not easy to do.
The method of stability is called the effective stress analysis, and it utilizes the drained shear
strength or the shear strength in terms of effective stresses. The drained shear strength is
ordinarily only determined by laboratory tests.
Triaxial tests can be conducted on sands and clays. Essentially, the test consists of placing a soil
specimen confined by a rubber membrane into a lucite chamber and then applying an all-arround
confining pressure (3) to the specimen by means of the chamber fluid (generally, water or
glycerin). An added stress () can also be applied to the specimen in the axial direction to cause
failure ( = f at failure). Drainage from the specimen can be allowed or stopped, depending
on the condition being tested. For clays, three main types of tests can be conducted with triaxial


Figure 14.

Schematic diagram of triaxial test equipment

Figure 15.

Sequence of stress application in triaxial test

Consolidated Drained test (CD test)

Step 1. Apply chamber pressure 3. Allow complete drainage, so that the pore water pressure
(u = u0) developed is zero.
Step 2. Apply deviator stess slowly. Allow drainage, so that the pore water pressure (u =
ud) developed through the application of is zero. At failure, = f ; the total pore water
pressure uf = u0 + ud = 0.

Figure 16.

Stress conditions in the consolidated-drained (CD) axial compression triaxial test

So for consolidated-drained tests, at failure,

Major principal effective stress = 3 + f = 1 = 1
Minor principal effective stress = 3 = 3
Changing 3 allows several tests of this type to be conducted on various clay specimens. The
shear strength parameters (c and ) can now be determined by plotting Mohrs circle at
failure, and drawing a common tangent to the Mohrs circles. This is the Mohr-Coulomb
failure envelope. (Note: For normally consolidated clay, c 0 ; For overconsolidated clay, c
> 0)
At failure,

1 ' 3 '. tan 2 45 2.c '. tan 45


Figure 17.

Consolidated-drained test

The envelope for a normally consolidated clay is shown below. Even though only one Mohr
circle (representing the stress conditions at failure) is shown, the results of three or more CD
tests on identical specimens at different consolidation pressures would ordinarily be required
to plot the complete Mohr failure envelope. If the consolidation stress range is large or the
specimens do not have exactly the same initial water content, density, and stress history, then
the three failure circles will not exactly define a straight line, and an average best-fit line by
eye is drawn. The slope of the line determines the Mohr-Coulomb strength parameter , of
course, in terms of effective stresses. When the failure envelope is extrapolated to the shear
axis, it will show a surprisingly small intercept. Thus it is usually assumed that the c
parameter for normally consolidated non-cemented clays is essentially zero for all
practical purposes.

Figure 18.

Mohr failure envelope for a normally consolidated clay in drained shear

For overconsolidated clays the c parameter is greater than zero, as indicated by figures
below. The overconsolidated portion of the strength envelope (DEC) lies above the normally
consolidated envelope (ABCF). This portion (DEC) of the Mohr failure envelope is called
the preconsolidated hump. The explanation for this behavior is shown in the e versus
curve of figure below. Let us assume that we begin consolidation of a sedimentary clay at a
very high water content and high void ratio. As we continue to increase the vertical stress we
reach point A on the virgin compression curve and conduct a CD triaxial test. The strength of
the sample consolidated to point A on the virgin curve would correspond to point A on the
normally consolidated Mohr failure envelope in figure below. If we consolidate and test
another otherwise identical specimen which is loaded to point B, then we would obtain the

strength, again normally consolidated, at point B on the failure envelope in figure below. If
we repeat the process to point C (p, the preconsolidation stress), then rebound the specimen
to point D, then reload it to point E and shear, we would obtain the strength shown at point E
is greater than specimen B, even though they are tested at exactly the same effective
consolidation stresses. The reason for the greater strength of E than B is suggested by the fact
that E is at a lower water content, has a lower void ratio, and thus is denser than B, as shown
in figure below. If another specimen were loaded to C, rebounded to D, reloaded back past E
and C and on to F, it would have the strength as shown in figure at point F. Note that it is now
back on the virgin compression curve and the normally consolidated failure envelope. The
effects of the rebounding and reconsolidation have been in effect erased by the increased
loading to point F. Once the soil has been loaded well past the preconsolidation pressure p,
it no longer remembers its stress history.

Figure 19.

(a) Compression curve; (b) Mohr failure envelope (DEC) for an overconsolidated clay

In the CD test, complete consolidation of the test specimen is permitted under the confining
pressure and drainage is permitted during shear. The rate of strain is controlled to prevent the
build-up of pore pressure in the specimen. A minimum of three tests are required for c and
determination. CD tests are generally performed on well draining soils. For slow draining
soils, several weeks may be required to perform a CD test.

Typical stress-strain curves and volume change versus strain curves for a remolded or
compacted clay are shown below. Even though the two samples were tested at the same
confining pressure, the overconsolidated specimen has a greater strength than the normally
consolidated clay. Note also that it has a higher modulus and that failure [the maximum ,
which for the triaxial test is equal to (1 - 3)f] occurs at a much lower strain that for the
normally consolidated specimen. The overconsolidated clay expands during shear while the
normally consolidated clay compresses or consolidates during shear.

Figure 20.

Typical stress-strain and volume change versus strain curves for CD axial compression tests
at the same effective confining stress

Average values of for undisturbed clays range from around 20 for normally
consolidated highly plastic up to 30 or more for silty and sandy clays. The value of
for compacted clays is typically 25 or 30 and occasionally as high as 35. The value of c
for normally consolidated non-cemented clays is very small and can be neglected for
practical work. If the soil is overconsolidated, then would be less, and the c intercept
greater than for the normally consolidated part of the failure envelope. According to Ladd
(1971b), for natural overconsolidated non-cemented clays with a preconsolidation stress
of less than 500 to 1000 kPa, c will probably be less than 5 to 10 kPa at low stresses. For
compacted clays at low stresses, c will be much greater due to the prestress caused by
compaction. For stability analyses, the Mohr-Coulomb effective stress parameters and c
are determined over the range of effective normal stresses likely to be encountered in the

Empirical correlations between and the plasticity index for normally consolidated clays are
shown below:

Figure 21.

Emperical correlation between and PI from triaxial compression tests on normally

consolidated undisturbed clays (after U.S. Navy, 1971, and Ladd, et al., 1977)

Where do we use the strengths determined from the CD test? As mentioned previously, the
limiting drainage conditions modeled in the triaxial test refer to real field situations. CD
conditions are the most critical for the long-term steady seepage case for embankment
dams and the long-term stability of excavations or slopes in both soft and stiff clays. The
examples of CD analysis can be seen below:

Figure 22.


Some examples of CD analyses for clays (after Ladd, 1971b)

Consolidated Undrained test (CU test)

Step 1. Apply chamber pressure 3. Allow complete drainage, so that the pore water pressure
(u = u0) developed is zero.
Step 2. Apply a deviator stress . Do not allow drainage, so that the pore water pressure u =
ud 0. At failure, = f ; the pore water pressure uf = u0 + ud = 0 + u d(f).
Note that the excess pore water pressure u developed during shear can either be
positive (that is, increase) or negative (that is, decrease). This happens because the
sample tries to either contract or expand during shear. Remember, we are not allowing
any volume change (an undrained test) and therefore no water can flow in or out of the
specimen during shear. Because volume changes are prevanted, the tendency towards volume
change induces a pressure in the pore water. If the specimen tends to contract or consolidate
during shear, then the induced pore water pressure is positive. It wants to contract and
squeeze water out of the pores, but cannot; thus the induced pore water pressure is positive.
Positive pore pressures occur in normally consolidated clays. If the specimen tends to expand
or swell during shear, the induced pore water pressure is negative. It wants to expand and

draw water into the pores, but cannot; thus the pore water pressure decreases and may even
go negative (that is, below zero gage pressure). Negative pore pressures occur in
overconsolidated clays.
Hence, at failure,
Major principal total stress = 3 + f = 1
Minor principal total stress = 3
Major principal effective stress = (3 + f) uf = 1
Minor principal effective stress = 3 uf = 3

Figure 23.

Conditions in specimen during a consolidated-undrained axial compression (CU) test

Changing 3 permits multiple tests of this type to be conducted on several soil specimens.
The total stress Mohrs circles at failure can now be plotted, and then a common tangent can
be drawn to define the failure envelope. This total stress failure envelope is defined by the

c . tan( )

Where c and are the consolidated-undrained cohesion and angle of friction, respectively
(Note: c 0 for normally consolidated clays)
Similarly, effective stress Mohrs circles at failure can be drawn to determine the effective
stress failure envelope, which satisfy the relation c ' '. tan( ' ) .

Figure 24.

Consolidated-undrained test

In the CU test, complete consolidation of the test specimen is permitted under the confining
pressure, but no drainage is permitted during shear. A minimum of three tests is required to
define strength parameters c and , through four test specimens are preferable with one
serving as a check. Specimens must as a general rule be completely saturated before
application of the deviator stress. Full saturation is achieved by back pressure. When a
back pressure is applied to a sample, the cell pressure must also be increased by an amount
equal to the back pressure so that the effective consolidation stresses will remain the same.
Since the effective stress in the specimen does not change, the strength of the specimen is not
supposed to be changed by the use of back pressure. In practice this may not be exactly true,

but the advantage of having 100% saturation for accurate measurement of induced pore water
pressures far outweighs any disadvantages if the use of back pressure.
Typical stress-strain, u, and 1/3 curves for CU tests are shown below, for both normally
and overconsolidated clays. Also shown for comparison is a stress-strain curve for an
overconsolidated clay at low effective consolidation stress. Note the peak, then the drop-off
of stress as strain increases (work-softening material). The pore pressure versus strain curves
illustrate what happens to the pore pressures during shear. The normally consolidated
specimen develops positive pore pressure. In the overconsolidated specimen, after a
slight initial increase, the pore pressure goes negative in this case, negative with
respect to the back pressure u 0. Another quantity that is useful for analyzing test results is
the principal (effective) stress ratio 1/3. Note how this ratio peaks early, just like the
stress difference curve, for the overconsolidated clay. Similar test specimens having similar
behavior on an effective stress basis will have similarly shaped 1/3 curves. They are
simply a way of normalizing the stress behavior with repect to the effective minor principal
stress during the test. Sometimes, too, the maximum of this ratio is used as a criterion of
failure. However, in this text we will continue to assume failure occurs at the maximum
principal stress difference (compressive strength).

Figure 25.

Typical -, u, and 1/3 curves for normally and overconsolidated clays in undrained
shear (CU test)

Since we can get both the total and effective stress circles at failure for a CU test when we
measure the induced pore water pressures, it is possible to define the Mohr failure envelopes
in terms of both total and effective stresses from a series of triaxial tests conducted over a
range of stresses, as illustrated in figure below for a normally consolidated clay.

Figure 26.

Mohr circles at failure and Mohr failure envelopes for total (T) and effective (E) stresses for
a normally consolidated clay

Note that the effective stress circle is displaced to the left, towards the origin, for the
normally consolidated case, because the specimens develop positive pore pressure during
shear and = - u. Note that both circles have the same diameter because of our
definition of failure at maximum (1 - 3) = (1 - 3). Once the two failure envelopes are
drawn, the Mohr-Coulomb strength parameters are readily definable in terms of both total (c,
or sometimes cT, T) and effective stresses (c, ). Again, as with the CD test, the envelope
for normally consolidated clay passes essentially through the origin, and thus for
practical purposes c can be taken to be zero, which is also true for the total stress c
parameter. Note that T is less than , and often it is about one-half of .
Things are different if the clay is overconsolidated. Since an overconsolidated specimen
tends to expand during shear, the pore water pressure decreases or even goes negative, as
shown in previous figure. Because 3f = 3f (-uf) or 1f = 1f (-uf), the effective
stresses are greater than the total stresses, and the effective stress circle at failure is shifted to
the right of the total stress circle as shown in figure below. The shift of the effective stress
circle at failure to the right sometimes means that the is less than T. Typically, the
complete Mohr failure envelopes are determined by tests on several specimens consolidated
over the working stress range of the field problem.

Figure 27.

Mohr circles at failure and Mohr failure envelopes for total (T) and effective (E) stresses for
an overconsolidated clay

Figure below shows the Mohr failure envelopes over a wide range of stresses spanning the
preconsolidation stress. Thus some of the specimens are overconsolidated and others are
normally consolidated. You should note that the break in the total stress envelope
(point z) occurs roughly about twice the p for typical clays (Hirschfeld, 1963). The two
sets of Mohr circles at failure shown in figure below correspond to the two tests for the
normally consolidated specimen and the specimen overconsolidated at low hc.

Figure 28.

Mohr failure envelopes over a range of stresses spanning the preconsolidation stress p

Note :
Pore water pressure is measured during the CU test, thus permitting determination of the
effective stress parameters c and . In the absence of pore pressure measurements CU tests
can provide only total stress values c and .

Unconsolidated Undrained test (UU test)

Step 1. Apply chamber pressure 3. Do not allow drainage, so that the pore water pressure (u
= u0) developed through the application of 3 is not zero.
Step 2. Apply a deviator stress . Do not allow drainage (u = u d 0). At failure, = f ;
the pore water pressure uf = u0 + ud(f)
For unconsolidated-undrained triaxial tests,
Major principal total stress = 3 + f = 1
Minor principal total stress = 3

Figure 29.

Conditions in the specimen during the unconsolidated-undrained (UU) axial compression


The total stress Mohrs circle at failure can now be drawn. For saturated clays, the value of 1
- 3 = f is a constant, irrespective of the chamber confining pressure 3. The tangent to
these Mohrs circles will be a horizontal line, called the = 0 condition. The shear stress for
this condition is



Where cu = undrained cohesion (or undrained shear strength)

Figure 30.

Unconsolidated-undrained test

The pore pressure developed in the soil specimen during the unconsolidated-undrained
triaxial test is
u ua ud

The pore pressure ua is the contribution of the hydrostatic chamber pressure 3. Hence,
u a B. 3

Where B = Skemptons pore pressure parameter

Similarly, the pore parameter ud is the result of the added axial stress , so
u d A.

Where A = Skemptons pore pressure parameter

1 3

Combining the equations above gives

u u a u d B. 3 A. 1 3
The pore water pressure parameter B in soft saturated soils is unity, so
u 3 A.( 1 3 )

The value of the pore water pressure parameter A at failure will vary with the type of soil.
Following is a general range of the values of A at failure for various types of clayey soil
encountered in nature:
Values of A at failure for various types of clayey soil
Table 10.
Type of Soil
A at failure
Sandy clays
0,5 0,7
Normally consolidated clays
0,5 1,0
Overconsolidated clays
-0,5 0,0

Unconfined Compression Test

The unconfined compression test is a special type of unconsolidated-undrained triaxial test in
which the confining pressure 3 = 0. In this test, an axial stress is applied to the specimen to
cause failure (i.e., = f). The corresponding Mohrs circle is shown in figure. Note that, for
this case,

Figure 31.

Figure 32.

Soil specimen

Mohrs circle for the unconfined compression test

Major principal total stress = f = qu

Minor principal total stress = 0

The axial stress at failure, f = qu, is generally referred to as the unconfined compression
strength. The shear strength of saturated clays under this condition ( = 0) is


The unconfined compression strength can be used as an indicator of the consistency of clays.
Unconfined compression tests are sometimes conducted on unsaturated soils. With the void ratio
of soil specimen remaining constant, the unconfined compression strength rapidly decreases with
the degree of saturation.

Figure 33.

Variation of qu with the degree of saturation

For many naturally deposited clay soils, the unconfined compression strength is much less when
the soils are tested after remolding without any change in the moisture content. This property of
clay soil is called sensitivity. The degree of sensitivity is the ratio of the unconfined compression
strength in an undisturbed state to that in a remolded state, or

q u ( undisturbed )
q u ( remolded )

The sensitivity ratio of most clays from about 1 to 8; however, highly flocculent marine clay
deposits may have sensitivity ratios ranging from about 10 to 80. Some clays turn to viscous
liquids upon remolding, and these clays are referred to as quick clays. The loss of strength of
clay soils from remolding is caused primarily by the destruction of the clay particle structure that
was developed during the original process of sedimentation.
Based on Holtz and Kovacs, 1981:

St 4
low sensitivity

4 < St 8
medium sensitivity

8 < St 16
high sensitivity

St > 16
quick sensitivity
Note: when testing a remolded soil specimen, it is important to retain the same water content of
the undisturb soil. If the soil specimen bleeds water during this process, then the sensitivity
cannot be determined for the soil.
An unsual feature of highly sensitive or quick clays is that the insitu water content is often
greater than the liquid limit (liqudity index greater than one).
Sensitive clays have unstable bonds between particles. As long as these unstable bonds are not
broken, the clay can support a heavy load. But once remolded, the bonding is destroyed and the
shear strength is substantially reduced.

