Smiths Soil Mechanics PDF

Smit h’s
Elements of Soil Mechanics

9 TH EDITION
Ian Smith
Head of the School of Engineering and the Built Environment
Edinburgh Napier University
This edition rst published 2014
© 2014 by John Wiley & Sons, Ltd
© 2006 Ian S ith
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Set in 11 pt enirLTStd by Toppan est set re edia Li ited
1 2014
Contents
About the Author ix

Preface x
Notation Index xi
About the Companion Website xvi
1 Classi cat ion and Physical Propert ies of Soils 1

1.1 Agricultural and engineering soil 1
1.2 Engineering de nitions 2
1. Cla soils
1. ield identi cation of soils
1. aborator classi cation of soils
1. Activit of a cla 1
1. oil classi cation and description 1
1. oil properties 21
Exercises
2 Permeabilit y and Flow of Wat er in Soils 33

2.1 ubsurface ater
2.2 lo of ater through soils
2. arc ’s la of saturated o
2. Coef cient of permeabilit
2. etermination of permeabilit in the laborator
2. etermination of permeabilit in the eld
2. Approximation of coef cient of permeabilit 2
2. eneral differential e uation of o 2
2. Potential and stream functions
2.1 lo nets
2.11 Critical o conditions
2.12 esign of soil lters 1
2.1 Capillarit and unsaturated soils
2.1 Earth dams
2.1 eepage through non uniform soil deposits 2
Exercises 1
3 Tot al and Effect ive St ress

.1 tate of stress in a soil mass
.2 otal stress
. Pore pressure
. Effective stress
. tresses induced b applied loads
Exercises
v
vi Contents
Shear St ren t h of Soils 1

.1 riction 1
.2 Complex stress 1
. he ohr circle diagram 2
. Cohesion
. Coulomb’s la of soil shear strength
. odi ed Coulomb’s la
. he ohr–Coulomb ield theor
. etermination of the shear strength parameters
. etermination of the shear strength parameters from triaxial testing 1
.1 he pore pressure coef cients A and 112
.11 he triaxial extension test 11
.12 ehaviour of soils under shear 11
.1 perative strengths of soils 122
.1 he critical state 12
.1 ensitivit of cla s 12
.1 esidual strength of soil 1
Exercises 1
E rocode 13
.1 Introduction to the tructural Eurocodes 1
.2 Introduction to Eurocode 1
. sing Eurocode basis of geotechnical design 1
. eotechnical design b calculation 1
. ltimate limit states 1
. he E limit state 1
. he E limit state and design approaches 1
. erviceabilit limit states 1
. eotechnical design report 1
Sit e nvest i at ion 1

.1 EN 1 22 – round investigation and testing 1
.2 Planning of ground investigations 1
. ite exploration methods 1
. oil and roc sampling 1
. round ater measurements 1
. ield tests in soil and roc 1 2
. eotechnical reports 1
at eral Eart h Press re 1 3

.1 Earth pressure at rest 1
.2 Active and passive earth pressure 1
. an ine’s theor granular soils active earth pressure 1
. an ine’s theor granular soils passive earth pressure 1
. an ine’s theor cohesive soils 1 1
. Coulomb’s edge theor active earth pressure 1
. Coulomb’s edge theor passive earth pressure 2 2
. urcharges 2
. Choice of method for determination of active pressure 21
.1 ac ll material 21
.11 In uence of all ield on design 21
.12 esign parameters for different soil t pes 21
Exercises 21
Cont ents vii
et ainin St r ct res 221

.1 ain t pes of retaining structures 221
.2 ravit alls 221
. Embedded alls 22
. ailure modes of retaining structures 22
. esign of gravit retaining alls 22
. esign of sheet pile alls 2
. raced excavations 2
. einforced soil 2
. oil nailing 2 1
Exercises 2 2
earin Capacit y and Shallow Fo ndat ions 2

