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L1: An Overview of Geotechnical Design

1 An Overview of Geotechnical Design ...........................................................................2

1.1 General ....................................................................................................................................................................... 2
1.2 Geotechnical elements in the context of the rest of the whole structure
 ................................... 2
1.3 Key requirements for all geotechnical elements

 ................................................................................ 3
1.3.1 General 
 .......................................................................................................................3
1.3.2 Ultimate limit state modes of failure ............................................................................4
1.3.3 Serviceability limit state and displacements .................................................................4
1.3.4 Design life and modes of deterioration .........................................................................5
1.4 Elements of Geotechnical Design ................................................................................................................... 5
1.4.1 Design Process ...............................................................................................................5
1.4.2 Observational Method ..................................................................................................7
1.5 Geotechnical Design Work flow ...................................................................................................................... 8
1.6 Geotechnical (Site Investigation) Report .................................................................................................... 9
1.7 Design Basis Memorandums ......................................................................................................................... 11
1.8 Uncertainty and Risks in Geotechnical Design ...................................................................................... 13
1.8.1 Typical design risks/pitfalls ..........................................................................................13
1.8.2 Reducing the Geotechnical design risk ........................................................................13
1.8.3 Geotechnical Baseline Report .....................................................................................14
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1 An Overview of Geotechnical Design

1.1 General
The purpose of this chapter is to describe the basic principles of geotechnical design and
construction in the context of the whole project. At a given site the ground conditions
have resulted from millions of years of natural geological processes (which are seldom
simple)
and have sometimes been modified by humans, e.g. by mining or many other
processes. As
a consequence there are always inherent uncertainties and risks, and the
art of geotechnical engineering is to make informed allowance for these, in both design
and construction. The key requirements for all geotechnical elements of a project are
described. Emphasis is placed on the importance of constructive and positive interaction
with professionals engaged in the many other contributing disciplines. The design life of
the geotechnical elements is considered and the important concept of the geotechnical
design and construction cycle is introduced. Various managerial approaches to identifying
the key elements of the complete design and construction process are described. The
chapter concludes with a summary of the factors common to most geotechnical design
and construction projects that are necessary for a successful outcome.

1.2 Geotechnical elements in the context of the rest of the whole structure

All built structures touch the ground in some way and hence all need some form of
foundation. Other geotechnical elements include retaining walls and ground anchors.
Sometimes they can be shallow, e.g. pad footings or gravity retaining walls; other times
they are deep, such as piles or embedded retaining walls. Often they rely on geotechnical
processes such as ground improvement to produce a geotechnical element.

All foundations and other geotechnical elements have a number of characteristics that
distinguish them from other parts of the structures that they support:
1) they tend to be amongst the most heavily loaded elements in any structure; 


2) their installation process is less amenable to factory-style production; 


3) their capacity is very dependent on the ground of the site, which is always
characterised by few observations and tests, and is normally very heterogeneous
and may contain hazards that are difficult to foresee; 


4) their capacity is strongly influenced by the method of construction and how well it is
controlled. 

Hence, the risk of failure tends to be significantly higher than that for other parts of the
structure. The management of ground uncertainty is an important part of the design and
construction process in order to produce elements that have the required degree of
reliability. 

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A vital consideration in geotechnical design is the interaction of the structural element
that is inserted into the ground with the ground itself – so-called ‘soil–structure
interaction’. Structural loads are applied to the element and the ground resists – generally
either by friction along the element, or by bearing of the element against the ground. Both
these resistances can occur vertically or horizontally, as shown in Figure 1.1. Normally
ground stresses are maintained within failure limits, so the resulting displacements
depend on the stiffness of both the element and the ground.

Figure 1.1 : Soil–structure interaction

Loads can be imparted into foundations directly, as vertical or horizontal loads, or as

imposed bending moments. They can also be imposed indirectly as displacements, which
induce loads into the structural parts of the foundation. Eurocode 7 (BS EN 1997) (British
Standards Institution, 2004, 2007b) treats these in a similar way by introducing the
Newtonian concept of an ‘action’.

1.3 Key requirements for all geotechnical elements



1.3.1 General 

All foundations or other geotechnical elements must fulfil a number of essential criteria as
listed below. 

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• They must not fail, or else the structure they support will also fail. In terms of limit
state design, failure by any mode is termed reaching or exceeding an ‘ultimate’ limit
state, and may involve failure of a structural element or rupture along a soil–
structure or a soil–soil interface. 


• They must not move excessively or else the structure they support may become
impaired or fail to operate as intended. In terms of limit state design, excessive
deflection involves breaching a ‘serviceability’ limit state. 


• They must last for as long as intended. Unlike many other building elements,
foundations are hugely difficult to upgrade or repair and so their longevity will often
dictate the life of the structure that they support.