Vane Shear Test

The vane shear test (ASTM D-2573) may be used during the drilling operation to determine the
in situ undrained shear strength (cu) of clay soils particularly soft clays. The vane shear
apparatus consists of four blades on the end of a rod, as shown in Figure below. The height, H, of
the vane is twice the diameter, D. The vane can be either rectangular of tapered. The dimensions
of vanes used in the field are given in Table below. The vanes of the apparatus are pushed into
the soil at the bottom of a borehole without disturbing the soil appreciably. Torque is applied at
the top of the rod to rotate the vanes at a standard rate of 0,1/sec (6/min). This rotation will
induce failure in a soil of cylindrical shape surrounding the vanes. The maximum torque, T,
applied to cause failure is measured. Note that
T = f (cu, H, and D)


T = torque (N.m)
cu = undrained shear strength (kN.m2)
K = a constant with a magnitude depending on the dimension and shape of vane
The constant


D 2 .H


. 1


D = diameter of vane (cm)
H = measured height of vane (cm)
K = a constant with a magnitude depending on the dimension and shape of vane

Geometry of Field Vane (after ASTM, 2001)

Figure 34.

Table 11.

Casing Size

Recommended Dimensions of Field Vanesa (After ASTM, 2001)

Diamter, D
Height, H
Thickness of Blade
Diameter of Rod
mm (in.)
mm (in.)
mm (in.)
mm (in.)





4 in (101,6 mm)b

















The selection of a vane size is directly related to the consistency of the soil being tested; that is, the softer the soil,
the larger the vane diameter should be.
Inside diameter.

Field vane shear tests are moderately rapid and economical and are used extensively in field soilexploration programs. The test gives good results in soft and medium-stiff clays and gives
excellent results in determining the properties of sensitive clays.
Sources of significant error in the field vane shear test are poor calibration of torque
measurement and damaged vanes. Other errors may be introduced if the rate of rotation of the
vane is not properly controlled.

For actual design purposes, the undrained shear strength values obtained from field vane shear
tests [cu(VST)] are too high, and it is recommended that they be corrected according to the equation
c u ( corrected ) .c u (VST )

cu = undrained shear strength
= correction factor
Several correlations have been given previously for the correction factor ; some more are as
Bjerrum (1972):
1,7 0,54. log PI %

Morris and Williams (1994):

1,18.e 0,08. PI 0,57
7,01.e 0,08. LL 0,57

(for PI > 5%)

(LL in %)

Aas et al. (1986):

c u (VST )

(see figure below)


Figure 35.

Variation of with cu(VST)/0

Atterberg Limits
When a clayey soil is mixed with an excessive amount of water, it may flow like a semiliquid. If
the soil is gradually dried, it will behave like a plastic, semisolid, or solid material, depending on
its moisture content. The moisture content, in percent, at which the soil changes from a liquid to
a plastic state is defined as the liquid limit (LL). Similarly, the moisture content, in percent, at
which the soil changes from a plastic to a semisolid state and from a semisolid to a solid state is
defined as the plastic limit (PL) and the shrinkage limit (SL), repectively. These limits are
referred to as Atterberg Limits:

The liquid limit of a soil is determined by Casagrandes liquid device (ASTM Test
Designation D-4318) and is defined as the moisture content at which a groove closure of 12.7
mm (1/2 in.) occurs at 25 blows.

The plastic limit is defined as the moisture content at which the soil crumbles when rolled
into a thread of 3.18 mm (1/8 in.) in diameter (ASTM Test Designation D-4318).

The shrinkage limit is defined as the moisture content at which the soil does not undergo
any further change in volume with loss of moisture (ASTM Test Designation D-4318).
The difference between the liquid limit and the plastic limit of a soil is defined as the plasticity
index (PI), or :

However, Atterberg limits for the different soils will vary considerably, depending on the origin
of the soil and the nature and amount of clay minerals in it.

Figure 36.

Definition of Atterberg limits

The liquid and plastic limit values, together with wN (natural water content), are useful in
predicting whether a cohesive soil mass is preconsolidated. Since an overconsolidated soil is
more dense, the void ratio is smaller than in the soil remolded for the Atterberg limit tests. If the
soil is located below the groundwater table (GWT) where it is saturated, one would
therefore expect that smaller void ratios would have less water space and the w N value
would be smaller. From this we might deduce the following:

If wN is close to wL, soil is normally consolidated

If wN is close to wP, soil is some- to heavily overconsolidated

If wN is intermediate, soil is somewhat overconsolidated

If wN is greater than wL, soil is on verge of being a viscous liquid

Although the foregoing gives a qualitative indication of overconsolidation, other methods must
be used if a quantitative value of OCR is required.
Overconsolidation Ratio (OCR)
The degree of overconsolidation may be expressed numerically as the overconsolidation ratio
(OCR) which is defined as follows:
OCR = overconsolidation ratio
= pre-consolidation ratio
= vertical effective stress
The OCR of a normally consolidated soil is equal to 1; in a lightly overconsolidated soil, it is
typically between 1 and 3; a heavily overconsolidated soil may have an OCR as high as 8. Preconsolidation stress can be determined by consolidation test.
The following empirical relationship (U.S. Navy, 1982a) can be useful when estimating it or
when checking test result for reasonableness:
0.11 0.0037 PI
c = pre-consolidation ratio
= undrained shear strength
PI = Plasticity Index
Synthesis of Field and Laboratory Data
Investigation and testing programs often generate large amounts of information that can be
difficult to sort through and synthesize. Real soil profiles are nearly always very complex, so the
borings will not correlate and the test results will often vary significantly. Therefore, we must
develop a simplified soil profile before proceeding with the analysis. In many cases, the
simplified profile is the best defined in terms of a one-dimensional function of soil type and
engineering properties vs. depth; an idealized boring log. However, when the soil profile varies
significantly across the site, one or more vertical cross-sections may be in ordered,
The development of these simplified profiles requires a great deal of engineering judgment along
with interpolation and extrapolation of the data. It is important to have a feel for the approximate
magnitude of the many uncertainties in this process and reflect them in an appropriate degree of
conservatism. This judgment comes primarily with experience combined with a through
understanding of the field and laboratory methodologies.

Organic Soil
Organic soils are usually found in low-lying areas where the water table is near or above the
ground surface. The presence of a high water table helps in the growth of aquatic plants that,
when decomposed, form organic soil. This type of soil deposit is usually encountered in coastal
areas and in glaciated regions. Organic soils show the following characteristics:

Their natural moisture content may range from 200% to 300%

They are highly compresible

Laboratory tests have shown that, under loads, a large amount of settlement is derived
from secondary consolidation
Expansive Soil
When geotechnical engineers refer to expansive soils, we usually are thinking about clays or
sedimentary rocks derived from clays, and the volume changes that occur as a result of changes
in moisture content. Clays are fundamentally very different from gravels, sands, and silts. All of
the later consist of relatively inert bulky particles and their engineering properties depend
primarily on the size, shape, and texture of these particles. In contrast, clays are made of very
small particles that are usually plate-shaped. The engineering properties of clays are strongly
influenced by the very small size and large surface area of these particles and their inherent
electrical charges.
Several different clay minerals occur in nature, the differences being defined by their chemical
makeup and structural configuration. Three of the most common clay minerals are kaolinite,
illite, and montmorillonite (part of the smectite group). The different chemical compositions and
crystalline structures of these minerals give each a different susceptibility to swelling, as shown
in table below.
Table 12.

Swell Potential Of Pure Clay Minerals (Budge et al., 1964)

Sucharge Load


Swell Potential (%)


Swelling occurs when water infiltrates between and within the clay particles, causing them to
separate. Kaolinite is essentially nonexpansive because of the presence of strong hydrogen bonds
that hold the individual clay particles together. Illite contains weaker potassium bonds that allow
limited expansion, and montmorillonite particles are only weakly linked. Thus, water can easily
flow into montmorillonite clays and separate the particles. Field observations have confirmed
that the greatest problems occur in soils with a high montmorillonite content.
Several other forces also act on clay particles, including the following:

Surface tension in the menisci of water contained between the particles (tends to pull the
particles together, compressing the soil).

Osmotic pressures (tend to bring water in, thus pressing the particles further apart and
expanding the soil).

Pressures in entrapped air bubles (tend to compress the soil).

Effective stresses due to external loads (tend to compress the soil).

London-Van Der Waals intermolecular forces (tend to compress the soil).

Expansive clays swell or shrink in response to changes in these forces. For example, consider the
effects of changes in surface tension and osmotic forces by imagining a montmorillonite clay that
is initially saturated, as shown if figure (a). If this soil dries, the remaining moisture congregates
near the particle interfaces, forming menisci, as shown in figure (b), and the resulting surface
tension forces pull the particles closer together causing soil to shrink. We could compare the soil
in this stafe to a compressed spring: both would expand if it were not for forces keeping them
compressed. The soil in figure (b) has a great affinity for water and will draw in available water
using osmosis. We would say that it has a very high soil suction at this stage. If water becomes
available, the suction will draw it into spaces between the particles and the soil will swell, as
shown in figure (c).
Internal Friction ( )
Internal friction is used to analyze the bearing capacity of a foundation on Sand layer. This chart
shows relationships between angle of friction and (N1)60.

Figure 37.

Relationship Between Angle of Friction and N-Value for Sandy Soil (K. Terzaghi)

Based on the chart above, we propose to use Dunhams (1954) equation as:
12 N1 60 15


= angle of friction ( 0)

(N1)60 = N-SPT value corrected for field procedures and overburden stress
DeMello (1971) suggested a correlation between SPT data results and the effective friction angle
of uncemented sands, , as shown in Figure below. This correlation should be used only at
depths greater than about 2 m.

Figure 38.

Empirical correlation between N60 and for uncemented sands (DeMello, 1971)

The CPT results also have been correlated with shear strength parameters, especially in sands.
Figure below presents Robertson and Campanellas 1983 correlation for uncemented, normally
consolidated quartz sands. For overconsolidated sands, subtract 1 0 to 20 from the effective
friction angle obtained from this figure.

Figure 39.

Relationship Between CPT Results, Overburden Stress and Effective Friction Angle for
Uncemented, Normally Consolidated Quartz Sand (Robertson and Campanella, 1983)

On the basis of experimental results, Robertson and Campanella (1983) suggested the variation
of for normally consolidated quartz sand. The figure above can also be expressed into a
relationship as (Kulhawy and Mayne, 1990)

' tan 1 0,1 0,38. log c
' 0

= effective angle of friction ( 0)

qc = cone resistance
0 = effective vertical stress
Cohesion (cu)

Cohesion is one of the soil properties for clay that can be used to analyze the bearing capacity of
a foundation. The chart shows the relationships between undrained cohesion and corrected NSPT value :

Figure 40.

Relationship Between Cohesion with N-Value for Cohesive Soil (K. Terzaghi)

The chart above is used to determine the undrained shear strength for cohesive soils and we
proposed to use:
c u 6,67.N 60 ( kN / m 2 )

= undrained shear strength
N60 = N-SPT value corrected for field procedures
The literature contains many correlations between the standard penetration number and the
undrained shear strength of clay, cu. On the basis of results of undrained triaxial tests conducted
on insensitive clays, Stroud (1974) suggested that
c u K .N 60 ( kN / m 2 )

= undrained shear strength
N60 = N-SPT value corrected for field procedures
= constant = 3,5 6,5
Hara et al. (1971) also suggested that

c u ( kN / m 2 ) 29.N 60

As in the case of standard penetration tests, several correlations have been developed between qc
and other soil properties. According to Mayne and Kemper (1988), in clayey soil the undrained
cohesion cu, can be correlated via the equation

qc 0

= undrained shear strength
qc = cone resistance
0 = total vertical stress
NK = 15 for an electric cone
= 20 for a mechanical cone
Values of the undrained shear strength cu corresponding to various degrees of consistency are as
follows (Terzaghi & Peck, 1967 and ASTM D2488-90) :

Very Soft: cu < 12 kPa. The clay is easily penetrated several

centimeters by the thumb. The clay oozes out between the fingers when squeezed in the

Soft: 12 kPa cu < 25 kPa. The clay is easily penetrated 2 to 3

cm by the thumb. The clay can be molded by slight finger pressure.

Medium: 25 kPa cu < 50 kPa. The clay can be penetrated about

1 cm by the thumb with moderate effort. The clay can be molded by strong finger pressure.

Stiff: 50 kPa cu < 100 kPa. The clay can be indented about 0.5
cm by the thumb with great effort.

Very Stiff: 100 kPa cu < 200 kPa. The clay cannot be indented
by the thumb, but can be readily indented with the thumbnail.

Hard: cu 200 kPa. With great difficulity, the clay can only be
indented with the thumbnail.
Relative Density (Dr)
The following approximate relationship between CPT results and the relative density of sands
(Adapted from Kulhawy and Mayne, 1990) :


. 100.kPa x100%

315.Q .OCR 0.18


qc = cone resistance
Qc = compressibility factor
= 0.91 for highly compressible sands
= 1.00 for moderately compressible sands
= 1.09 for slightly compressible sands

OCR = overconsolidation ratio

z = vertical effective stress
A relationship between consistency of sands and gravels and relative density is shown in Table

Table 13.

Consistency of coarse-grained soils various relative densities (Lambe and Whitman, 1969)

Relative Density, Dr (%)

0 15
15 - 35
35 65
65 85
85 100

Very Loose
Medium Dense
Very Dense

qc vs N-SPT Value
Since the SPT and CPT are the two most common in-situ tests, it often is useful to convert results
from one to the other. The ratio qc/N60 as a function of the mean grain size, D50, is shown in
Figure below. Note that N60 does not include an overburden correction.

Figure 41.

Correlation between qc/N60 and the mean grain size, D50 (Kulhawy and Mayne, 1990)

Be cautious about converting CPT data to equivalent N values, and then using SPT based
analysis methods. This technique compounds the uncertainties because it uses two correlations
one to convert to N, and then another to compute the desired quantity.
Correlation with Soil Classification

Because the CPT does not recover any soil samples, it is not a substitute for conventional
exploratory borings. However, it is possible to obtain an approximate soil classification using the
correlation shown in Figure below:

Figure 42.

Classification of Soil Based On CPT Test Results (Robertson and Campanella, 1983)

Design N-SPT Value

Early recommendations were to use the smallest N value in the boring or an average of all of the
values for the particular stratum. Current practice is to use an average N but in the zone of major
stressing. For example, for a spread footing the zone of interest is from about one-half the
footing width B above the estimated base location to a depth of about 2B below. Weighted
averaging using depth increment multiplied by N may be preferable to an ordinary arithmetic
that is,

N av

N.z i

and not

N av

For pile foundations there may be merit in the simple averaging of blow count N for any stratum
unless it is very thick thick being a relative term. Here it may be better to subdivide the thick
stratum into several strata and average the N count for each subdivision.
Correction for N-SPT Value
Deep tests in a uniform soil deposit will have higher N values than shallow tests in the same soil,
so the overburden correction adjusts the measure N values to what they would have been if the
vertical effective stress, v, was 100 kPa. In granular soils, the value of N is affected by the
effective overburden pressure, 0. For that reason, the value of N60 obtained from field
exploration under different effective overburden pressure should be changed to correspond to a
standard value of 0.
So that, the corrected value (Liao and Whitman, 1985), (N1)60 is:

N1 60

C N .N 60

(N1)60 = N-SPT value corrected for field procedures and overburden stress
= overburden correction factor (see figure below)
= vertical effective stress in ton/ft2, which is based on water table during SPT testing. If
fill is paced after SPT testing, fill does not affect 0

SPT overburden stress correction factor, CN (Liao and Whitman, 1986)

Figure 43.

Liao and Whitmans relationship (1986):

C N 9,78.

for ' v 25 kN / m 2

Skemptons relationship (1986):


1 'v

for 'v 25 kN / m 2

Seed et al.s relationship (1975):

C N 1 1,25. log
for ' v 25 kN / m 2

Peck et al.s relationship (1974):



for ' 25 kN / m 2

C N 0,77. log

We can improve the raw SPT data by applying certain correction factors. The variations in
testing procedures may be at least partially compensated by converting the measured N to N60 as
follows (Skempton, 1986):

N 60


E m .C b .C s .C r .N

= hammer efficiency
= borehole diameter correction
= sampling method correction
= rod length correction
= N-SPT value from field test
= N-SPT value corrected for field procedures
= vertical effective stress at the test location
= reference stress = 100 kN/m2
Table 14.

SPT Hammer Effeciences (Clayton, 1990)


Hammer Type

Hammer Release Mechanism


Pin weight

Hand dropped
Hand dropped
Tombi trigger
Cathead 2 turns + special release
2 turns on cathead
2 turns on cathead


Effeciency, Em
0.78 0.85
0.65 0.67
0.55 0.60

Figure 44.

Table 15.