.1 earing capacit terms 2
.2 pes of foundation 2
. ltimate bearing capacit of a foundation 2
. etermination of the safe bearing capacit 2
. he effect of ground ater on bearing capacit 2
. evelopments in bearing capacit e uations 2
. esigning spread foundations to Eurocode 2
. Non homogeneous soil conditions 2
. Estimates of bearing capacit from in situ testing 2
Exercises 2
1 Pile Fo ndat ions 2

1 .1 Introduction 2
1 .2 Classi cation of piles 2
1 . ethod of installation 2 1
1 . Pile load testing 2
1 . etermination of the bearing capacit of a pile 2
1 . esigning pile foundations to Eurocode
1 . Pile groups 11
Exercises 1
11 Fo ndat ion Set t lement and Soil Compression 31

11.1 ettlement of a foundation 1
11.2 Immediate settlement 1
11. Consolidation settlement 2
11. Application of consolidation test results
11. eneral consolidation
11. Eurocode serviceabilit limit state
11. Isotropic consolidation
11. o dimensional stress paths
Exercises 2
12 at e of Fo ndat ion Set t lement 3

12.1 Analog of consolidation settlement
12.2 istribution of the initial excess pore pressure ui
12. er aghi’s theor of consolidation
12. Average degree of consolidation
12. rainage path length
12. etermination of the coef cient of consolidation cv from the consolidation test
12. etermination of the permeabilit coef cient from the consolidation test 2
viii Cont ents
12. etermination of the consolidation coef cient from the triaxial test 2
12. he model la of consolidation
12.1 Consolidation during construction
12.11 Consolidation b drainage in t o and three dimensions
12.12 Numerical determination of consolidation rates
12.1 Construction pore pressures in an earth dam
12.1 Numerical solutions for t o and three dimensional consolidation
12.1 and drains
Exercises
13 St abilit y of Slopes 3
1 .1 Planar failures
1 .2 otational failures
1 . lope stabilit design charts
1 . Wedge failure 1
1 . lope stabilit anal sis to Eurocode 1
Exercises 21
1 Compact ion and Soil echanics spect s of i hway esi n 32

1 .1 ield compaction of soils 2
1 .2 aborator compaction of soils
1 . peci cation of the eld compacted densit 1
1 . ield measurement tests 2
1 . igh a design
Exercises
eferences
Index
About the Author
Ian Smith is Head of the School of Engineering and the Built Environment at Edinburgh Napier University.
He has taught Geotechnical Engineering at the university for nearly 2 years having spent some years
beforehand or ing in the site investigation industry. He is an authority on the use of Eurocode in
geotechnical design and has instructed designers and academics in the use of the code throughout the
U Europe and in hina.
ix
Preface
When I wrote the 8th Edition of this book in 2005, only Part 1 of Eurocode 7 had been published In that
Edition, I illustrated how eotechnical desi n to the new Eurocode was to be carried out and the feedback
that I recei ed indicated that readers found y approaches easy to follow etween 2007 and 2010, Part
2 of the code and both ational nne es to the code were published and uch of the new aterial
in this th Edition has been de eloped around the now co plete set of docu ents
o help the reader fully understand the sta es of a Eurocode 7 desi n, I ha e rearran ed the se uence
of chapters in the book and written two new chapters around the co plete desi n process hapter 5
describes the desi n ethods ali nin to Eurocode 7 Part 1 and hapter describes the round in es
ti ation aspects ali nin to Part 2 he speci c desi n ethods to be used for arious eotechnical
structures are described in the later chapters, which co er retainin walls, shallow and deep foundations
and slopes he early chapters of the book co er the funda entals of the beha iour of soils
I ha e pro ided any worked e a ples throu hout the book that illustrate the principles of soil echan
ics and the eotechnical desi n processes o help the reader further, I ha e produced a suite of spread
sheets and docu ents to acco pany the book that atch up a ainst any of the worked e a ples
hese can be used to better understand the analysis bein adopted in the e a ples, which are particularly
bene cial to understandin the Eurocode 7 desi n e a ples In addition, I ha e produced the solutions
to the e ercises at the end of the chapters as a series of portable docu ent for at pdf les ll of these
les can be freely downloaded fro www wiley co o s ith soil
Whilst the full content of both parts of Eurocode 7 has dri en the bulk of the new aterial in this edition,
I ha e also updated other aspects of the te t throu hout his was done in reco nition that so e aspects
of the book had beco e dated as a result of the introduction of new ethods and standards urther ore,
the for at of the book has been i pro ed to aid readability and thus help the reader in understandin
the aterial ll in all, I belie e that I ha e produced a aluable and ery up to date te tbook on soil
echanics fro which the learnin of the sub ect should be ade easier
I ust thank y collea ues r aniel arreto and r ohn c ou all for their ad ice on the re isions
I ha e ade to the sections on shear stren th and unsaturated soils
x
Notation Index
The following is a list of the more important symbols used in the text.
A Area, pore pressure coef cient