1.3.2 Ultimate limit state modes of failure
There is a range of ways in which geotechnical structures can fail an ultimate limit state,
and these are shown in Figure 1.2.

1.3.3 Serviceability limit state and displacements

Failure of a serviceability limit state is usually less serious than failure of an ultimate limit
state and is often repairable. It usually occurs when excessive displacements have taken
place that impair the function of the structure. In addition to excessive movement, it also
includes other forms of unacceptable tolerances, such as moisture penetration into
basements. Examples are illustrated in Figure 1.2.

Figure 1.2- Limit state failure

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1.3.4 Design life and modes of deterioration

Design lives are covered in more detail in section 2.4. Other than failures of a limit state,
the life of a structure can be reached when:
• it has become affected by material deterioration processes, such as corrosion of
steel, carbonation of concrete or rotting or insect infestation of timber;

• it has been subjected to physical processes, such as repeated loading cycles causing
fatigue, or excessive damage from impacts;

• it fails to meet new design or material standards and so offers a less than
acceptable level of resistance against load, corrosion, etc.

Relevant design lives for structures are defined in Canadian Building Code and are
generally distinguished according to whether the structure is a building or a piece of
infrastructure. The design life is project specific. Most permanent civil structures today
have a minimum design life of 100 years while temporary structures can be limited to <10
years.

• Design life can influence choice of factor of safety. However, it needs to be

considered with the following points. The frequency with which the most onerous
design load combination occurs – if it is very infrequent compared with the design
life, some reduction in margin against failure may be possible. This may occur with
1-in-100-year wind or flood events or with 1-in-475-year seismic events.

• The consequences of failure – where the consequences are mild and do not
threaten safety, then a lower factor may be permissible provided the economic
consequences are judged and agreed as acceptable.

1.4 Elements of Geotechnical Design

1.4.1 Design Process

All design follows a similar process. In geotechnical design, much of the focus is on
understanding and describing the ground. This description must translate site
characteristics into engineering design parameters.
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There are three distinct but interlinked aspects that have to be considered in tackling any
geotechnical engineering problem:
1 the ground profile including groundwater conditions;

2 the measured behaviour of the ground from Site investigations;

3 the appropriate model for assessing and predicting performance.
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Figure: The geotechnical triangle. Each activity has its own distinct methodology and its own rigour

Four fundamental ways of carrying out geotechnical design

1. using calculations based on an analytical, semi-empirical or numerical model
• Limit equilibrium, boundary element, finite element, finite difference
• Deterministic or stochastic
2. adopting prescriptive measures involving conventional and generally conservative,
nationally determined rules or approaches in design and specification, and in the
control of materials, workmanship, protection and maintenance procedures
• Codes (CFEM, Eurocode)
3. using experimental models and load tests carried out on a sample of the actual
construction or on full scale or smaller scale models
4. using the Observational Method, in which the design is continuously reviewed
during construction.

1.4.2 Observational Method

This formal design process was coined by Terzaghi and Peck in 1948. It was subsequently
published by: “Peck RB, 1969. Ninth Rankine Lecture: Advantages and limitations of the
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observational method in applied soil mechanics. Géotechnique, 19(2):171–187.” The

steps in the Observation Method are:
1) Exploration sufficient to establish at least the general nature, pattern and
properties of deposits, but not necessarily in detail. (assuming a large site)
2) Assessment of the most probable soil conditions and the most unfavorable
conceivable deviations from the these conditions. Geology plays a role…
3) Establishment of the design based on a working hypothesis of behavior
anticipated under the most probable conditions.
4) Selection of quantities to be observed as construction proceeds and calculation
of their anticipated values on the basis of the working hypothesis.
5) Calculation of values of the same quantities under the most unfavorable
conditions compatible with the available data concerning the subsurface
conditions.
6) Selection in advance of a course of action or modification of design for every
foreseeable significant deviation of the observational findings from those
predicted on the basis of the working hypothesis.
7) Measurement of quantities to be observed and evaluation of actual conditions.
8) Modification of design to suit actual conditions.

1.5 Geotechnical Design Work flow

The purpose of a design is to establish a robust “buildable” design and establish the
associated costs and schedule. Traditional Design-Bid-Build for a project can take years to
decades, and moves from:
1) Conceptual Design
2) Preliminary Design
3) Final Design
4) Preparation of the Contract drawing and tender documents
5) Construction

Steps in the Preliminary Design Process are:

1) Project definition, scope and constraints (Usually set by Client)
2) Desktop Study:
Every site investigation should begin with a desk study. This is an office-based
exercise (therefore inexpensive) in gathering published and available information.