Type of SPT hammers

Borehole, Sampler and Rod Correction Factors (Skempton, 1986)

Borehole diameter
factor, CB
Sampling method
factor, CS
Rod length factor,

Equipment Variables
65 115 mm (2.5 4.5 in)
150 mm (6 in)
200 mm (8 in)
Standard sampler
Sampler without liner (not recommended)
3 4 m (10 13 ft)
4 6 m (13 20 ft)
6 10 m (20 30 ft)
> 10 m (> 30 ft)


Although Liao and Whitman did not place any limits in this correction, it is probably best to keep
(N1)60 2.N60. This limit avoids excessively high (N1)60 values at shallow depths.
The use of correction factors is often a confusing issue. Corrections for field procedures are
always appropriate, but the overburden correction may or may not be appropriate depending on
the procedures used by those who developed the analysis method under consideration.
The N-SPT value, as well as many other test results, is only an index of soil behavior. It does not
directly measure any of the conventional engineering properties of soil and is useful only when
appropriate correlations are available. Many such correlation exist, all of which were obtained

empirically. Be especially cautious when using correlations between SPT results and engineering
properties of clays because these functions are especially crude. In general, the SPT should be
used only in sandy soils.
Adhesion Factor ( )
Recommended values of for drilled shafts in clay (After Reese and ONeill, 1986):
Adhesion Value for Drilled Shaft in Clay (After Reese and ONeill,1986)
Undrained Shear Strength (cu) ;
Location Along Drilled Shaft
Value of
1 tsf = 95,76 kPa
From Ground surface to depth
along drilled shaft of 5 ft
Bottom 1 diameter of the drilled
shaft or 1 stem diameter above the
top of the bell
All other points along the sides of
< 2 tsf
< 191,52 kPa
the drilled shaft
2 3 tsf
191,52 287,28 kPa
3 4 tsf
287,28 383,04 kPa
4 5 tsf
383,04 478,80 kPa
5 6 tsf
478,80 574,56 kPa
6 7 tsf
574,56 670,32 kPa
7 8 tsf
670,32 766,08 kPa
8 9 tsf
766,08 861,85 kPa
> 9 tsf
> 861,85 kPa
Treat as Rock
Table 16.

Adhesion factor () as function of undrained shear strength (su) for drilled shafts foundation in
clay is presented below:

Figure 45.

Adhesion Factor ( ) vs Undrained Shear Strength (su) for drilled shaft

Recommended values of for pile in clay (API):

For cu < 25 kPa


For 25 kPa < cu < 75 kPa

c 25.kPa
1,0 0,5. u


For cu > 75 kPa


Figure 46.

Adhesion Factor ( ) vs Undrained Shear Strength (su) for driven pile (API)

All of the factors presented above are for insensitive clays (St < 4). In sensitive clays, full-scale
static load tests, special lab tests, or some other method of verification are appropriate (ONeill
and Reese, 1999).
ONeill and Reese (1989) also ignore the skin friction resistance in the upper 5 ft (1,5 m) of the
shaft and along the bottom one diameter of straight shaft because of interaction with the end

Soil Modulus Subgrade Reaction and Soil Strain

According to Reese (1987), modulus subgrade reaction and soil strain can be determained from
the table below:

For Clays
Table 17.

Modulus Subgrade Reaction and Soil Strain Value for Clay (after Reese, 1987)
cu (kPa)
k (kPa/m)
12 24
24 48
48 96
Very Stiff
96 192
192 - 383

For Sands
Modulus subgrade reaction (ks) kPa/m
Table 18.

Modulus Subgrade Reaction and Soil Strain Value for Clay (after Reese, 1987)
Relative Density
Submerged Sand
Sand Above Water Table

In general, the coefficient of subgrade reaction which is also known as the modulus of subgrade
reaction, or the subgrade modulus could be approached by using formula below :

ks = coefficient of subgrade reaction (kPa/m)
q = bearing pressure (kN/m2 or kPa)
= settlement (m)
Basic Theory
Shallow Foundation
Shallow foundations transmit the applied structural loads to the near-surface soils. In the process
of doing so, they induce both compressive and shear stresses in these soils. The magnitudes of
these stresses depend largely on the bearing pressure and the size of the footing. If the bearing
pressure is large enough, or the footing is small enough, the shear stresses may exceed the shear
strength of the soil or rock, resulting in a bearing capacity failure.
Researchers have identified three types of bearing capacity failures:

General shear failure

It occurs in soils that are relatively incompressible and reasonably strong, in rock, and in
saturated, normally consolidated clays that are loaded rapidly enough that the undrained
condition prevails. The failure surface is well defined and failure occurs quite suddenly. A
clearly formed bulge appears on the ground surface adjacent to the foundation. Although

bulges may appear on both sides of the foundation, ultimate failure occurs on one side only,
and it is often accompanied by rotations of the foundation.
Local shear failure
Local shear failure is an intermediate case. The shear surfaces are well defied under the
foundation, and then become vague near the ground surface. A small bulge may occur, but
considerable settlement, perhaps on the order of half the foundation width, is necessary
before a clear shear surface form near ground. Even then, a sudden failure does not occur, as
happens in the general shear case. The foundation just continues to sink ever deeper into the
Punching shear failure
The opposite extreme is the punching shear failure. It occurs in very loose sands, in a thin
crust of strong soil underlain by a very weak soil, or in weak clays loaded under slow,
drained conditions. The high compressibility of such soil profiles causes large settlements
and poorly defined vertical shear surfaces. Little or no bulging occurs at the ground surface
and failure develops gradually.

Figure 47.

(a) General shear failure; (b) Local shear failure; (c) Punching shear failure (after Vesic,

Complete quantitative criteria have yet to be developed to determine which of these three modes
of failure will govern in any given circumstance, but the following guidelines are helpful:

Shallow foundations in rock and undrained clays are governed by the general shear case

Shallow foundations in dense sands are governed by the general shear case. In this
context, a dense sand is one with a relative density, Dr, greater than about 67%
Shallow foundations on loose to medium dense sands (30% < D r < 67%) are probably
governed by local shear
Shallow foundations on very loose sand (Dr < 30%) are probably governed by punching

For nearly all practical shallow foundation design problems, it is only necessary to check the
general shear case, and then conduct settlement analyses to verify that the foundation will not
settle excessively. These settlement analyses implicitly protect against local and punching shear
Bearing Capacity Analyses in Soil General Shear Case
Ultimate capacity for shallow foundation design is calculated by using the formula taken from
Terzaghi (1943):
q ult c '.N c q '.N q 0,5. '.B.N

(for continuous foundation)

q ult 1,3.c '.N c q '.N q 0,4. '.B.N

(for square foundation)

q ult 1,3.c '.N c q '.N q 0,3. '.B.N

(for circular foundation)

c = effective cohesion of soil
= effective unit weight of soil
q = vertical effective overburden pressure
Nc, Nq, N = bearing capacity factors
The Terzaghi bearing capacity factors are:



2. cos 2 45 '

a e

0 , 75 ' 360 . tan '

N c 5,7


Nq 1

tan '

for = 0
for > 0

2. N q 1. tan '
1 0,4. sin 4. '

The formula developed in Vesic (1973, 1975) is based on theoretical and experimental findings
from these and other sources and is an excellent alternative to Terzaghi. It produces more
accurate bearing values and it applies to a much broader range of loading and geometry
conditions. The primary disadvantage is its added complexity.
Vesic retained Terzaghis basic format and added the following additional factors:
sc, sq, s = shape factors
dc, dq, d = depth factors
ic, iq, i = load inclination factors
bc, bq, b = base inclination factors
gc, gb, g = ground inclination factors
He incorporated these factors into the bearing capacity formula as follows:
q ult c '.N c .s c .d c .ic .bc .g c q '.N q .s q .d q .i q .bq .g q 0,5. '.B.N .s .d .i .b .g

Terzaghis formulas consider only vertical loads acting on a footing with a horizontal base with a
level ground surface, whereas Vesic factors allow any or all of these to vary. The notation for
these factors is shown in figure below:

Figure 48.

Notation for Vesics load inclination, base inclination, and ground inclination factors. All
angles are expressed in degrees

Shape Factors
Vesic considered a broader range of footing shapes and defined them in his s factors:
B N q
L N c

sc 1

. tan

sq 1

s 1 0,4.
For continous footings, B/L 0, so sc, sq, and s become equal to 1. This means the s factors
may be ignored when analyzing continous footings.
Depth Factors
Unlike Terzaghi, Vesic has no limitations on the depth of the footing. The depth of footing is
considered in the following depth factors:
d c 1 0,4.k

d q 1 2.k . tan .1 sin

d 1

For relatively shallow foundations (D/B 1), use k D

B with the tan

k tan 1 D

function at D


B . For deeper footings (D/B > 1), use

term expresses in radians. Note that this produces a discontinues


Load Inclination Factors

The load inclination factors are for loads that do not act perpendicular to the base of the footing,
but still act through its centroid. The variable P refers to the component of the load that acts
perpendicular to the bottom of the footing, and V refers to the component that acts parallel to the
The load inclination factors are:
ic 1

0 .N c

iq 1


i 1
A.c u


m 1

For loads inclined in the B direction:

2 B
1 B


For loads inclined in the L direction:

2 L
1 L


V = applied shear load
P = applied normal load
A = base area of footing
cu = cohesion
= friction angle
B = foundation width
L = foundation length
If the load acts perpendicular to the base of the footing, the i factors equal 1 and may be
neglected. The i factors also equal 1 when = 0.
Base Inclination Factors
The vast majority of footings are built with horizontal bases. However, if the applied load is
inclined at a large angle from the vertical, it may be better to incline the base of the footing to the
same angle so the applied load acts perpendicular to the base. However, keep in mind that such
footings may be difficult to construct.
The base inclination factors are:
bc 1

147 0

. tan
bq b 1

57 0

If the base of the footing is level, which is the usual case, all of the b factors become equal to 1
and may be ignored.
Ground Inclination Factors
Footings located near the top of a slope have a lower bearing capacity than those on level
ground. Vesic ground inclination factors, presented below, account for this. However, there are
also other considerations when placing footings on or near slopes.

gc 1

147 0

g q g 1 tan

If the ground surface is level ( = 0), the g factors become equal to 1 and may be ignored.
Bearing Capacity Factors
Vesic used the following formulas for computing the bearing capacity factors Nq, Nc and N :

N q e . tan . tan 2 45


Nq 1

N c 5,14

for > 0
for = 0

N 2. N q 1. tan

Bearing Capacity Analysis in Soil Local and Punching Case

Engineers rarely need to compute the local or punching shear bearing capacities because
settlement analyses implicity protect against this type of failure. In addition, a complete bearing
capacity analysis would be more complex because of the following:

These modes of failure do not have well-defined shear surfaces, such as those shown in
figures above, and are therefore more difficult to evaluate.

The soil can no longer be considered incompressible (Ismael and Vesic, 1981).

The failure is not catastrophic, so the failure load is more difficult to define.

Scale effects make it difficult to properly interpret model footing tests.

Terzaghi (1943) suggested a simplified way to compute the local shear bearing capacity using the
general shear formulas with appropriately reduced values of c and :
c adj 0,67.c

adj tan 1 0,67. tan

Vesic (1975) expanded upon this concept and developed the following adjustment formula for
sands with a relative density, Dr, less than 67%:

adj tan 1 0,67 Dr 0,75.Dr2 . tan

cadj = adjusted cohession
adj = adjusted friction angle
= cohession

= friction angle
Dr = relative density of sand, expressed in decimal form (0 Dr 67%)
Although the Vesic (1975) formula was confirmed with a few model footing tests, both methods
are flawed because the failure mode is not being modeled correctly. However, local or punching
shear will normally only govern the final design with shallow, narrow footings on loose sands, so
an approximate analysis is acceptable.
An important exception to this conclusion is the case of a footing supported by a thin crust of
strong soil underlain by very weak soil. This would likely be governed by punching shear and
would justify a custom analysis.
Sliding Capacity Analysis
Resistance against sliding in soils :
W PV . tan c a .Abase
1 .5
W PV . tan c a .Abase Pp
2 .0
Where :
= minimum factor of safety against sliding potential
= foundation weight including soil above footing
= vertical force
= horizontal force
= passive force
Abase = base area
= adhesion factor
tan = friction factor between soil and base

= friction angle
tan = tan
Adhesion factor (NAVFAC DM-7.02)
Adhesion, ca
Interface Materials (Cohesion)
Very soft cohesive soil (0 12.5 kPa)
0 12.5
Soft cohesive soil (12.5 20 kPa)
12.5 20
Medium stiff cohesive soil (20 50 kPa)
20 37.5
Stiff cohesive soil (50 100 kPa)
37.5 47.5
Very stiff cohesive soil (100 200 kPa)
47.5 65
Table 19.

Pile Foundation
Bearing capacity calculation can be determined by using analysis of such this condition:


Bearing capacity of single pile

Pile-soil interaction and pile group

Figure 49.

Pile Foundation Analysis

Bearing Capacity of Single Pile


Figure 50.

Bearing Capacity of Pile

In general, the ultimate axial capacity of bored pile / driven pile can be obtained as the
summation of end bearing capacity plus skin friction resistance, or :
Qu Qs Q p

Qu = ultimate pile capacity
Qp = ultimate end bearing capacity
Qs = ultimate skin friction resistence

Analyses Based on SPT Results


The ultimate end bearing capacity (Qp) can be determined as:

Q p q p . Ap

Qp = ultimate end bearing capacity
qp = unit end bearing capacity
Ap = area of bored pile / driven pile cross section
The calculation of unit end bearing capacity (qp) must refer to the soil condition. Below are
several equations for its conditions:

Because of their low hydraulic conductivity, we assumed undrained conditions

exist in clays beneath the toe of deep foundation. Therefore, we compute qp using the
undrained shear strength, cu. For deep foundations which have ratio D/B > 3 with cu 250
kPa :
q p N c* .cu (3800kPa )

qp = unit end bearing capacity
Nc* = bearing capacity factor (ONeill and Reese, 1999)
= 6,5 at cu = 25 kPa
= 8,0 at cu = 50 kPa
= 9,0 at cu 100 kPa
= undrained shear strength in the soil between the base of the shaft/pile and a distance
2Bb below the base
= depth to the bottom of the shaft/pile
Bb = diameter of shaft/pile base
Clays with cu > 250 kPa should be evaluated as intermediate geo-materials.
If the base diameter, Bb, is greater than 1900 mm, the value of qp could produce settlements
greater than 25 mm, which would be unacceptable for most buildings. To keep settlements
within tolerable limits, reduce the value of qp and use this value (ONeill and Reese, 1999):
q pr Fr .q p


1 .Bb 2.5 2

1 0,28 Bb 0,083 D B

2 0,065 cu

qpr = reduced unit toe-bearing resistance
qp = unit toe-bearing resistance
Bb = diameter at base of foundation
D = depth of embedment

cu = undrained shear strength in the soil between the base of the foundation and a depth 2Bb
below the base

Reese and ONeill (1999) recommend the following function for end bearing in
cohesionless soils which base diameter of drilled shaft is less than 1200 mm and with N60
q p 57,5.N 60 ( 4300 kPa )

qp = unit end bearing capacity (kPa)
N60 = N-SPT value corrected for field procedures between toe and a depth of 2Bb below the
Bb = base diameter of drilled shaft
If N60 > 50, the ground is classified as an intermediate geo-material
Shaft with base diameters larger than about 1200 mm, require about 60 mm of settlement to
develop the full toe-bearing resistance as defined by ONeill and Reese. Shaft with larger
base diameters may experience excessive settlements, especially if toe bearing represents a
large portion of the total capacity. There are two ways to deal with this problem by reducing
the unit toe-bearing resistance and perform the settlement analysis to adjust the design so the
settlement under working loads within tolerable limits.

q pr

qpr = reduce of unit end bearing capacity
qp = unit end bearing capacity
Bb = base diameter of drilled shaft