A′ Effective foundation area
Ab Area of base of pile
As Area of surface of embedded length of pile shaft
B Width, diameter, pore pressure coef cient, foundation width
B′ Effective foundation width
ohesive force, constant
a Area ratio
ompression index, soil compressibility
T orrection factor
r tatic cone resistance
s onstant of compressibility
u niformity coef cient
v oid uid compressibility
iameter, depth factor, foundation depth, embedded length of pile
W epth of groundwater table
r elative density
, utting shoe diameters
Effective particle si e
E odulus of elasticity, ef ciency of pile group
Ed Eurocode design value of effect of actions
Edst d Eurocode design value of effect of destabilising actions
Estb d Eurocode design value of effect of stabilising actions
E ressuremeter modulus
Er T Energy ratio
actor of safety
b actor of safety on pile base resistance
cd Eurocode design axial compression load on a pile
d Eurocode design value of an action
rep Eurocode representative value of an action
s actor of safety on pile shaft resistance
dst d Eurocode design value of destabilising permanent vertical action uplift
s article speci c gravity
stb d Eurocode design value of stabilising permanent vertical action uplift
G′stb ;d Eurocode design value of stabilising permanent vertical action heave
W roundwater level
Thic ness, height, hori ontal load
ndex, moment of inertia
ensity index
xi
xii Notation Index
i uidity index
lasticity index
σ ertical stress in uence factor
actor, ratio of σ σ
a oef cient of active earth pressure
oef cient of earth pressure at rest
p oef cient of passive earth pressure
s ile constant
ength
′ Effective foundation length
oment, slope pro ection of critical state line, mass, mobilisation factor
s ass of solids
w ass of water
oisture condition value
umber, stability number, speci c volume for ln p′ = one dimensional consolidation ,
uncorrected blow count in T
umber of blows from the T corrected to energy losses
umber of blows from the T corrected to energy losses and normalised for effective
vertical overburden stress
c , , γ Bearing capacity coef cients
orce
a Thrust due to active earth pressure
p Thrust due to passive earth pressure
w Thrust due to water or seepage forces
Total uantity of ow in time t
b ltimate soil strength at pile base
s ltimate soil strength around pile shaft
u ltimate load carrying capacity of pile
adius, reaction
b cal Eurocode calculated value of pile base resistance
b Eurocode characteristic value of pile base resistance
c Eurocode compressive resistance of ground against a pile at ultimate limit state
c cal Eurocode calculated value of c
cd Eurocode design value of c
c Eurocode characteristic value of c
cm Eurocode measured value of c
d Eurocode design resisting force
o verconsolidation ratio one dimensional
p verconsolidation ratio isotropic
s cal Eurocode calculated value of pile shaft resistance
s Eurocode characteristic value of pile shaft resistance
ane shear strength
dst d Eurocode design value of destabilising seepage force
r egree of saturation
t ensitivity
T Time factor, tangential force, surface tension, tor ue
Td Eurocode design value of total shearing resistance around structure
Average degree of consolidation
egree of consolidation at a point at depth
olume, vertical load
a olume of air
dst d Eurocode design value of destabilising vertical action on a structure
Notation Index xiii
s olume of solids
v olume of voids
w olume of water
W Weight
Ws Weight of solids
Ww Weight of water
d Eurocode design value of a material property
Eurocode representative value of a material property
ection modulus
a Area, intercept of calibration line with w axis