An initial site visit is made during the desk study; ground conditions are more
readily visualized once the site has been seen, and potential ground problems can
better be appreciated after a walkover survey (section 19). Sources of data vary
with type, size and location of site but generally fall into four groups: 1) Geological
maps, 2) Topographic maps, 3) Historic maps or site use (Mining maps in City of
Edmonton), 4) Airphotos. These maps are used to
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a. Summarize available information for the site, including the history of the site
b. In an urban environment, be aware of environmentally contaminated soil;
i.e., old gas stations or businesses that use hazardous chemicals (dry cleaners)
c. Develop a geological (soil, rock, water) profile of the site and expected
Ground Characteristics (Soft or Firm soils, rock type, depth of water)
d. Assess the modes of failure that may be possible given the project scope and
the expected ground conditions.
3) Site Investigation
a. Field investigation Program
i. Drilling, sampling, in-situ testing
b. Laboratory testing program
4) Preliminary Design
a. Determine the geotechnical parameters needed for the design
b. Carry out the design calculations
5) Preliminary Risk Assessment: Assess the uncertainty in the choice of the
Geotechnical parameters on the Design

Figure: Design process

1.6 Geotechnical (Site Investigation) Report

A Site Investigation (SI) should concentrate on the greatest uncertainties usually revealed
by the desk study. A ground investigation based on a poor desk study will inevitably be hit-
and-miss. Considering that less than 0.03% of the soil beneath is seen, it will tend to miss
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more than it hits. A good site investigation will target the most likely hazards, which will
often be the near-surface stratum boundaries as man’s activities will tend to be more
erratic (in most cases) than geological processes.

The results from the Site Investigation are contained in a Geotechnical Data report. This
report does not assess the impact of the geotechnical description of the site, it simply
reports the data.
• Terms of reference of the investigation

• Scope of the investigation

• Procedures and equipment used in the investigation
• Proposed-structure or structures

• Geological setting

• Topography, vegetation, and other surface features
• Soil profile and properties

• Groundwater observations

• Existing adjacent structures

• Foundation studies, including alternatives
• Recommended field instrumentation and monitoring
• Recommended construction procedures, if appropriate
• Recommended field services
Conclusions and recommendations
• Limitations of the investigation

Figures and Plots:

• Map showing the site location, including north arrow

• Detailed plan of the site showing contours and elevations, and location of proposed
structures, boreholes, and adjacent structures and features of importance

• Boring logs, including all the necessary pertinent information on soil, rock, and
groundwater Stratigraphical and geotechnical profiles

• Groundwater profiles

• Laboratory data

• Special graphic plots

In addition to normal geotechnical considerations like stratigraphy and stratum

properties, it is important that the following aspects of a site are also investigated: 

• potential presence of valuable archaeological remains; 

• potential presence of contaminated ground or groundwater in the 
vicinity; 

• potential presence of obstructions or other impediments to foundation installation,
as well as neighboring foundations, tunnels, etc.; 

• buried cables and other services. 

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Often these man-made issues are a bigger risk for the project than normal geological
variability. SI that only consider, for instance, easily available mapping and not mapping
data that go back to the start of the site’s development, should be seen as potentially
deficient.


Example: Cost Estimate for Building Foundation
Desk study
 $10,000
Ground investigation
• 5 Boreholes 20–40 m $50,000
• 10 Test pits $10,000
• Contamination testing $10,000
• Soils laboratory testing $10,000 $80,000
$90,000
1.7 Design Basis Memorandums
The basis for the design must be documented. This is usually contained in a Design Basis
Memorandum(s).

The purpose of these memorandums is to document all the calculations that forms the
basis of the design. These typically have multiple authors and are signed by the Design
Team.
There are tour distinct categories of calculation methods in geotechnical design as follows
I. Empirical Direct use of in-situ or laboratory test results, relying on
correlation with performance data and experience
2. Semi-empirical Indirect use of in-situ or laboratory test results, combining
field experience and simple theory
3. Analytical Theoretical models based on elasticity, plasticity, etc.

4. Numerical Complex soil models based at least in part on real soil
behavior

The complexity of soil behaviour has resulted in a need for empiricism and so a substantial
number of current design methods in geotechnical engineering practice fall in categories I
and 2. This has led to the development of a large number of design methods, each
applicable to one specific design case. Charts are frequently available to aid in design.
Because design methods were developed using properties determined in a particular
manner, it is important 10 follow design approaches in their entirety as the previous
success of the approach may rely on compensating errors. One area in which this is
particularly important is pile design. Pile installation alters soil properties. The magnitude
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of the change in soil properties depends on the installation method and on the initial
conditions. This effect of changes in ground conditions as a result of foundation
construction must be specifically considered during site characterization and selection of
design parameters.