According to Meyerhof (1976), the unit end (point or tip) resistance qp in tons per square
feet (tsf) of driven piles in cohesionless soils can be estimated by the following relationship :
0,4.N ' avg

q p

.Df 4.N ' avg . tsf

= unit end bearing capacity (tsf), this value should be multiplied by a conversion
factor of 95,8 to obtain qp in kPa
Navg = average N-SPT value corrected for field procedures and overburden test near the
pile tip
= base diameter of pile
= depth of pile into granular stratum, which is the pile length (L) in homogeneous
cohesionless soils
Intermediate geo-material is a new term used to describe hard soils and soft rocks. ONeill and
Reese (1999) define them as cohesive or cemented materials, such as shale or mudstones, with
250 kPa < cu < 2500 kPa or non-cohesive materials, such as glacial till, with N60 > 50. These

materials can be difficult to evaluate because they have engineering properties between those of
soil and rock. For cohesive intermediate geo-material and rock we know the RQD (Rock Quality
RQD is a measure of the integrity of rock or intermediate geo-material obtained from coring. It is
computed by summing the lengths of all pieces of the core (NX size) equal to or longer than 4 in.
(10 cm) and dividing by the total length of the core run. The RQD is multiplied by 100 and
expressed as a percentage. When calculating the RQD, only the natural fractures should be
counted and any fresh fractures due to the sampling process should be ignored. RQD
measurements can provide valuable data on the quality of the in situ rock mass, and can be used
to locate zones of extensively fractured or weathered rock. The mass rock quality can be defined
as follows:
RQD = 0 25%, rock quality is defined as very poor
RQD = 25 50%, rock quality is defined as poor
RQD = 50 75%, rock quality is defined as fair
RQD = 75 90%, rock quality is defined as good
RQD = 90 100%, rock quality is defined as excellent
In addition to determining the type of rock, it is often important to determine the quality of the
rock, which is related to its degree of weathering, defined as follows:
Fresh, no discoloration or oxidation.
Slightly Weathered, discoloration or oxidation is limited
to surface of, or short distance from, fractures; some feldspar crystals are dull.
Moderately Weathered, discoloration or oxidation extends
from fractures, usually throughout, Fe and Mg minerals are rusty and feldspar crystals are
Intensely Weathered, discoloration or oxidation
throughout; all feldspars and Fe and Mg minerals are altered to clay to some extent; or
chemical alteration produces in situ disaggregation.
Decomposed, discolored or oxidized throughout, but
resistant minerals such as quartz may be unaltered; all feldspars and Fe and Mg minerals are
completely altered to clay.
The unconfined compressive strength (qu) is usually measured in the laboratory on core samples
using a technique similar to that for measuring the compressive strength of concrete. This value
also is equal to twice the undrained shear strength, cu. ONeill and Reese use the RQD and the
unconfined compressive strength between the bottom of the foundation and a depth of about 2B
below the bottom to evaluate toe-bearing resistance.
Cohesive Intermediate Geo-material and Rock
If RQD = 100% and the foundation extends to a depth of at least 1,5B into the
intermediate geo-material or rock
q p 2,5.q u

= unit end bearing capacity
= unconfined compressive strength

If 70% < RQD < 100%, all joints are closed (i.e., not containing voids are soft infill
material) and nearly horizontal, and qu > 500 kPa
q p 4830.(q u ) 0.51

= unit end bearing capacity
= unconfined compressive strength

If the material is jointed, the joints have random orientation, and the condition of the
joints can be evaluated in the area or from test excavation:

q p t 0,5 (m.t 0, 5 t ) 0,5 .qu

Where m and t are determined from tables below:

Table 20.

Description of Rock and Intermediate Geo-material Types (ONeill and Reese, 1999)
Rock or Intemediate
Geomaterial Type
Carbonate rocks with well-developed crystal cleavage (e. g.,
dolostone, limestone, marble)
Lithified argillaeous rocks (e. g., mudstone, siltstone, shale, slate)
Arenaceous rocks (e. g., sandstone, quartz)
Fine-grained igneous rocks (e. g., andesite, dolerite, diabase, rhyolite)
Coarse-grained igneous and metamorphic rocks (e. g., amphibole,
gabro, gneiss, granite, norite, quartz diorite)

Table 21.

Quality of
Rock or


Very Good
Very Poor

Values of m and t (ONeill and Reese, 1999)

with gouge







> 3m





1 3m






1 3m






0,1 1m







30 300mm







< 50mm






Non-cohesive Intermediate Geo-material

q p 0,59. ( N 1 ) 60


. ' zD

= unit end bearing capacity
(N1)60 = N-SPT value corrected for field procedures and overburden stress 100
zD = vertical effective stress at base of foundation

The purpose of this section is to provide a brief introduction to rock classification. There are
three basic types of rocks: igneous, sedimentary and metamorphic. Because of their special
education and training, usually the best person to classify rock is the engineering geologist.
Below a simplified rock classification and common rock types:
Simplified Rock Classification
Common igneous rocks
Major division
Secondary divisions
Rock types
Volcanic explosion debris (fragmental)
Tuff (litihified ash) and volcanic breccia
Lava flows and hot siliceous clouds
Obsidian (glass), pumice and scoria
Lava flows (fine-grained) texture
Basalt, andesite and rhyolite
Dark minerals dominant
Intemediate (25-50% dark minerals)
Light color (quartz and feldspar)
Common sedimentary rocks
Major division
Texture (grain size) or chemical composition
Rock types
Clastic rocks*
Grain size lager than 2 mm (pebbles, gravel,
Conglomerate (rounded cobbles) or
cobbles, and boulders)
breccia (angular rock fragments)
Sand-size grains, 0.062 - 2 mm
Silt-sizq grains, 0.004 0.062 mm
Clay-size grains, less than 0.004 mm
Claystone and shale
Chemical and organic Carbonate minerals (e.g., calcite)
Halite minerals
Rock salt
Sulfate minerals
Iron-rich minerals
Siliceous minerals
Organic products
Common metamorphic rocks
Major division
Structure (foliated or massive)
Rock types
Coarse crystalline
Medium crystalline
Marble, quartzite, serpentine, soapstone
Fine to microscopic
Phyllite, slate
Hornfels, anthracite coal
*Grain sizes correspond to the Modified Wentworth scale
Table 22.

Hardness of rock versus unconfined compressive strength (Basic Soils Engineering (Hough, 1969);
Engineering Geology Field Manual, 1987)
Rock description
Very soft
1 25 MPa
The rock can be readily indented, grooved, or gouged with fingernail, or
carved with a knife. Breaks with light manual pressure. The rock disintegrates
upon the single blow of a geologic hammer
25 50 MPa
The rock can be grooved of gouged easily by a knife or sharp pick with light
pressure. Can be scratched with a fingernail. Breaks with light to moderate
manual pressure
50 100 MPa
The rock can be scratched with a knife or sharp pick with great difficulity
(heavy pressure is needed). A heavy hammer blow is required to break the
Very Hard
100 200 MPa
The rock cannot be scratched with a knife or a sharp pick. The rock can be
broken with several solid blows of a geologic hammer
Extremelly hard
>200 MPa
The rock cannot be scratched with a knife or sharp pick. The rock can only be
chipped with repeated heavy hammer blows
Besides degree of weathering, a measure of the quality of rock is its hardness, which has been correlated
with the unconfined compressive strength of rock specimens. Because the unconfined compressive strength is
performed on small rock specimens, in most cases, it will not represent the actual condition of in situ rock. The

Table 23.


reason is due to the presence of joints, fractures, fissures, and plane of weakness in the actual rock mass that
govern its engineering properties, such as deformation characteristics, shear strength and permeability. The
unconfined compressive test also does not consider other rock quality factors, such as its resistance to
weathering or behavior when submerged in water.
qu = unconfined compressive strength (MPa) of the rock.

Open-Section Foundations
Open-section foundations are deep foundations that have poorly defined foundation-soil
contacts. These include open-end steel pipe piles and steel H-piles. These poorly defined contacts
make it more difficult to compute At (toe-bearing contact areas) and As (side-friction contact
When open-end pipe piles are driven, they initially tend to cookie out into the ground, and the
toe-bearing area, At, is equal to the cross-sectional area of the steel. Soil enters the pipe interior
as the pile advances downward. At some point, the soil inside the pile becomes rigidly embedded
and begins moving downward with the pile. It has then become a soil plug, as shown in Figure
below, and the toe-bearing area then becomes the cross-sectional area of the pile and the soil
plug. In other words, the pile now behaves the same as a closed-end pipe (i.e., one that has a
circular steel plate welded to the bottom).
Many factors affect the formation of soil plugs (Paikowsky and Whitman, 1990; Miller and
Lutenegger, 1997), including the soil type, soil consistency, in-situ stresses, pile diameter, pile
penetration depth, method of installation, rate of penetration, and so forth. In open-end steel pipe
piles, the soil plug may be considered rigidly embedded when the penetration-to-diameter ratio,
D/B is greater than 10 to 20 (in clays) or 25 to 35 (in sands) (Paikowsky and Whitman, 1990).
Many piles satisfy these criteria.
Once they become plugged, open-end pipe piles have the same side-friction area, As, as closedend piles. Use only the outside of pipe piles when computing the side-friction area. Do not
include the friction between the plug and the inside of the pile.
With H-piles, soil plugging affects both toe-bearing and side-friction contact areas. The space
between the flanges of H-piles is much smaller than the space inside pipe piles, so less
penetration is required to form a soil plug. For analysis purpose, we usually can compute At and
As in H-piles based on the assumption they become fully plugged as shown in Figure below.
If open-section foundations are driven to bedrock, the relative stiffness of the steel, soil plug and
bedrock are such that the toe-bearing probably occurs primarily between the steel and the rock.
Therefore, in this case it is generally best to use At equal to the cross-sectional area of the steel,
As, and ignore any plugging in the toe-bearing computations.

Figure 51.

Soil plugging in open-ended steel pipe piles and steel H-piles

Side Friction
Then, the ultimate skin friction resistance (Qs) is determined as:
Qs f s . p.L

Qs = ultimate skin friction resistance
fs = unit skin friction resistance
p = perimeter of bored pile / driven pile
L = length of bored pile / driven pile
In several cases the unit skin friction resistance (fs) could be obtained by using the equations

For cohesive soils, the unit skin friction (fs) is obtained based on -method

f s .cu 260 kPa

fs = unit skin friction resistance
= factor of adhesion (refers to the sub-chapter adhesion factor before)
cu = undrained shear strength
In clays, the side-friction resistance within 1,5 m (5 ft) of the ground surface should be
ignored because of clay shrinkage cause by drying, foundation movement produced by lateral
loads, pile wobble during driving, and other factors.

For cohesionless soils, the unit skin friction (fs) is obtained based on -method
(Burland, 1973):
f s . 'v 190 kPa

fs = unit skin friction resistance (kPa)
= betha factor
v = vertical effective stress at base of foundation
For drilled shaft in sand with N60 15, ONeill and Reese (1999) recommends:
1,5 0,245 z

If N60 < 15, multiply the values obtained from equation above by the ratio N60/15. And the
values should be 0,25 1,20
Then, the unit skin friction of a driven pile in cohesionless soils is given by the following
relationship (Meyerhof, 1976, 1983) :

N ' avg

1 tsf

= unit skin friction (tsf), this value should be multiplied by a conversion factor of
95,8 to obtain fs in kPa
Navg = average N-SPT value corrected for field procedures and overburden test
This function reaches its limits at depths of 1.5 m and 26 m, so layer boundaries should be
placed at these two depths. Another boundary should be placed at the ground water table.
Additional boundaries should be placed every 6 m and where the sand strata end and it
becomes necessary to begin using clay or rock analyses.
Rollins, Clayton, and Mikesell (1997) used a series of full-scale static load tests to develop a
revised version of equation derived from ONeill and Reese (1999) in gravels (>50% gravel
3,4.e 0 , 085. z

And the values should be 0,25 3,0

For gravelly sands (25-50% gravel size):
2,0 0,15.z 0, 75

And the values should be 0,25 1,80

fs = unit skin friction resistance
z = depth below ground surface (m)
v = vertical effective stress
e = base of natural logarithms = 2,718

for piles in gravelly soils also should be 20 to 30 percent higher than that in sandy soils.
Reese and ONeills (1989) also ignore the skin friction resistance in the upper 5 ft (1,5 m) of the
shaft and along the bottom one diameter of straight shaft because of interaction with the end
Analyses Based on CPT Results
Engineers also have developed analytic methods based on cone penetration test (CPT) results.
These methods are very attractive because of the similarities between the CPT and the load
transfer mechanism in deep foundations. The cone resistance, qc, is very similar to the unit toebearing resistance, qp, and the cone side friction, fsc, is very similar to the unit side-friction
resistance, fs. The CPT is essentially a miniature pile load test, and was originally developed
partially as a tool for predicting pile capacities. Although we still must use empirical correlations
to develop design values of qp and fs from CPT data, these correlations should be more precise
than those based on parameters that have more indirect relationships to deep foundations.
Eslami and Fellinius method (Eslami and Fellinius, 1997) takes advantage of the additional data
gained through the use of a piezocone (also known as CPTU test) which is a standard CPT probe
equipped with a piezometer to measure the pore water pressure near the cone tip while the test is
in progress. This pore water pressure is the sum of the hydrostatic pore water pressure (such as
could be measured using a conventional stationary piezometer) and any excess pore water
pressure induced by the advancing cone. In sandy soils, the excess pore water pressure is usually
very small, but in clays it can be large.
The Eslami and Fellinius method requires application of an additional pore water pressure
correction to the qT values as follows:
q E qT u 2

qE = effective cone resistance
qT = corrected cone resistance
u2 = pore water pressure measured behind the cone point
This correction is intended to more closely align the analysis with the effective stresses. In sands,
u2 should be approximately equal to the hydrostatic pore water pressure. Therefore, this method

could still be used in sands even if only conventional CPT data (i. e., no pore pressure data) is
available, so long as the position of the groundwater table is known and no artesian conditions
are present.
Toe Bearing
Toe bearing failures occur as a result of punching and local shear, and thus affect only the soils in
the vicinity of the toe. Therefore, the analysis considers only the qE values in the following

For piles installed through a weak soil and into a dense soil: 8B above the pile toe to 4B
below the pile toe

For piles installed through a dense soil and into a weak soil: 2B above the pile toe to 4B
below the pile toe
In both cases, B is the pile diameter. The geometric average, qEg, of the n measured qE values
within the defined depth range is then computed using:
q Eg

( q E )1 .( q E ) 2 .(q E ) 3 ...(q E ) n

In general, odd spikes or troughs in the qE data should be included in the computation of qEg.
However, extraordinary peaks or troughs might be smoothed over if they do not appear to be
representative of the soil profile. For example, occasional gravel in the soil can produce false
The unit toe-bearing resistance has then been empirically correlated with qEg using the load test
q p C t .q Eg

= unit toe-bearing
= geometric average effective cone resistance
= toe-bearing coefficient
Eslami and Fellinius recommend using Ct = 1 for pile foundations in any soil type. In addition,
unlike some other methods, they do not place any upper limit on qp.
Side Friction
A side-friction analysis is performed for each CPT data point using the following equation:
f s C s .q E

= unit side-friction
= effective cone resistance


= side-friction coefficient (from table below)

Side-Friction Coefficient, Cs (Eslami and Fellinius, 1997)
Soil Type
Typical Design Value
Soft sensitive soils
0,0737 0,0864
0,0462 0,0556
Stiff clay or mixture of clay and silt
0,0206 0,0280
Mixture of silt and sand
0,0087 0,0134
0,0034 0,0060
Table 24.

The Cs value depends on the soil type, and should be selected using Table above. And the soil
classification may be determined directly from the CPT data using figure below.

Figure 52.

Soil Classification from CPT Data (Eslami and Fellinius, 1997)

Because CPT data is typically provided at depth intervals of 100 to 200 mm, this procedure is too
tedious to use at every data point when performing computations by hand. Therefore, hand
computations usually divide the soil between the ground surface to the pile tip into layers
according to the CPT results, with a representative qE for each layer. For most soil profiles, five
to ten layers are sufficient.
Preboring (Engineering Manual, EM 1110-2-2906)
A pilot or prebore hole may be required to penetrate hard nonbearing strata; to maintain accurate
location and alignment when passing through materials which tend to deflect the pile; to avoid
possible damage to adjacent structures by reducing vibrations; to prevent heave of adjacent
buildings; or to remove a specified amount of soil when installing displacement-type piles,

thereby reducing foundation heave. Preboring normally takes place in cohesive soils and is
usually required when concrete piles must penetrate man-made fills and embankments
containing rock particles or other obstructions. It should be noted that on past Corps projects,
concrete piles have been successfully driven through man-made fills such as levee embankments
without preboring. Preboring through cohesionless soils is not recommended, since the prebored
hole may not stay open and could require a casing. The most widely used method of preboring is
by utilizing an auger attached to the side of the crane leads.
When preboring is permitted, the hole diameter should not be grater than two-thirds the diameter
or width of the pile and not extend more than three-fourths the length of the pile. Oversizing the
hole will result in a loss of skin friction and a reduction in the axial capacity and lateral support,
thereby necessitating reevaluation of the pile foundation. When extensive preboring is needed,
consideration should be given to using a drilled-shaft system rather than a driven-pile system.
Spudding (Engineering Manual, EM 1110-2-2906)
Spudding is similar to preboring and may be appropriate when layers or obstructions are present
near the surface that would damage the pile or present unusual driving difficulty. Spudding is
accomplished by driving a spud, such as mandrel, heavy steel pipe or H-pile section, to provide a
pilot hole. The spud is withdrawn and the pile inserted into the hole and driven to the required
depth. Problems may result if the spud is driven too deep, since extraction becomes more
difficult as penetration is increased. Spudding may sometimes entail alternately lifting a partially
driven pile a short distance and redriving it when very difficult driving is encountered (e.g. for
heavy piles). Because this procedure adversely affects the soils lateral and axial capacity, it
should be avoided for friction piles and should never be permitted without the specific
authoriztion of the design engineer.
Pullout Capacity
Pullout capacity is pile ability to hold working tensile force. If some or all of the foundation is
beneath the ground water table, substract the bouyancy force from the unsubmerged weight to
obtain Wf. The bouyancy force equals the submerged volume of the foundation multipiled by the
unit weight of water.
Formulation of uplift load capacity:
Pau 0,9W f

Rf s As

Pau = net allowable upward axial load
R = reduction factor
F = factor of safety
fs = unit skin friction resistance
As = skin friction contact area
Wf = pile weight
For foundation with a D/B ratio greater than 6, set the reduction factor R equal to 1. This means
that the ultimate skin friction resistance of long foundations is equal in both upward and

downward loading. However, for shorter foundations, a cone of soil may form, as shown in
Figure below, thus reducing the skin friction resistance (Kulhawy, 1991).
If D/B > 1 and > 1
Cone breakout condition adjacent to a
deep foundation loaded in uplift
(Kulhawy, 1991)



.cu / ' D

= average factor along length of

average factor along length of

= average undrained shear strength along

length of foundation
' D = vertical effective stress at tip of foundation

Figure 53.