b Width, slope of calibration line
c nit cohesion
c′ nit cohesion with respect to effective stresses
cb ndisturbed soil shear strength at pile base
cd′ Eurocode design value of effective cohesion
cr esidual value of cohesion
cu ndrained unit cohesion
cu Average undrained shear strength of soil
cu d Eurocode design value of undrained shear strength
cv oef cient of consolidation
cw nit cohesion between wall and soil
d ile penetration, pile diameter
d c, d , d γ epth factors
e oid ratio, eccentricity
fs ltimate s in friction for piles
g ravitational acceleration
h ydrostatic head, height
hc apillary rise, tension crac depth
he E uivalent height of soil
hw Excess head
i ydraulic gradient
ic ritical hydraulic gradient
ic, i , iγ nclination factors
oef cient of permeability
l ength
m tability coef cient
mB, m Eurocode load inclination factor parameters
mv oef cient of volume compressibility
n orosity, stability coef cient
p ressure, mean pressure
pa Active earth pressure
pc reconsolidation pressure one dimensional
p e′ E uivalent consolidation pressure isotropic
p ressuremeter limit pressure
p Earth pressure at rest
p m′ reconsolidation pressure isotropic
p o′ Effective overburden pressure
pp assive earth pressure
nit uantity of ow, deviator stress, uniform surcharge, bearing pressure
a Allowable bearing pressure
u ltimate bearing capacity
xiv Notat ion Index
u net et ultimate bearing capacity

r adius, radial distance, nite difference constant
ru ore pressure ratio
s uction value of soil, stress parameter
sc, s , sγ hape factors
sw orrected drawdown in pumping well
t Time, stress parameter
u, uw ore water pressure
ua ore air pressure, pore pressure due to σ in a saturated soil
ud ore pressure due to σ − σ in a saturated soil
udst d Eurocode design value of destabilising total pore water pressure
ui nitial pore water pressure
v elocity, speci c volume
w Water, or moisture, content
w i uid limit
w lastic limit
ws hrin age limit
x ori ontal distance
y ertical, or hori ontal, distance
ertical distance, depth
a epth of investigation points
o epth of tension crac
w epth below water table
α Angle, pile adhesion factor

β lope angle
Γ Eurocode over design factor, speci c volume at ln ′ =
γ nit weight weight density
γ′ ubmerged, buoyant or effective unit weight effective weight density
γA Eurocode partial factor accidental action – unfavourable
γb Bul unit weight bul weight density , Eurocode partial factor pile base resistance
γ c′ Eurocode partial factor effective cohesion
γcu Eurocode partial factor undrained shear strength
γd ry unit weight dry weight density
γ Eurocode partial factor for an action
γ dst Eurocode partial factor E permanent action – destabilising
γ stb Eurocode partial factor E permanent action – stabilising
γ fav Eurocode partial factor E permanent action – favourable
γ unfav Eurocode partial factor E permanent action – unfavourable
γ Eurocode partial factor for a soil parameter
γ Eurocode partial factor variable action – unfavourable
γu Eurocode partial factor uncon ned compressive strength
γ Eurocode partial factor for a resistance
γe Eurocode partial factor earth resistance
γh Eurocode partial factor sliding resistance
γv Eurocode partial factor bearing resistance
γs Eurocode partial factor pile shaft resistance
γsat aturated unit weight saturated weight density
γt Eurocode partial factor pile total resistance
γw nit weight of water weight density of water
γγ Eurocode partial factor weight density
γ φ′ Eurocode partial factor angle of shearing resistance
Not ation Index xv
δ round–structure interface friction angle