Historically, design has involved separate consideration of strength and deformation. Limit
equilibrium has been used to design against failure and linear elasticity or the non-linear
theory of consolidation has been used to estimate deformation. In the limit equilibrium
approach, the mobilized strength at failure will likely vary along the particular failure
surface under consideration and will differ from peak strength. Site variability and soil
strength anisotropy become important when selecting the design strength.

Advances in numerical modeling have given engineers the capability to model soil
response to all stages of site development. Constitutive models have been developed
which account for some or all of the above aspects of material behaviour. These models
have been implemented in numerical models in commercially available computer
programs. The determination of appropriate input parameters requires judgment and a
good understanding of soil behaviour. It is critical that any model used in design should be
calibrated by comparison to case histories of similar foundation elements or systems in
similar soil conditions.

Example: General Design Basis Memorandum for Embankment on soft soil

(or specific project features)

Provides the basis for the design. Identifies the design constraints and significant
design issues. It also assesses potential constructability issues.
§ Given: Fill Elevation (set by client – a project constraint)
Stability:
• What are the maximum slopes for the fill – with what FoS?
• How fast can the fill be placed (metres/week)?
• Special loading conditions (seismic, embankment loading after
construction)
Settlement:
• How much will the fill settle?
§ What are the consequences – can it be tolerated?
• What is the time for the settlement?
§ Can the time for settlement be reduced?
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1.8 Uncertainty and Risks in Geotechnical Design

Geotechnical elements are characterized by much higher degrees of uncertainty than
other structural elements. The uncertainty is derived from the following:
• The inevitable significant assumptions and idealizations that underlie the overall
geotechnical design. 

• Natural variability in the ground being modelled, often manifested by vast scatter in
data points on graphs. 

• Inherent variability in the construction processes, and their control, that are used to
install the geotechnical elements and foundations, which may also have a profound
effect on their eventual performance in service. 

• Usual variability in the applied loads transmitted through a normally highly
structurally indeterminate construction meaning that the actual loads on each
foundation may be very uncertain. 

• There is always the possibility of the construction and performance being heavily
influenced by an unexpected feature of a site, for example a major geological
discontinuity such as a sinkhole or a fault. It is not unusual for major construction
problems to arise owing to adverse groundwater conditions. 

All of these uncertainties mean that engineers who presume that their calculations are
precise and predictable are deluded and may expose themselves to much more onerous
load combinations than they could imagine. The wise geotechnical engineer should be
humble and make prudent allowances for uncertainty. 


1.8.1 Typical design risks/pitfalls

§ Used a geology model for site developed in another location
§ Site investigation approach/methods not appropriate for the design constraints, or
modes of failure
§ Develop a design using laboratory test results without considering, the type of soils
(N/C or O/C ) and effects of sample disturbance
§ Assume the water level measured during Site Investigation is representative 360
days a year
§ Base the design on an assumed construction method not appropriate for the design
constraints
§ Provide soil parameters without knowing how they will be used in the design.

1.8.2 Reducing the Geotechnical design risk

§ Create of a “team” of geotechnical experts (can be a review group/person external
to your company).
§ Carried out after the preliminary design is completed
§ Identification of the issues/uncertainty that could impact the design
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§ Establish the consequence associated with each issue on the design

§ Use of group experience to rank risks according to impact
§ Establishment of a risk register
§ Analyses are usually carried out using:

1.8.2.1 Where to start

§ Make a list of the “geohazards” – these are site conditions that could differ from
those used in your design, but are plausible based on the geological model for the
site
• Higher or Lower Ground Water table
• Thickness of your layers
• Different properties than used for the design
• ?
§ Evaluate the impact of each of these on your design (a lot of work)
• Consequences to:
§ FoS
§ Time between lift placement
§ Additional Consolidation
§ Establish a risk matrix listing “geohazard” and associated geotechnical properties
§ Develop a strategy/Recommendations to reduce the risks to acceptable levels:
• Additional site investigations with specialized equipment (samplers)
• Field testing (pile load test, trial embankment to demonstrate pore pressure
development and fill compaction)
• Sophisticated laboratory testing to verify design strength
• Sophisticated numerical modelling to forecast the deformations and pore
pressures
These can be carried out during the next design step

1.8.3 Geotechnical Baseline Report

A Geotechnical Baseline Report (GBR), is a good way of ensuring clarity on
risk/uncertainity sharing for all project types. Rather than giving comprehensive coverage
of the ground conditions as in a geotechnical interpretative report, a GBR sets out the
expected conditions simply, so that deviations from them are clear. It therefore seeks to
provide clarity regarding when extra payment to a contractor is due, thereby reducing the
likelihood of disputes.
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