Pullout Reducing

Group Efficiency
The proper spacing of piles in the group is important. If they are too close (i.e., less than 2,0-2,5
diameter or 600 mm on center), there may not be enough room for errors in positioning and
alignment. Conversely, if the spacing is too wide, the pile cap will be very large and expensive.
Therefore, piles are usually spaced 2,5 to 3,0 diameters on center.
The interactions between piles in a group and the adjacent soil are very complex, and the
ultimate capacity of the group is not necessarily equal to the ultimate capacity of a single isolated
pile multiplied by the number of piles. The effect of these interactions on the axial load capacity
is called the group efficiency, which depends on several factors, including the following :
The number, length, diameter, arrangement, and spacing of the piles
The load transfer mode (side friction vs. end bearing)
The construction procedures used to install the piles
The sequence of installation of the piles
The soil type
The elapsed time since the piles were driven
The interaction, if any, between the pile cap and the soil
The direction of the applied load
Engineers compute the allowable downward load capacity of pile groups using a group
efficiency factor, , as follows :
Pag .N .Pa

= allowable downward or upward capacity of pile group

= group efficiency factor


= number of piles in a group

= allowable downward or upward capacity of a single isolated pile

Converse-Labarre formula (Bolin,1941):

1 .

(n 1).m (m 1).n

= group efficiency factor
m = number of rows of piles
n = number of piles per row
= tan-1 (B/s) (expressed in degrees)
B = diameter of a single pile
s = center to center spacing of piles (not the clear space between piles)
Another approach is to compare individual failure with block failure. Individual failure means
the soil between the piles remains stationary and the individual piles punch through it, whereas
block failure means the soil moves with the piles, thus failing as a large single unit. Presumably
block failure governs if the sum of the perimeters of the piles is greater than the circumference of
the pile group, and the group efficiency factor is assumed to be the ratio of these two perimeters:

2.s.(m n) 4.B

a. Individual Failure
Figure 54.

b. Block Failure

Typical of Group Failures

Although research conducted thus far has provided many insights, the behavior of pile groups is
still somewhat mysterious, and no comprehensive method of assessing group action has yet been
developed. Therefore, we must use the available information, along with engineering judgment
and conservative design methods to develop design values of the group efficiency factor, .
Hannigan et. al. (1997) recommends the following guide-lines for pile groups:

In Sands:

So long as no pre-drilling of jetting is used, the piles are at least 3 diameters in center,
and the group is not underlain by weak soils, use = 1.

Avoid pre-drilling or jetting whenever possible, because the methods can significantly
reduce the load capacity. If these methods must be used, they should be carefully controlled.

If a pile group founded on a firm bearing stratum of limited thickness is underlain by a

weak deposit, then the ultimate group capacity is the smaller of either the sum of the ultimate
capacities of the individual piles, or the group capacity against block failure of an equivalent
foundation consisting of the pile group and the enclosed soil mass punching through the
underlying weak soil.

Piles should be installed at center-to-center spacing of at least 3 diameters.

In Clays:

Use a center-to-center spacing of at least 3 pile diameters.

Use the following procedure to estimate the allowable capacity of the pile group :
If the undrained shear strength, su, is less than 95 kPa and the pile cap is not in
firm contact with the ground, use equation Pag .N .Pa with = 0,7 for groups with
center-to-center spacing of 3 diameters, and = 1 with center-to-center spacing of 6
diameters or more. For intermediate spacing, linearly interpolate between these two
If the undrained shear strength, su, is greater than 95 kPa, use equation
Pag .N .Pa with = 1 regardless of whether of not the cap is on contact with the soil.
Compute the group capacity against block failure using the following formula :
Pag 2.D.( B g L g ).s u1 B g .L g .s u 2 .N c*


N c* 5. 1
. 1

Pag = allowable downward load capacity
Bg = width of pile group
Lg = length of pile group
= depth of embedment of pile group
su1 = weighted average of undrained shear strength in clays over depth of embedment
su2 = average undrained shear strength between the bottom of the pile group and a
depth 2 Bg below the bottom
Nc* = bearing capacity factor
Use the lowest of the applicable values from steps 1 to 4.
Because of the excess pore water pressure produced by pile driving, the short-term
ultimate capacity of pile groups in saturated clay will be reduced to about 0,4 to 0,8 times the
ultimate value. However, as these excess pore water pressures dissipate, the ultimate capacity
will increase. The rate at which it rises depends primarily on the dissipation of excess pore
water pressure. Small groups will probably reach long-term within 1 to 2 months, which
may be faster than the rate of loading, whereas larger groups may require a year or more. If
the group will be subjected to the full design load before the excess pore water pressure fully

dissipate, then a more detailed analysis may be warranted. In some cases, it may be
appropriate to install piezometers to monitor the dissipation of excess pore water pressures.
Suggested minimum centre-to-centre pile spacing by several building codes are as follows :
Table 25.

Pile type
Point bearing

BOCA, 1993
(Sec. 1013.8)
2D or 1.75H 760 mm
2D or 1.75H 610 mm

Pile spacing requirement

NBC, 1976
(Sec. 912.1l)
2D or 1.75H 760 mm
2D or 1.75H 610 mm

Chicago, 1994
(Sec. 13-132-120)
2D or 2H 760 mm

Here D = pile diameter; H = diagonal of rectangular shape or HP pile. The BOCA code also
stipulates that spacing for friction piles in loose sand or loose sand-gravels shall be increased 10
percent for each interior pile to a maximum of 40 percent. Optimum spacing s seems to be on the
order of 2.5 to 3.5D or 2 to 3H for vertical loads; for groups carrying lateral and/or dynamic
loads, larger pile spacings are usually more effecient. Maximum pile spacings are not given in
building codes, but spacings as high as 8 or 10D have been used on occasion.
The classical method is based on the assumption that settlement is a one-dimensional process in
which all of the strains are vertical. This assumption is accurate when evaluating settlement
beneath the center of wide fills, but it less accurate when applied to shallow foundations,
especially spread footings, because their loaded area is much smaller.
Therfore, Skempton and Bjerrum (1957) presented another method of computing the total
settlement of shallow foundations. This method accounts for three-dimensional effects by
dividing the settlement into two components:
Distortion settlement, d (also called immediate settlement, initial settlement, or
undrained settlement), is that caused by the lateral distortion of the soil beneath the
foundation. This settlement is similar to that which occurs when a load is placed on a bowl of
Jello@, and occurs immediately after application of the load.

Figure 55.


Distortion settlement beneath a spread footing

Consolidation settlement, c (also known as primary consolidation settlement), is that

caused by the change in volume of the soil that results from changes in the effective stress.

In actual condition, pore water stress dissapate into lateral direction. Then, Skempton and
Bjerrum (1957) proposed a 3-dimensional adjusment coeficient () as a correction factor for
lateral direction.
3-D Dimentional Adjustment Coefficient ( )
Table 26.
Soil Type
Typical OCR
Very sensitive clays
NC clays and silts
1,0 1,2
OC clays and silts
1,2 5
Heavily OC clays and silt

Figure 56.

1,0 1,2
0,7 1,0
0,4 0,7
0,3 0,6

factors for Skempton and Bjerrum method (Adopted from Loenards, 1976)

According to Skempton and Bjerrums method, the settlement of a shallow foundation is

computed as :
e . c

Where :
= settlement
e = elastic settlement
c = consolidation settlement
= three-dimensional settlement
Induced Stresses Due To A Concentrated Load
In 1885, Boussinesq developed the mathematical relationships for determining the normal and
shear stresses at any point inside homogeneous, elastic, and isotropic mediums due to a
concentrated point load located at the surface. According to his analysis, the vertical stress
increase at point A caused by a point load of magnitude P is given by


2. .z . 1


x2 y 2

x, y, z = coordinates of the point A

Vertical stress at a point A caused by a point load on the surface

Figure 57.

Induced Stresses Due To A Circularly Loaded Area

The Boussinesq equation above can also be used to determine the vertical stress below the cinter
of a flexible circularly loaded area. Let the radius of the loaded area be B/2, and let q 0 be the
uniformly distributed load per unit area. To determine the stress increase at a point A, located at a
depth z below the center of the circular area, consider an elemental area on the circle. The load
on this elemental area may be taken to be appoint load and expressed as q 0r d dr. The stress
increase at A caused by this load can be determined as

3. q 0 .r .d .dr

2. .z . 1

The total increase in stress caused by the entire loaded area may be obtained by integrating the
equation above, or

3. q 0 .r .d .dr

d 02 rr 0 2

2. .z . 1

q 0 . 1


Figure 58.

Increase in pressure under a uniformly loaded flexible circular area

Induced Stresses Below A Rectangular Area

The integration technique of Boussinesqs equation also allows the vertical stress at any point A
below the corner of a flexible rectangular loaded area to be evaluated. To do so, consider an
elementary area dA = dx dy on the flexible loaded area. If the load per unit area is q 0, the total
load on the elemental area is
dP q 0 .dx.dy

This elemental load, dP, may be treated as a point load. The increase in vertical stress at point A
caused by dP may be evaluated by using equation stress due to a concentrated load. Note,
however, the need to substitute dP = q0 dx dy for P and x 2 + y2 for r2 in that equation. Thus, the

stress increase at A caused by dP

3.q 0 . dx.dy .z 3

2. . x 2 y 2 z 2

Determination of stress below the corner of a flexible rectangular loaded area

Figure 59.

The total stress increase caused by the entire loaded area at point A may now be obtained by
integrating the preceding equation:

y 0 x 0

3.q 0 . dx.dy .z 3

2. . x y z

q 0 .I

I = influence factor =


2.m.n. m 2 n 2 1 m 2 n 2 2
2.m.n. m 2 n 2 1
. 2
tan 1 2
m n m .n 1 m n 1
m n 2 1 m 2 .n 2

When m2 + n2 +1 < m2n2, the argument of tan-1 becomes negative. In that case,
I = influence factor =

Where m
And n



1 2.m.n. m 2 n 2 1 m 2 n 2 2
2.m.n. m 2 n 2 1
. 2


4 m n 2 m 2 .n 2 1 m 2 n 2 1
m 2 n 2 1 m 2 .n 2

The stress increase at any point below a rectangular loaded area can also be found by using
equation above in conjuction with Figure below. To determine the stress at a depth z below point
O, divide the loaded area into four rectangles, with O the corner common to each. Then use the
equation above to calculate the increase in stress at a depth z below O caused by each rectangular
area. The total stress increase caused by the entire loaded are may now be expressed as

q 0 . I 1 I 2 I 3 I 4
Where I1, I2, I3, and I4 = the influence values of rectangles 1, 2, 3, and 4, respectively

Figure 60.

Stress below any point of a loaded flexible rectangular area

In most cases, the vertical stress below the center of a rectangular area is of importance. This can
be given by the relationship
q 0 .I c

Where I c




1 m12 n12

1 m12 n12

1 n12 . m12 n12 sin m12 n12 . 1 n12




Foundations engineers often use an approximate method to determine the increase in stress with
depth caused by the construction of a foundation. The method is referred to as the 2:1 method.
According to this method, the increase in stress at depth z is

q 0 .B.L
B z . L z

Note that equation above is based on the assumption that the stress from the foundation spreads
out along lines with a vertical-to-horizontal slope of 2:1.

Figure 61.

2:1 method of finding stress increase under a foundation

Stress Increase Under An Embankment

Figure below shows the cross section of an embankment of height H. For this two deimensional
loading condition, the vertical stress increase may be expressed as


B1 B2

. 1 2 1 . 2


q0 = .H
= unit weight of the embankment soil
H = height of the embankment
B B2
1 tan 1 1
tan 1 1

2 tan 1 1
(Note that 1 and 2 are in radians.)

Figure 62.

Embankment loading

Induced Stresses Beneath Shallow Foundations (Simplified Method)

The Boussinesq equations are tedious to solve by hand, so it is useful to have simple approximate
methods of computing stresses in soil for use when a quick answer is needed, or when a
computer is not available.
The following approximate formulas compute the induced vertical stress, z, beneath the center
of a shallow foundation. They produce answers that are within 5 percent of the Boussinesq
values, which is more than sufficient for virtually all practical problems.
For circular foundations (adapted from Poulos and Davis, 1974):

1, 50

z 1


2. z

. q ' vD

For square foundations:

1, 76

z 1


2. z

. q ' vD

For continuous foundations of width B:

2 , 60




. q ' vD

For rectangular foundations of width B and length L:

2 , 60 0 ,84. B

2. z

1, 38 0 , 62. B

. q '

z = induced vertical stress beneath the center of a foundation
= width or diameter of foundation
= length of foundation
= depth from bottom of foundation to point
= bearing pressure
'zD = vertical effective stress at a depth D below the ground surface

Figure 63.

Distribution of induced stress, z, in layered strata

Immediate Settlement of Shallow Foundation Based On Laboratory Tests

The elastic settlement of a shallow foundation can be estimated by using the theory elasticity.

q max .B
. 1 2 I3

e = elastic settlement
qmax = maximum bearing pressure stress


= width of foundation
= length of foundation
= undrained modulus elasticity of soil
= poissons ratio of the soil
Table 27.

Soil Type

Typical values of Poissons ratio ( )


0,35 0,40
0,30 0,35
0,20 0,30


I3 .



1 m 2 n 2 1

m1 . ln

1 m1 n1 m1
1 m1 n1 1

0,15 0,25
0,25 0,30
0,30 0,35

1 m 2 n 2 m

= L/B
= z/B
= depth of foundation embedment

Total of elastic settlement would be the subtraction of each elastic settlement which have been
determined while foundation embedded at depth equal with z and at depth = 0 from the existing
ground level.

Janbu, Bjerrum, and Kjaernsli (1956) first proposed this formula :


q max .B
.I1.I 2

e = elastic settlement
qmax = maximum bearing pressure stress
= width of foundation
I1, I2 = influence factors
Eu = undrained modulus elasticity of soil
Since then, Christian and Carrier (1978) revised the procedure and Taylor and Matyas (1983)
shed additional light on its theoretical basis. The updated influce factors (I1 and I2) are shown in
Figure below.

Figure 64.

Influence factors I1 and I2 (Adapted from Christian and Carrier, 1978)

Immediate Settlement of Deep Foundation

Single Pile

Reese and ONeill (1999) developed the charts in Figures below to estimate the settlement of
drilled shafts under service loads. These charts express the settlement in terms of the ratio of the
mobilized resistance to the actual resistance. These charts provide a useful guide for estimating
short-term settlement.
Elastic settlement of deep foundation can be computed using :
P.z c
e = settlement due to elastic compression of foundation
P = downward load on each foundation
zc = depth to centroid of soil resistance (typically about 0,75D)

E = modulus of elasticity of the foundation

= 4700. f c' MPa for concrete
= 200.000 MPa for steel
A = cross-sectional area of the foundation

Figure 65.

Normalized Curves for Drilled Shafts in Clay

Figure 66.

Normalized Curves for Drilled Shafts in Sand

After trialing several settlements () for both of base settlement and shaft settlement by using the
chart above in which will provide the closest value to the working loads (also possible to do a
linear interpolation for more accurate adjusment).
Then the total settlement would be:
adj e

adj = total settlement of foundation

= settlement due to base settlement and shaft settlement

= settlement due to elastic compression of foundation

Pile Groups

The settlement of pile group is exactly equal to the displacement of the pile plus the elastic
shortening of the pile shaft between cap and point.
G adj

(Vesic, 1977)

= group settlement
= single pile settlement
= width of pile group
= pile diameter
Primary Consolidation Settlement Classical Method
Certain conditions can produce excessive settlements for deep foundation design, so the the
engineer must be able to recognize and evaluate them. These include the following :

The structure is especially sensitive to settlement.