ε train
θ Angle subtended at centre of slip circle
κ lope of swelling line
λ lope of normal consolidation line
μ ettlement coef cient, one micron
ν oisson’s ratio
ξ,ξ Eurocode correlation factors to evaluate results of static pile load tests
ξ,ξ Eurocode correlation factors to derive pile resistance from ground investigation results
ρ ensity, settlement
ρ′ ubmerged, buoyant or effective density
ρb Bul density
ρc onsolidation settlement
ρd ry density
ρi mmediate settlement
ρsat aturated density
ρw ensity of water
σ Total normal stress
σ′ Effective normal stress
σa, σa′ Total, effective axial stress
σe′ E uivalent consolidation pressure one dimensional
σr, σr′ Total, effective radial stress
σstb d Eurocode design value of stabilising total vertical stress
σv′ Effective overburden pressure
σv′ Average effective overburden pressure
σ,σ,σ Total ma or, intermediate and minor stress
σ1′, σ2′ , σ3′ Effective ma or, intermediate and minor stress
τ hear stress
φu Angle of shearing resistance with respect to total stresses =
φ′ Angle of shearing resistance with respect to effective stresses
φcv ritical state, or constant volume, angle of shearing resistance
φcv d esign value of critical state angle of shearing resistance
φd′ esign value of φ′
ψ Angle of bac of wall to hori ontal
About the Companion Website
The book’s companion website www.wiley.com/go/smith/soil provides you with resources and downloads
to further your understanding of the fundamentals of soil mechanics and the use of Eurocode 7:
● A suite of editable spreadsheets which map onto the worked e amples in the book showing how they
are solved.
● olutions to the end of chapter e ercises including the full workings.
● onvenient tables with useful data and formulae.
xvi
Ch a p t e r 1
Classi cation and Physical
Properties of Soils
In the eld o i il en inee in , nea ly all o e ts a e built on to, o into, the ound. Whethe the o e t
is a st u tu e, a oad ay, a tunnel, o a b id e, the natu e o the soil at that lo ation is o eat im o tan e
to the i il en inee . Geotechnical engineering is the te m i en to the b an h o en inee in that is
on e ned ith as e ts e tainin to the ound. Soil me hani s is the sub e t ithin this b an h that
loo s at the beha iou o soils in i il en inee in .
eote hni al en inee s a e not the only o essionals inte ested in the ound soil hysi ists, a i ul
tu al en inee s, a me s and a dene s all ta e an inte est in the ty es o soil ith hi h they a e o in .
hese o e s, ho e e , on e n themsel es mostly ith the o ani to soils ound at the soil su a e.
In ont ast, eote hni al en inee s a e mainly inte ested in the en inee in soils ound beneath the
to soil. It is the en inee in o e ties and beha iou o these soils hi h a e thei on e n.
1.1 Agricultural and engineering soil
I an e a ation is made th ou h e iously undistu bed ound the ollo in mate ials a e usually en oun
te ed i . 1.1 .
Topsoil
laye o o ani soil, usually not mo e than 00 mm thi , in hi h humus hi hly o ani a tly de om
osed e etable matte is o ten ound.
Subsoil
he o tion o the Ea th’s ust a e ted by u ent eathe in , and lyin bet een the to soil and the
un eathe ed soil belo .
Hardpan
In humid limates humi a id an be o med by ain ate ausin de om osition o humus. his a id
lea hes out i on and alumina o ides do n into the lo e laye s he e they a t as ementation a ents to
o m a ha d, o li e mate ial. a d an is di ult to e a ate and, as it does not so ten hen et, has
a hi h esistan e to no mal soil d illin methods. ha d an laye is sometimes ound at the un tion o
the to soil and the subsoil.
Smith’s Elements of Soil Mechanics, 9t h Edition. Ian Smith.