The foundation has a large diameter and a large portion of the allowable capacity is due
to toe bearing.

One or more highly compressible strata are present, especially if these strata are below
the toe.

Downdrag loads might develop during the life of the structure.

The engineer must express the pile response in terms of an equivalent spring located at
the bottom of the column. This analytical model is used in some sophisticated structural

Figure 67.

Imaginary Footing To Compute Settlement Of A Deep Foundation Group (Tomlinson,1977)

The imaginary footing method computes the settlement of a deep foundation group by replacing
it with an imaginary footing, as shown in Figure above. This method is especially useful when
the design consists of a group of deep foundations that are underlain by compressible soils such
that the compression of these soils is more significant than the settlements required to mobilize
the side friction and toe bearing.
For foundations that rely primarily on side friction, place the imaginary footing at a depth of 0,67
D (where D is the depth of embedment). For foundations that rely principally on toe bearing,
place it at the toe elevation. When both side friction and toe bearing are significant, use linear
interpolation to place the imaginary footing between these two positions.
Then use the techniques described later below to compute the settlement of the imaginary
footing, and add the elastic compression of the foundations, e, using the equation which has
been discussed before, with zc = the depth zi to the imaginary footing.
This method also consider settlements produced by causes other than the structural loads on the
piles. For example, the construction process may include lowering the ground water table, which
increases the effective stress in the soil and thus create settlement.

A one-dimensional (1-D) consolidation test is widely used to obtain the settlement and time
parameters. A 1-D test confines the soils laterally in a metal ring so that the settlement and
drainage can occur only in the vertical direction. These condition are reasonably close to what
occurs in situ for most loading cases. Actually some radial displacement and lateral drainage
probably occur but, based on experience, these appear to be small enough that a 1-D analysis
gives adequate accuracy in most cases.
These equation below are directly applicable for normally consolidated soils:
1 e

p p



H = settlement


= compression index


= in situ void ratio in the stratum where Cc was obtained

= stratum thickness. If the stratum is very thick (say > 6 m) it should be subdevided into
several sublayers of Hi = 2 to 3 m, with each having its own e0 and Cc. Compute the
several values of Hi and then sum them to obtain the total consolidation settlement
= effective overburden pressure at midheight of H
= average increase in pressure from the foundation loads in layer H and in the same units as
for p0


for OC clays, based on Kulhawy and Mayne (1990)

When the soil is preconsolidated they should be adjusted as follows. Taking the stress increase
p = p1 + p2
Where p2 is any part of p that is along Cc zone to the right of pc, we have the total settlement
consisting of two parts, that from p0 to pc and that (if any) from more than pc. These are
computed as follows:

Figure 68.

Consolidation Chart for Determining Cc,Cr or pc

Part 1 :
p' p
log 0
1 e0
p' 0

H 1

p' 0 p1 p' c

= recompression index


for OC clays, based on Kulhawy and Mayne (1990)

Part 2 :
H 2

p ' p 2
log c
1 e0

p 2 p p'c 0

The total primary consolidation settlement is:

H p H1 H 2

Therefore, settlement caused by primary consolidation is calculated by using formula as follow:

p0' p
c Cc
1 e0

c Cr

p ' p
log 0 '
1 e0

(for NC clays)

(for OC clays with po'+ p < pc)

p c'
p 0' p
c Cr
log ' C c
1 e0
1 e 0
p c'

(for OC clays with po < pc < po + p)

Cc = compression index,
Cr = swelling index,
H = thickness of the clay layer,
eo = initial void ratio,
pc = preconsolidation pressure,
p = average increase of pressure on clay layer caused by foundation construction (and fill),
po = average effective pressure on clay layer before foundation construction
Table 28.

Cc = 0.046 + 0.0104 IP
Cc = 0.009 wN + 0.005 wL

Compression index, Cc
Best for IP < 50 %
Nakase et al. (1988)
All clays
Koppula (1986)

Notes : Use IP, wN, wP, wL as percent, not decimal.

Table 29.

Cr = 0.00194 (IP 4.6)
Cr = 0.05 to 0.1 Cc

Recompression index, Cr
Best for IP < 50 %
Nakase et al. (1988)
In desperation
Leonards (1976)

Notes : Use IP, wN, wP, wL as percent, not decimal.

We compute the consolidation settlement by dividing the soil beneath the foundation into layers,
computing the settlement of each layer, and summing. The top of first layer should be at the
bottom of the foundation, and the bottom of the last layer should be at a depth such that z <
0,10 z0. Unless the soil is exceptionally soft, the strain below this depth is negligible, and thus
may be ignored.
Table 30.

Approximate thickness of soil layers for manual computation of consolidation settlement of

shallow foundations
Approximate Layer Thickness
Layer Number
Square Footing
Continuous Foooting

Adjust the number and thickness of the layers to account for changes in soil properties. Locate each layer
entirely within one soil stratum.
For rectangular footings, use layer thicknesses between those given for square and continuous footings.
Use somewhat thicker layers (perhaps up to 1,5 times the thicknesses shown) if the groundwater table is
very shallow.
For quick, but less precise, analyses, use a single layer with a thickness of about 3B (square footings) or
6B (continuous footing).

Similar to solutions for shallow foundations, charts have been developed for estimating the
distribution of stress beneath deep foundations. Figures below show the pressure distributions for
pile foundations for four different soil conditions.
Friction piles in CLAY

The upper left figure shows the pressure distribution for a pile group embedded in clay. The load
P that the pile cap supports is the first turned into an applied stress q by using the following
q 0


B. A
B. A

= 0 = vertical stress applied by the deep foundation at a depth of (2/3)L
= length of the piles
= total concentric vertical load on the pile cap. The maximum load the pile cap can support
is n times Qall
= number of piles that support the pile cap
Qall = allowable vertical load for each pile
= width of the pile group, taken to the outside edge of the group
= length of the pile group, taken to the outside edge of the group
In essence, the 2:1 approximation starts at a depth of (2/3)L below ground surface. In figure
below, it is assumed that there is a hard layer located below the clay. In this case, the
compression or consolidation of the clay would be calculated for the thickness of H as defined in
the upper left diagram of figure.
Friction piles in SAND underlain by CLAY
The upper right diagram in figure shows the pile group embedded in sand with two underlying
clay layers. For this situation, two conditions would have to be evaluated. The first is a bearing
capacity failure of the pile group where it punches through the sand and into the upper soft clay
layer. The second condition is the compression or consolidation of the two clay layers located
below the pile group. Similar to the case outlined above, the 2:1 approximation is used to
calculate the increase in vertical stress z due to the pile cap loading for the two clay layers.
Point bearing piles in SAND underlain by CLAY
The lower left diagram in figure shows the condition of a soft clay layer underlain by a sand
stratum. The sand stratum provides most of the vertical resistance and hence the pile group is
considered to be point bearing (also known as end bearing). For this case, the 2:1 approximation
is assumed to start at the top of the sand layer and is used to calculate the increase in vertical
stress z due to the pile cap loading for the soft clay layer.
Friction piles in CLAY with RECENT FILL
The lower right diagram in figure shows the condition of piles embedded in clay with the recent
placement of a fill layer at ground surface. In this case, the piles woll be subjected to a downdrag
load due to placement of the fill layer. The 2:1 approximation is assumed to start at a distance of
L3 below the top of the clay layer, where L3 = (2/3)L2. The value of q applied at this depth
includes two additional terms, the first is the total weight of fill t times the thickness of the fill
L1 and the second is the downdrag load converted to a stress, defined as (n AD)/(B A). If the pile
caps are spaced close together, there could be additional settlement as the pressure distribution
from one pile cap overlaps with the pressure distribution from a second nearby pile cap.

Figure 69.

Pressure distribution for deep foundations (NAVFAC DM-7.2, 1982)

Secondary Consolidation Settlement

At the end of primary consolidation (i.e., after the complete dissipation of excess pore water
pressure) some settlement is observed that is due to the plastic adjustment of soil fabrics. This
stage of consolidation is called secondary consolidation. A plot of deformation against the
logarithm of time during secondary consolidation is practically linear as shown in figure. From
this figure, the secondary compression index can be defined as

log t 2 log t 1

log 2

C = secondary compression index
e = change of void ratio
t1, t2 = time

Figure 70.

Variation of e with log t under a given load increment, and definition of secondary compression
Table 31.

C = 0.00168 + 0.00033 IP
C = 0.0001 wN
C = 0.032 Cc
C = 0.06 to 0.07 Cc
C = 0.015 to 0.03 Cc

Secondary compression index, C

Nakase et al. (1988)
NAFAC DM7.1 p. 7.1-237
0.025 < C < 0.1
Mesri and Godlewski (1977)
Peats and organic soil
Mesri (1986)
Sandy clays
Mesri et al. (1990)

Notes : Use IP and wN as percent, not decimal.

The magnitude of the secondary consolidation can be calculated as

S c ( s ) C ' .H c . log 2

C = C/(1+ep)
= void ratio at the end of primary consolidation (see figure above)
Hc = thickness of clay layer
The general magnitudes of C as observed in various natural deposits are given in figure below.

Figure 71.

C for natural soil doposits (after Mesri, 1973)

Secondary consolidation settlement is more important in the case of all organic and highly
compressible inorganic soils. In overconsolidated inorganic clays, the secondary compression
index is very small and of less practical significance.
There are several factors that might affect the magnitude of secondary consolidation, some of
which are not yet very clearly understood (Mesri, 1973). The ratio of secondary to primary
compression for a given thickness of soil layer is dependent on the ratio of the stress increment,
, to the initial overburden stress, 0. For small /0 ratios, the secondary-to-primary
compression ratio is larger.
Settlement Analyses (Schmertmanns Method) Based On In-Situ Tests
The second category of settlement analysis techniques consists of those based on in-situ tests.
Most of these analyses use results from the standard penetration test (SPT) or the cone
penetration test (CPT). However, other in-situ tests, especially the dilatometer test (DMT) and
the pressuremeter test (PMT) also may be used.

Equivalent Modulus of Elasticity

The classical method of computing foundation settlements described the stress-strain

properties using the compression index, Cc, for normally consolidated soils, or the
recompression index, Cr, for overconsolidation soils. Both of these parameters are
Schmertmanns method uses the equivalent modulus of elasticity, Es, which is a linear
function and thus simplifies the computations. However, soil is not a linear material (i.e.,
stress and strain are not proportional), so the value of Es must reflect that of an equivalent
unconfined linear material such that the computed settlement will be the same as in the real
The design value of Es implicitly reflects the lateral strains in the soil. Thus, it is larger than
the modulus of elasticity, E (also known as Youngs Modulus), but smaller than the confined
modulus, M.

Table 32.

Es from Cone Penetration Test (CPT) results

Schmertmann developed empirical correlations between Es and the cone resistance, qc, from a
cone penetration test (CPT). This method is especially useful because the CPT provides a
continuous plot of qc vs. depth, so our analysis can model Es as a function of depth. Table
below presents a range of recommended design values of Es/qc. It is usually best to treat all
soils as being young and normally consolidated unless there is compelling evidence to the
contrary. Such evidence might include:
Clear indications that the soil is very old. This might be established by certain
geological evidence.
Clear indications that the soil is overconsolidated. Such evidence would not be
based on consolidation tests on the sand (because of soil sampling problems), but might
be based on consolidation tests performed on samples from interbedded clay strata.
Alternatively, overconsolidation could be deduced from the origin of the soil deposit. For
example, lodgement till and compacted fill are clearly overconsolidated.
Es-values from CPT results {adapted from Schmertmann, et al. (1978), Robertson and Campanella
(1989), and other sources}
Soil Type
Young, normally consolidated clean silica sands (age < 100 years)
SW or SP
2,5 3,5
Aged, normally consolidated clean silica sands (age > 3000 years)
SW or SP
3,5 6,0
Overconsolidated clean silica sands
SW or SP
6,0 10,0
Normally consolidated silty or clayey sands
SM or SC
Overconsolidated silty or clayey sands
SM or SC

Es from Standard Penetration Test (SPT) results

Schmertmanns method also may be used with Es values based on the standard penetration
test. However, these values are not as precise as those obtained from the cone penetration test
The standard penetration test is more prone to error, and is less precise measurement.
The standard penetration test provides only a series of isolated data points, whereas
the cone penetration test provides a continuous plot.

Nevertheless, SPT data is adequate for many projects, especially those in which the loads are
small and the soil conditions are good.
Several direct correlations between Es and N60 have been developed, often producing widely
disparate results (Anagnostopoulos, 1990; Kulhawy and Mayne, 1990). This scatter is
probably caused in part by the lack of precision in the SPT, and in part to the influence of
other factors beside N60. Nevertheless, the following relationship should produce
approximate, if somewhat conservative, values of Es:
E s 0 . OCR 1 .N 60

= equivalent modulus of elasticity
0, 1 = correlation factors from table below
OCR = overconsolidation ratio
= SPT N-value corrected to field procedures
Once again, most analyses should use OCR = 1 unless there is clear evidence of
0, 1 factors
Soil Type
Clean sands (SW and SP)
Silty sands and clayey sands (SM and SC)
Table 33.


Strain Influence Factor

Schmertmann conducted extensive research on the distribution of vertical strain, z, below
spread footings. He found the greatest strains do not occur immediately below the footing, as
one might expect, but at a depth of 0,5B to B below the bottom of the footing, where B is the
footing width. This distribution is described by the strain influence factor, Ie, which is a type
of weighting factor. The distribution of Ie with depth has been idealized as two straight lines,
as shown in figure below:

Distribution of strain influence factor with depth under square and continuous footings (Adapted
from Schmertmann 1978; used with permission of ASCE)

Figure 72.

The peak value of the strain influence factor, Iep, is:

I ep 0,5 0,1.

q ' zD
' zp

Iep = peak strain influence factor
= bearing pressure
zD = vertical effective stress at a depth D below the ground surface
zp = initial vertical effective stress at depth of peak strain influence factor
For square and circular foundation (L/B = 1), compute zp at a depth of {D+(B/2)}
below the ground surface.
For continuous footing (L/B 10), compute zp at a depth of (D+B) below the
ground surface.
The exact value of Ie at any given depth may be computed using the following equations:
Square and circular foundations (L/B = 1):
For zf = 0 to B/2 :
I e 0,1 z f B . 2.I ep 0,2

For zf = B/2 to 2B :
I e 0,667.I ep . 2 z f B

Continuous foundations (L/B 10):

For zf = 0 to B :

I e 0,2 z f B . I ep 0,2

For zf = B to 4B :
I e 0,333.I ep . 4 z f B

Rectangular foundations (1 < L/B < 10):

I e I es 0,111 . I ec I es . L B 1

zf = depth from bottom of foundation to midpoint of layer
Ie = strain influence factor
Iec = Ie for a continuous foundation
Iep = peak Ie
Ies = Ie for a square foundation
Schmertmanns method also includes empirical corrections for the depth of embedment,
secondary creep in the soil, and footing shape. These are implemented through the factors C 1,
C2, and C3:
' zD
C1 1 0,5.
q ' zD


C 2 1 0,2. log

C 3 1,03 0,03. L B 0,73


= settlement of footing
C1 = depth factor
C2 = secondary creep factor
C3 = shape factor = 1 for square and circular foundations
= bearing pressure
zD = vertical effective stress at a depth D below the ground surface
= influence factor at midpoint of soil layer
= thickness of soil layer
Es = equivalent modulus of elasticity in soil layer
= time since application of load (yr) (t 0,1 yr)
= foundation width
= foundation length
These formulas may be used with any consistent set of units, except that t must be expressed
in years. If no time is given, use t = 50 yr (C2 = 1,54).

Finally, this information is combined using the following formula to compute the settlement,

C1 .C 2 .C 3 . q ' zD .

I e .H

Analysis Procedure
The Schmertmann method uses the following procedures:
Perform appropriate in-situ tests to define the subsurface conditions.
Consider the soil from the base of the foundation to the depth of influence below the
base. This depth ranges from 2B for square footings or mats to 4B for continuous
footings. Divide this zone into layers and assign a representative E s value to each layer.
The required number of layers and the thickness of each layer depend on the variations in
the E vs. depth profile. Typically 5 to 10 layers are appropriate.
Compute the peak strain influence factor, Iep.
Compute the strain influence factor, Ie, at the midpoint of each layer.
Compute the correction factors, C1, C2, and C3.
Compute the settlement.

Pile Foundation Analyses Under Lateral Load

Lateral capacity analysis of bored pile is using computer program LPILE Plus 4.0 (Ensoft, 1980).
This program use load transfer method and assume that soil reaction is nonlinear under lateral
When designing deep foundaions, we divide these loads into two categories: axial loads and
lateral loads. Axial loads are those that act parallel to the axis of the foundation; lateral loads are
those that act perpendicular to the axis. Thus, if the axis is vertical, the applied uplift and
downward loads from the structure induce axial loads in the foundation, whereas applied shear
and moment loads induce lateral loads. Torsional loads are rarely a concern in deep foundation
The type of connection between the pile and the structure is also important because it determines
the kinds of restraint, if any, acting on the pile. Engineers usually assume that one of the
following conditions prevails:

The free-head condition, means that the top of the pile may freely move laterally
and rotate when subjected to shear and/or moment loads.

The restrained-head condition (also known as the fixed-head condition), means

that the top of the pile may move laterally, but is not pemitted to rotate. Piles connected to a
very stiff pile cap closely approximate this condition.

The pure moment condition, occurs when there is an applied moment load, but no
applied shear load. It results in rotation of the top of the pile, but no lateral movement.

Figure 73.

Lateral Movement Under Load Combination

Pile failure mode is determined as two part. First, failure as a short pile and second one as a long
pile. A short foundation is one does not have enough embedment to anchor the toe against
rotations, whereas a long foundation is one in which the toe is essentially fixed. Inclination point
for long pile is depend on load combinations. In general, flexible foundations, such as timber
piles, are long if D/B greater than about 20, while stiffer foundations, such as those made of steel
or concrete, typically require D/B greater than about 35. The ultimate lateral capacity of short
foundations is controlled primarily by the soil. In other words, the soil fails before the foundation
reach its flexural capacity. Conversely, the ultimate lateral capacity of long foundations is
controlled primarily by the flexural strength of the foundation because it will fail structurally
before the soil fails. And the lateral deflection is only occured at pile cap. For further information
can be seen on the illustration below:

Figure 74.

Load Transfer of Pile Group

Pile Failure Mode

The axial tension or compression load at a depth z in a foundation subjected to axial and/or
lateral load is:


M gx .y i


i 1

M gy .x i

xi 2

i 1

Figure 75.

Load Transfer of Pile Groups

P1 = axial or compression load for each pile
Pg = subjected axial load from the upper structure
= number of pile
Mgx = moment which occured in x-direction
Mgy = moment which occured in y-direction
= distance from neutral axis in y-direction
= distance from neutral axis in x-direction
Those formula is used to transfer the moment loads into axial loads. This calculation is required
by the LPile program to defined the internal forces such as lateral deflection, moments, and shear
force. Then, the internal force will be used to determine the reinforcement and confinement

The typical subsurface condition that is susceptible to liquefaction is a loose or very loose sand
that has been newly deposited or placed, with a groundwater table near ground surface. During
an earthquake, the ground shaking causes the loose sand to contract, resulting in an increase in
pore water pressure. Because the seismic shaking occurs so quickly, the cohesionless soil is
subjected to an undrained loading (total stress analysis). The increase in pore water pressure
causes an upward flow of water to the ground surface, where it emerges in the form of mud
spouts or sand boils. The development of high pore water pressures due to the ground shaking
(i.e., the effective stress becomes zero) and the upward flow of water may turn the sand into a
liquefied condition, a process that has been termed liquefaction. Structures on top of a loose sand
deposit that has liquefied during an earthquake will sink or fall over, and buried tanks will float
to the surface when the loose sand liquefies (Seed 1970).
Main factors that govern the liquefaction process :
Earthquake intensity and duration
It is the earthquake induced shear strains and subsequent contraction of the soil particles that
lead to the development of excess pore water pressures and ultimately liquefaction. Sites
located near the epicenter of major earthquakes will be subjected to the largest intensity and
duration of ground shaking (i.e., higher number of applications of cyclic shear strain).
Besides earthquakes, other conditions can cause liquefaction, such as subsurface blasting.
Groundwater table
The condition most conducive to liquefaction is a near-surface groundwater table.
Unsaturated soil located above the groundwater table will not liquefy.
Soil type
The soil types susceptible to liquefaction are nonplastic (cohesionless) soils. Seed et al.
(1983) state that, on the basis of both laboratory testing and field performance, the great
majority of clayey soils will not liquefy during earthquakes. An approximate listing of
cohesionless soils from least to most resistant to liquefaction are clean sands, nonplastic silty
sands, nonplastic silt, and gravels.
Soil relative density (Dr)
Cohesionless soils in a very loose relative density state are susceptible to liquefaction while
the same soil in a very dense relative density state will not liquefy. Very loose nonplastic
soils will contract during the seismic shaking, which will cause the development of excess
pore water pressures. Very dense soils will dilate during seismic shaking and are not
susceptible to liquefaction.
Particle size gradation
Poorly graded nonplastic soils tend to form more unstable particle arrangements and are
more susceptible to liquefaction than well-graded soils
Placement conditions
Hydraulic fills (fill placed under water) are more susceptible to liquefaction because of the
loose and segregated soil structure created by the soil particles falling through water.
Drainage conditions
If the excess pore water pressure can quickly dissipate, the soil may not liquefy. Thus gravel
drains or gravel layers can reduce the liquefaction potential of adjacent soil.
Confining pressures
The greater the confining pressure, the less susceptible the soil is to liquefaction. Conditions
that can create a higher confining pressure are a deeper groundwater table, soil that is located
at a deeper depth below ground surface, and a surcharge pressure applied at a ground surface.
Case studies have shown that the possible zone of liquefaction usually extends from the
ground surface to a maximum depth about 15 m. Deeper soils generally do not liquefy
because of the higher confining pressures.


Newly deposited soils tend to be more susceptible to liquefaction than old deposits of soil.
Older soil deposits may already have been subjected to seismic shaking, or the soil particles
may have deformed or been compressed into more stable arrangements.

The most common type of analysis to determine the liquefaction potential is to use the standard
penetration test (SPT) or the cone penetration test (CPT) (Seed et al. 1985, Stark and Olson
1995). The analysis is based on the simplified method proposed by Seed and Idriss (1971).
The first step in the liquefaction analysis is to determine the seismic shear stress ratio (SSR). The
seismic shear stress ration (SSR) induced by the earthquake at any point in the ground is
estimated as follows (Seed and Idriss 1971):

SSR 0,65.rd . max

. v 0

' v 0

Where :
SSR = seismic shear stress ratio (dimensionless parameter)
amax = peak acceleration measured or estimated at the ground surface of the site (m/s2)
= acceleration of gravity (9,81 m/s2)
Ussually the engineering geologist will determine the peak acceleration at the ground
surface at the site from fault, seismicity, and attenuation studies. Typically the
engineering geologist provides a peak ground acceleration in the form of a max/g = a
constant, in which case the value of a constant (dimensionless) is substituted into the
above equation in place of amax/g.
v0 = total vertical stress at a particular depth where the liquefaction analysis is being
performed (kPa)
v0 = vertical effective stress at that same depth in the soil deposit where v0 was calculated
= depth reduction factor, which can be estimated in the upper 10 m of soil as (Kayen et
al. 1992) rd = 1 0,012z, where z = depth in meters below the ground surface where the
liquefaction analysis is being performed (i.e., the same depth used to calculate v0 and
The second step is to determine the seismic shear stress ratio (SSR) that will cause liquefaction
of the in situ soil. A chart (from Stark and Olson 1995) will be used to determine the seismic
shear stress ratio (SSR) that will cause liquefaction of the in situ soil.
In order to use this chart, the results of the standard penetration test (SPT) must be expressed in
terms of the N-SPT value.
So that, the corrected value (Liao and Whitman, 1985), N-SPT is:
N ' C N .N 60

N = N-SPT value corrected for field procedures and overburden stress
CN = overburden correction factor
Liao and Whitmans relationship (1986):

C N 9,78.

for ' v 25 kN / m 2

Skemptons relationship (1986):

for ' v 25 kN / m 2

Seed et al.s relationship (1975):
C N 1 1,25. log
for ' v 25 kN / m 2

Peck et al.s relationship (1974):



for ' 25 kN / m 2

C N 0,77. log

We can improve the raw SPT data by applying certain correction factors. The variations in
testing procedures may be at least partially compensated by converting the measured N to N60 as
follows (Skempton, 1986):
N 60


E m .C b .C s .C r .N

= hammer efficiency (for U.S. equipment, E m equals 0,6 for safety hammer and equals 0,45
for a doughnut hammer) Adapted from Clayton, 1990
= borehole diameter correction (Cb = 1,0 for boreholes of 65 to 115 mm diameter ; 1,05 for
150 mm diameter ; 1,15 for 200 mm diameter of hole) Adapted from Skempton, 1986
= sampling method correction (Cs = 1,00 for standard sampler ; 1,20 for sampler without
liner not recommended) Adapted from Skempton, 1986
= rod length correction (Cr = 0,75 for up to 4 m of drill rods ; 0,85 for 4 to 6 m of drill
rods ; 0,95 for 6 to 10 m of drill rods ; 1,00 for drill rods over 10 m) Adapted from
Skempton, 1986
= N-SPT value from field test
= N-SPT value corrected for field procedures
= vertical effective stress at the test location
= reference stress = 100 kN/m2

Once the corrected N-SPT has been calculated, the chart can be used to determine the seismic
shear stress ratio (SSR) that will cause liquefaction of the in situ soil. For a given N-SPT value,
soils with more fines have a higher seismic shear stress ratio (SSR) that will cause liquefaction
of the in situ soil.
As an alternative to the second step, the cone penetration test (CPT) can be used instead of the
standard penetration test (SPT). The procedure consists of multiplying the cone penetration tip
resistance qc by a correction factor Cq to account for the overburden pressure, in order to
calculate the corrected CPT tip resistance qc1, or:

q c1 C q .q c


0,8 v 0


Where :
qc1 = corrected CPT tip resistance (corrected for the overburden pressure)
Cq = correction factor to account for the overburden pressure
v0 = vertical effective stress in kPa
qc = cone penetration tip resistance
Once the corrected CPT tip resistance qc1 has been calculated, the chart can be used to determine
the seismic shear stress ratio (SSR) that will cause liquefaction of the in situ soil. For a given q c1
value, soils with more fines have a higher seismic shear stress ratio (SSR) that will cause
liquefaction of the in situ soil.
The third step in the liquefaction analysis is to compare the seismic shear stress ratio (SSR)
values. If the SSR induced by the earthquake is greater than the SSR value obtained from the
chart, then liquefaction could occur during the earthquake, and vice versa.
When in fact the entire analysis is only a gross approximation, the analysis should be treated as
such and engineering experience and judgment are essential in the final determination of whether
or not a site has liquefaction potential.

Note: M = 7,5 is equal 6,7 Richter.

BMS (Vehicle Load)

Figure 76.

Vehicle load based on BMS

Dynamic Driving Resistance (Pile Driving Formula)

The two methods of estimating ultimate capacity of piles on the basis of dynamic driving
resistance are pile-driving formulas and wave equation analysis. Pile capacities based on piledriving formulas are not always reliable. They should therefore be supported by local experience
or testing and should be used with caution. Pile capacities estimated on the basis of wave
equation analysis have more rational approach than the estimation on the basis of pile driving
Pile hammers are the devices used to impart sufficient energy to the pile so that it penetrates the
soil. Several pile hammers are described in the following paragraph.
Drop hammers
Drop hammers are still occasionally used for small, relatively inaccessible jobs. The drop
hammer consists of a metal weight fitted with a lifting hook and guides for traveling down
the leads (or guides) with reasonable freedom and alignment. The hook is connected to a
cable, which fits over a sheave block and is connected to a hoisting drum. The weight is
lifted and tripped, freely falling to a collision with the pile. The impact drives the pile into the
ground. Principal disadvantages are the slow rate of blows and length of leads required
during the early driving to obtain a sufficient height of fall to drive the pile.
Single-acting hammers
Steam or air pressure is used to lift the ram to the necessary height. The ram then drops by
gravity onto the anvil, which transmits the impact energy to the capblock, then to the pile.
The hammer is characterized by a relatively slow rate of blows. The hammer length must be
such as to obtain a reasonable impact velocity (h or height of ram fall), or else the driving
energy will be small. The blow rate is considerably higher than that of the drop hammer. In
general the ratio of ram weight to pile weight including appurtenances should be on the order
of 0.5 to 1.0.


Double-acting hammers
These hammers use steam both to lift the ram and to accelerate it downward. Differentialacting hammers are quite similar except that more control over the steam (or air) is exerted to
maintain an essentially constant pressure (nonexpansion) on the accelerating side of the ram
piston. This increase in pressure results in a greater energy output per blow than with the
conventional double-acting hammer. The blow rate and energy output are usually higher for
double-acting or differential hammers (at least for the same ram weight), but steam
consumption is also higher than for the single-acting hammer. The length may be a meter or
more shorter for the double-acting hammer than for the single-acting hammer with length
ranges on the order of 2 to 4.5 m. The ratio of ram weight to pile weight should be between
0.50 and 1. When compressed air instead of steam is used with single- or double-acting
hammers, there is the additional problem of the system icing up at temperatures close to


Diesel hammers
Diesel hammers consist of a cylinder or casing, ram, anvil block, and simple fuel injection
system. To start the operation, the ram is raised in the field as fuel is injected near the anvil
block, then the ram is released. As the ram falls, the air and fuel compress and become hot
because of the compression; when the ram is near the anvil, the heat is sufficient to ignite the
air-fuel mixture. The resulting explosion (1) advances the pile and (2) lifts the ram. If the pile
advance is very great as in soft soils, the ram in not lifted by the explosion sufficiently to
ignite air-fuel mixture on the next cycle, requiring that the ram be again manually lifted. It is
thus evident that the hammer works most efficiently in hard soils or where the penetration is
quite low (point-bearing piles when rock or hardpan is encountered) because maximum ram
lift will be obtained. Diesel hammers are highly mobile, have low fuel consumption (on the
order of 4 to 16 L/hr), are lighter than steam hammers, and operate efficiently in
temperatures as low as 0C. There is no need for a steam or air supply generation unit and the
resulting hoses. The diesel hammer has a length varying from about 3.5 to 8.2 m (4.5 to 6 m
average). The ratio of ram weight should be on the order of 0.25 to 1.0.



Jetting or preaugering
A water jet is sometimes used to assist in inserting the pile into the ground. That is, a highpressure stream of water is applied at the pile point to displace the soil. This method may be
used to loosen sand or small gravel where for some reason the pile must penetrate to a greater
depth in the material than necessary for point bearing. Care must be exercised that the jetting
does not lower the point-bearing value. Some additional driving after the jet is halted should
ensure seating the point in firm soil. Preaugering is also sometimes used where a firm upper
stratum overlies a compressible stratum, which in turn overlies firmer material into which it
is desired to seat the pile point. Preaugering will reduce the driving effort through the upper
firm material. For both jetting and preaugering, considerable engineering judgment is
required to model the dynamic pile capacity equations (and static equations) to the field
Vibratory hammers

Pile driving leads, sometimes called leaders, are usually fabricated of steel and function to align
the pile head and hammer concentrically, maintain proper pile position and alignment
continuously during the driving operation, and also to provide lateral support for the pile when
required. Proper hammer alignment is extremely important to prevent eccentric loadings on the
pile. Otherwise driving energy transferred to the pile may be reduced considerably and structural
pile damage due to excessive stresses near the top of the pile may result from eccentric loading.
Typical lead systems are shown below :

Figure 77.

Typical fixed or extended leads

Figure 78.