© 2014 John Wiley & Sons, Ltd. Published 2014 by John Wiley & Sons, Ltd.
1
2 Smith’s Elements of Soil Mechanics
Fig. 1.1 ate ials en ounte ed du in e a ation.
Soil
he so t eolo i al de osits e tendin om the subsoil to bed o . In some soils the e is a e tain amount
o ementation bet een the ains hi h a e ts the hysi al o e ties o the soil. I this ementation is
su h that a o ha d mate ial has been odu ed, then the mate ial must be des ibed as o . ou h
ule is that i the mate ial an be e a ated by hand o hand tools, then it is a soil.
Groundwater
ese oi o unde ound ate . he u e su a e o this ate may o u at any de th and is no n
as the ate table o ound ate le el WL .
1.2 Engineering de nitions
eolo ists lass all items o the Ea th’s ust as o , hethe ha d o so t de osits. i il en inee s on
side o and soil se a ately.
1.2.1 Roc
o s a e made om a ious ty es o mine als. ine als a e substan es o ystalline o m made u om
a a ti ula hemi al ombination. he main mine als ound in o s in lude ua t , elds a , al ite and
mi a. eolo ists lassi y all o s into th ee basi ou s igneous, sedimentary and metamorphic.
Igneous rocks
hese o s ha e be ome solid om a melted li uid state. Extrusive i neous o s a e those that a i ed
on the su a e o the Ea th as molten la a and ooled. Intrusive i neous o s a e o med om ma ma
molten o that o ed itsel th ou h a s into the o beds belo the su a e and solidi ed the e.
E am les o i neous o s granite, basalt, gabbro.
Sedimentary rocks
Weathe in edu es the o mass in to a mented a ti les, hi h an be mo e easily t ans o ted by
ind, ate and i e. When d o ed by the a ents o eathe in , they a e te med sediments. hese sedi
Classi cation and Physical Properties of Soils
ments a e ty i ally de osited in laye s o beds alled st ata and hen om a ted and emented to ethe
lithi ation they o m sedimenta y o s.
E am les o sedimenta y o s shale, sandstone, chalk.
Metamorphic rocks
etamo hism th ou h hi h tem e atu es and essu es a tin on sedimenta y o i neous o s o
du es metamo hi o s. he o i inal o unde oes both hemi al and hysi al alte ations.
E am les o metamo hi o s slate, uart ite, marble.
1.2.2 Soil
he a tions o ost, tem e atu e, a ity, ind, ain and hemi al eathe in a e ontinually o min
o a ti les that e entually be ome soils. he e a e th ee ty es o soil hen onside in modes o
o mation.
Transported soil (gravels, sands, silts and clays)

ost soils ha e been t ans o ted by ate . s a st eam o i e loses its elo ity it tends to de osit some
o the a ti les that it is a yin , d o in the la e , hea ie a ti les st. en e, on the hi he ea hes
o a i e , a el and sand a e ound hilst on the lo e o olde a ts, silts and lays edominate, es e
ially he e the i e ente s the sea o a la e and loses its elo ity. I e has been anothe im o tant t ans
o tation a ent, and la e de osits o boulde lay and mo aine a e o ten en ounte ed.
In a id a ts o the o ld, ind is ontinually o min sand de osits in the o m o id es. he sand
a ti les in these id es ha e been mo e o less olled alon and a e in a iably ounded and ai ly uni o m
in si e. Li ht b o n, ind blo n de osits o silt si e a ti les, no n as loess, a e o ten en ounte ed in
thin laye s, the a ti les ha in sometimes t a elled onside able distan es.
esidual soil (topsoil, laterites)