Typical swinging lead system

To develop the desired load-carrying capacity, a point bearing pile must be penetrate the dense
soil layer sufficiently or have sufficient contact with a layer of rock. This requirement cannot
always be satisfied by driving a pile to a predetermined depth, because soil profiles vary. For that
reason, several equations have been developed to calculate the ultimate capacity of a pile during
driving. These dynamic equations are widely used in the field to determine whether a pile has
reached a satisfactory bearing value at the predetermined depth. One of the earliest such
equations commonly reffered to as the Engineering News (EN) Record formula is derived
from the work energy theory.
That is, Energy imparted by the hammer per blow = (pile resistance) (penetration per hammer
W R .h Qu .S

Equation above is quite inappropriate, however, because it does not include a number of practical
considerations, for example :

Energy loss due to friction

Energy loss due to pile bounce

Energy loss due to compression of hammer parts

Energy loss due to compression of pile

Uncertainties in soil response

Uncertainties in pore water response

Nonuniformity of pile resistance along shaft

Nonuniformity of pile resistance at tip

A widely used (and abused) formula, originally developed for end-bearing piles driven through
soft soil sediments in New Jersey, is the Engineering News Record (ENR) formula. It assumes
the losses are a constant, C, which allows for the following equation for ultimate pile capacity :


W R .h

Where :
WR = weight of the ram
= height of fall of the ram
= penetration of pile per hammer blow
= a constant
The pile penetration, S, is usually based on the average value obtained from the last few driving
blows. In the equations original form, the following values of C were recommended :

For drop hammers,

C = 25,4 mm if S and h are in mm ; 1 in. if S and h are in inches

For steam hammers,

C = 2,54 mm if S and h are in mm ; 0,1 in. if S and h are in inches

Also, a factor of safety FS = 6 was recommended for estimating the allowable pile capacity. Note
that, for single- or double-acting hammers, the term WR h can be replaced by E HE, where E is the
efficiency of the hammer and HE is the rated energy of the hammer. Thus,


The EN formula has been revised several times over the years, and other pile-driving formulas
also have been suggested. Some of them are showed below :

Modified EN formula (use SF = 6)


1, .H E WR n .W p
WR W p


1,25.W R .h WR n .W p
WR W p

Where :
= efficiency of hammer
HE = rated energy of the hammer
= height of fall of the ram
= 25,4 mm if the units of S and h are in mm or 1,0 in. if the units of S and h are in in.
(for drop hammers)
= 2,54 mm if the units of S and h are in mm or 0,1 in. if the units of S and h are in in.
(for steam hammers)
Wp = weight of the pile
WR = weight of the ram
= penetration of pile per hammer blow
= coefficient of restitution between the ram and the pile cap
= height of ram fall
Typical values of eh

Single-acting hammers
Double-acting or differential hammers
Diesel hammers
Drop hammers

0,70 0,85
0,80 0,90
0,70 0,90

Typical values for n (After ASCE - 1941)

Broomed wood
Wood piles (nondeteriorated end)
Compact wood cushion on steel pile
Compact wood cushion over steel pile
Steel-on-steel anvil on either steel or concrete pile
Cast-iron hammer on concrete pile without cap


The Hiley equation is obtained (use SF = 4) :

W r n 2 .W p
s 1 . k k k W r W p

e h .W r .h


Values for k1 temporary elastic compression of pile head and cap (After Chellis, 1961)
Driving stress P/A on pile head or cap, MPa (ksi)
Pile Material
3,5 (0,5)
7,0 (1,0)
10,5 (1,5)
14,0 (2,0)
k1, mm (in.)
Steel piling or pile
Directly on head
Directly in head of timber pile
1,0 (0,05)
2,0 (0,10)
3,0 (0,15)
5,0 (0,20)
Precast concrete pile with
3,0 (0,12)
6,0 (0,25)
9,0 (0,37)
12,5 (0,50)
75-100 mm packing inside cap
Steel-covered cap containing wood
1,0 (0,04)
2,0 (0,05)
3,0 (0,12)
4,0 (0,16)
packing for steel HP or pipe piling
5-mm fiber disk between two
0,5 (0,02)
1,0 (0,04)
1,5 (0,06)
2,0 (0,08)
10-mm steel plates

Table 34.

Note :

For driving stresses larger than 14 MPa use k1 in last column

Where P is equal with working weight of hammer (around 1,68 to 2,28 times of Ram
weight), should be provided by manufacturers.
The term k2 is computed as

Pu .L
, and one may arbitrarily take the k3 term (quake) as :

k3 = 0,0 for hard soil (rock, very dense sand, and gravels)
= 2,5 to 5 mm (0,1 to 0,2 in.)
For double-acting or differential steam hammers, Chellis (1941, 1961) suggested the following
form of the Hiley equation :

W n 2 .W p

s 1 . k k k W W p


e h .E h

According to Chellis, the manufacturers energy rating of Eh is based on an equivalent hammer

weight term W and height of ram fall h as follows :
E h W .h W r W ca sin g .h

Inspection of the derivation of the Hiley equation indicates the energy loss fraction should be
modified to W as shown in Hiley equation also.
A careful inspection of the Hiley equation, together with a separation of terms, result in
Energy in = work + impact loss + cap loss + pile loss + soil loss
e h .W r .h Pu .s eh .W .h.

W p .1 n 2
W p Wr

Pu .k 1 Pu .k 2 Pu .k 3

For small wood piles on the order of 100 to 150 mm used to support small buildings on soil with
a water table at or very near the ground surface Yttrup et al. (1989) suggest using :

0,4.W .h

Where :
W = weight of the ram
= height of fall of the ram
= penetration of pile per hammer blow
This formula is applicable for drop hammers mounted in small conventional tractors.

Plug Weight. Open-end pipe piles always cut a soil plug. The plug usually does not fill the pipe
when observed from above since it is much compressed both from vibration and from side
friction on the interior walls. The plug weight can be estimated as :
W plug '.V pipe

Where Vpipe = internal pipe volume. This weight may be critical when the pile is nearly driven to
the required depth since it is a maximum at that time.
HP piles will also have a plug of unknown dimensions; however, it would not be a great error to
assume the plug length Lplug is one-half the embedded length of the pile (when blow counts are
taken for pile capacity of for penetration resistance). The plug weight is this case is :
W plug 0,5.L pile .bf .d . '

This equation includes the web tw and flange thickness tf in the soil volume but the plug length is
an estimate, so the computation as shown is adequate.
Use effective unit weight for the soil, as the water will have a floatation effect for both the soil
and the pile.
The pile weight should be the actual weight Wp plus plug, or
W p W p W plug

for use in any of the equations given that uses a pile weight term Wp.

The plug weight was not included in the past because few persons ever checked the derivation of
the equations to see how the pile weight term was treated. Do not include the plug weight unless
the equation you are using includes the pile weight in a term similar to the second term in the
Hiley equation.
A major problem with using statistical analyses primarily based on piles reported in technical
literature is that although on can obtain a large data base it is not of much value. The reason is
that there are not sufficient data given for the reader to make a reliable judgment of significant
parameters to consider. Where the person making the analysis uses a self-generated data base (as
in the case of Gates) results are generally more reliable.
Table 35.

Summary of safety factor range for equations used in the Michigan Pile Test Program
Upper and lower limits of SF = Pu/Pd
Range of Pu, kips
0 to 900
900 to 1800
1800 to 3100
Engineering News
1,1 2,4
0,9 - 2,1
1,2 2,7
1,1 4,2
3,0 6,5
4,0 9,6
Pacific Coast Uniform Building Code
2,7 5,3
4,3 9,7
8,8 16,5
1,7 3,6
2,8 6,5
6,0 10,9
1,0 2,4
1,0 3,8
2,2 4,1
0,8 3,0
0,2 2,5
0,2 3,0
0,9 1,7
1,3 2,7
2,3 5,1
Canadian National Building Code
3,2 6,0
5,1 11,1
10,1 19,9
Modified Engineering News
1,7 4,4
1,6 5,2
2,7 5,3
1,8 3,0
2,5 4,6
3,8 7,3
1,0 4,8
2,4 7,0
3,2 8,0

Note: 1 kips = 4,536 kN

General Comments On Pile Driving
Alignment of piles can be difficult to get exactly correct, and often the driven piles are not
exactly located in plan. A tolerance of 50 to 100 mm is usually considered allowable. Larger
deviations may require additional substructure design to account for eccentricities, or more piles
may have to be driven. Alignment of pipe piles may be checked by lowering a light into the tube.
If the light source disappears, the alignment is not true. Pile groups should be driven from the
interior outward because the lateral displacement of soil may cause excessively hard driving and
heaving of already driven piles.
Damage to piles may be avoided or reduced by squaring the driving head with the energy source.
Appropriate pile-driving caps and/or cushions should be used. When the required driving
resistance is encountered, driving should be stopped. These driving resistances may be arbitrarily
taken as :
Table 36.

Blow per 25 mm penetration requirement to avoid pile damage

Pile Type
Blow per 25 (mm) Penetration
Timber piles
45 blows/25 mm
Concrete piles
68 blows/25 mm
Steel piles
1215 blows/25 mm
Driving stress requirement to avoid pile damage
Pile Type
Timber piles
0,7 fu

Table 37.

Concrete piles
Steel piles

0,6 f c
0,85 fy

Plate Load Test (Shallow Foundation)

The ultimate load-bearing capacity of a foundation, as well as the allowable bearing capacity
based on tolerable settlement considerations, can be effectively determined from the field load
test, generally referred to as the plate load test (ASTM, 2000; Test Designation D-1194-94). The
plates that are used for tests in the field are usually made of steel and are 25 mm (1 in.) thick and
150 mm to 762 mm (6 in. to 30 in.) in diameter. Occasionally, square plates that are 305 mm x
305 mm (12 in. x 12 in.) are also used.
To conduct a plate load test, a hole is excavated with a minimum diameter of 4B (B is the
diameter of the test plate) to a depth of D f, the depth of the proposed foundation. The plate is
placed at the center of the hole, and a load that is about one-fourth to one-fifth of the estimated
ultimate load is applied to the plate in steps by means of a jack. A schematic diagram of the test
arrangement is shown in figure below. During each step of the application of the load, the
settlement of the plate is observed on dial gauges. At least one hour is allowed to elapse between
each application. The test should be conducted until failure, or at least until the plates has gone
through 25 mm (1 in.) of settlement. Figure below shows the nature of the load-settlement curve
obtained from such tests, from which the ultimate load per unit area can be determined.

Figure 79.

Test arrangement for Plate Load Test

Figure 80.

Nature of load settlement curve

For tests in clay,

qu F qu P

qu(F) = ultimate bearing capacity of the proposed foundation
qu(P) = ultimate bearing capacity of the test plate
From the equation above implies that the ultimate bearing capacity in clay is virtually
independent of the size of the plate. The ultimate load is defined as the point where the load
displacement becomes practically linear.
For tests in sandy soils,
qu F qu P .


BF = width of the foundation
BP = width of the test plate
The allowable bearing capacity of a foundation, based on settlement considerations and for a
given intensity of load, q0, is



(for clayey soil)

S F S P .

(for sandy soil)

The preceding relationship is based on the work of Terzaghi and Peck (1967).
DAppolonia et al. (1970) compiled several field-test results in sandy soils to establish the
applicability of equation for Sandy Soil, and these are summarized in Figure below. On the basis
of the results, it can be said that equation above is a fairly good approximation.

Figure 81.

Comparison of test results with equation for Sandy Soil (After DAppolonia et. Al., 1970)

Pile-Load Test
The most reliable method to determine the load capacity of a pile is to load-test it. This consists
in driving the pile to the design depth and applying a series of loads by some means. The usual
procedure is to drive several of the piles in a group and use two or more of adjacent piles for
reactions to apply the load. A rigid beam spans across the test pile and is securely attached to the
reaction piles. A large-capacity jack is placed between the reaction beam and the top of the test
pile to produce the test load increments. The test has been standardized as ASTM D 1143;
however, local building codes may stipulate the load increments and time sequence.

Figure 82.

Typical pile load test setup using adjacent piles in group of reaction

The ultimate pile load is commonly taken as the load where the load-settlement curve
approaches a vertical asymptote. The load-settlement curve must be drawn to a suitably large
settlement scale so that the shape (and slope) is well defined.
An alternative method of interpreting load-settlement curve is based on the concept that the load
is carried mostly by skin resistance until the shaft slip is sufficient to mobilize the limiting value.
When the limiting skin resistance is mobilized, the point load increases nearly linearly until the
ultimate point capacity is reached. At this point further applied load results in direct settlement
(load curve becomes vertical).

Figure 83.

Pile load-test data

Referring to figure 28 (Pile load test data), these statements translate as follows :
From 0 to point a the capacity is based on the skin resistance plus any small point
contribution. The skin resistance capacity is the principal load-carrying mechanism in this
region. Point a usually requires some visual interpretation since there is seldom a sharp break
in the curve.
From point a to b the load capacity is the sum of the limiting skin resistance (now
a constant) plus the point capacity
From point b the curve becomes vertical as the ultimate point capacity is reached.
Often the vertical asymptote is anticipated (or the load to some value is adequate) and the test
terminated before a vertical curve branch is established.
This concept was introduced by Van Weele (1957) and has since been used by others [e.g.,
Brierley et al. (1979), Leonards and Lovell (1979), among others]. According to Van Weele, if
we draw the dashed line 0 to c through the origin and parallel to the point capacity region from a
to b, the load-carrying components of the pile are as shown on Fig. 28 (Pile load test data). In
this figure we have at settlement = 25 mm the load carried as follows :
= 250 kN
Skin resistance = 1350 kN = 1600 250 kN
= 1600 kN (shown on figure)
Piles in granular soils are often tested 24 to 48 hr after driving when load test arrangements have
been made. This time lapse is usually sufficient for excess pore pressures to dissipate; however,
Samson and Authier (1986) show that up to a 70 percent capacity gain may occur if load tests are
made two to three weeks after driving.
Piles in cohesive soils should be tested after sufficient lapse for excess pre pressures to dissipate.
This time lapse is commonly on the oreder of 30 to 90 days giving also some additional strength
gain from thixotropic effects.

In any soil sufficient time should elapse before testing to allow partial dissipation of residual
compression stresses in the lower shaft and point load from negative skin resistance on the upper
shaft caused by shaft expansion upward as the hammer energy is released. Residual stersses
and/or forces have been observed in a number of reports and summarized by Vesic (1977). It
appears that pile load testing of the load-unload-reload type is more likely to produce residual
stresses than driving.
Soil Reinforcement
The use of reinforced earth is a recent development in the design and construction of foundations
and earth-retaining structures. Reinforced earth is a construction material made from soil that has
been strengthened by tensile elements such as metal rods or strips, nonbiodegradable fabrics
(geotextiles), geogrids, and the like.
The beneficial effects of soil reinforcement derive from (a) the soils increased tensile strength
and (b) the shear resistance developed from the friction at the soil-reinforcement interfaces. Such
reinforcement is comparable to that of concrete structures. Currently, most reinforced-earth
design is done with free-draining granular soil only. Thus, the effect of pore water development
in cohesive soils, which, in turn, reduces the shear strength of the soil, is avoided.
The general design procedure of any mechanically stabilized retaining wall can be divided into
two parts:
Satisfying internal stability requirements.
Checking the external stability of the wall.
The internal stability checks involve determining tension and pullout resistance in the reinforcing
elements and ascertaining the integrity of facing elements. The external stability checks include
checks for overturning, sliding, and bearing capacity failure.
Retaining walls with geotextile reinforcement, the facing of the wall is formed by lapping the
sheets as shown with a lap length of l1. When construction is finished, the exposed face of the
wall must be covered; otherwise, the geotextile will deteriorate from exposure to ultraviolet light.
Bitumen emulsion or Gunite is sprayed on the wall face. A wire mesh anchored to the geotextile
facing maybe necessary to keep the coating on.

Negative Skin Friction

Pada saat pondasi tiang ditempatkan pada lapisan tanah yang mengalami konsolidasi maka penurunan
tanah yang terjadi disekeliling tiang tersebut akan menimbulkan gaya geser ke bawah pada tiang. Gaya ini
dikenal dengan istilah negative skin friction. Gaya ini akan menambah beban aksial yang bekerja pada
tiang pondasi.
Besarnya negative negative skin friction dapat ditentukan dengan menggunakan persamaan sebagai

FNS D K 0 ' tan e Le


koefisien tekanan tanah lateral

sudut geser dalam tanah

0 =

tekanan overburden efektif


ketebalan efektif dari lapisan tanah yang terkonsolidasi

Prakash dan Sarma (1990) mengusulkan nilai dari ketebalan efektif lapisan tanah yang terkonsolidasi
adalah sebagai berikut:

Le=0.75Lc (1)

ketebalan total lapisan tanah terkonsolidasi

Unit skin friction dari tiang yang diberi lapisan maupun yang tidak diberi lapisan anti karat dapat dilihat
pada tabel di bawah ini :
Unit Skin Friction Untuk Pondasi Tiang (Prakash & Sharma, 1990)

Table 38.

Soil & Pile Condition

Unit Negative Skin Friction

Uncoated pile:
- Soft compressible layer of silt and clay

0.15 0.30 0

- Loose sand

0.30 0.80 0

Coated pile

0.01 0.05 0

Durability Main Wall (Arcelor Piling Handbook, 8th Edition)

Table 39.

Loss of thickness (mm) due to corrosion for piles and sheet piles in soils, with or without

Required design working life

5 years

25 years

50 years

75 years

100 years

Undisturbed natural soils (sand, silt,

clay, schist, )






Polluted natural soils and industrial







Aggressive natural soils (swamp,

marsh, peat, ...)






Non-compacted and non-aggressive

fills (clay, schist, sand, silt, )






Non-compacted and aggressive fills

(ashes, slag, )






Table 40.

Loss of thickness (mm) due to corrosion for piles and sheet piles in fresh water or in sea water

Required design working life

5 years

25 years

50 years

75 years

100 years

Common fresh water (river, ship

canal, ) in the zone of high attack
(water line)






Very polluted fresh water (sewage,

industrial effluent, ) in the zone of
high attack (water line)






Sea water in temperate climate in

the zone of high attack (low water
and splash zones)






Sea water in temperate climate in

the zone permanent immersion of in
the intertidal zone