hese soils a e o med in situ by hemi al eathe in and may be ound on le el o su a es he e the
a tion o the elements has odu ed a soil ith little tenden y to mo e. esidual soils an also o u
hene e the ate o b ea u o the o e eeds the ate o emo al. I the a ent o is i neous o
metamo hi the esultin soil si es an e om silt to a el.
Late ites a e o med by hemi al eathe in unde a m, humid t o i al onditions hen the ain ate
lea hes out o the soluble o mate ial lea in behind the insoluble hyd o ides o i on and aluminium,
i in them thei ha a te isti ed b o n olou .
rganic soil
hese soils ontain la e amounts o de om osed animal and e etable matte . hey a e usually da in
olou and i e o a distin ti e odou . e osits o o ani silts and lays ha e usually been eated om
i e o la e sediments. Peat is a s e ial o m o o ani soil and is a da b o n s on y mate ial hi h
almost enti ely onsists o li htly to ully de om osed e etable matte . It e ists in one o th ee o ms
● ibrous on lasti ith a m st u tu e only sli htly alte ed by de ay.

● seudo brous Peat in this o m still has a b ous a ea an e but is mu h so te and mo e lasti
than b ous eat. he han e is due mo e to olon ed subme en e in ai less ate than to
de om osition.
● morphous With this ty e o eat, de om osition has dest oyed the o i inal b ous e etable st u
tu e so that it has i tually be ome an o ani lay.
Smith’s Elements of Soil Mechanics
Peat de osits o u e tensi ely th ou hout the o ld and an be e t emely t oublesome hen en oun
te ed in i il en inee in o .
1.2. ranular and cohesi e soils

eote hni al en inee s lassi y soils as eithe granular o cohesive. anula soils sometimes e e ed to
as cohesionless soils a e o med om loose a ti les ithout st on inte a ti le o es, e. . sands and
a els. ohesi e soils e. . lays, layey silts a e made om a ti les bound to ethe ith lay mine als.
he a ti les a e a y and sheet li e and etain a si ni ant amount o adso bed ate on thei su a es.
he ability o the sheet li e a ti les to slide elati e to one anothe , i es a ohesi e soil the o e ty
no n as plasticity.
1. Clay soils
It is ene ally belie ed that o a ments an be edu ed by me hani al means to a limitin si e o

about 0.002 mm, so that a soil ontainin a ti les abo e this si e has a mine al ontent simila to the
a ent o om hi h it as eated.
o the odu tion o a ti les smalle than 0.002 mm some o m o hemi al a tion is ene ally ne es
sa y be o e b ea do n an be a hie ed. Su h a ti les, althou h ha in a hemi al ontent simila to the
a ent o , ha e a di e ent ystalline st u tu e and a e no n as lay a ti les. n e e tion is o
ou , o ains smalle than 0.002 mm, odu ed by the la ial a tion o o s indin a ainst ea h
othe .
1. .1 Classes of clay minerals

he mine als onstitutin a lay a e in a iably the esult o the hemi al eathe in o o a ti les and
a e hyd ates o aluminium, i on o ma nesium sili ate ene ally ombined in su h a manne , as to eate
sheet li e st u tu es only a e mole ules thi . hese sheets a e built om t o basi units, the tet ahed al
unit o sili a and the o tahed al unit o the hyd o ide o aluminium, i on o ma nesium. he main dimen
sion o a lay a ti le is usually less than 0.002 mm and the di e ent ty es o mine als ha e been eated
om the manne in hi h these st u tu es e e sta ed to ethe .
he th ee main ou s o lay mine als a e as ollo s.
aolinit e group
his mine al is the most dominant a t o esidual lay de osits and is made u om la e sta s o
alte natin sin le tet ahed al sheets o sili ate and o tahed al sheets o aluminium. aolinites a e e y
stable ith a st on st u tu e and abso b little ate . hey ha e lo s ellin and sh in a e es onses to
ate ontent a iation.
Illite group
onsists o a se ies o sin le o tahed al sheets o aluminium sand i hed bet een t o tet ahed al sheets
o sili on. In the o tahed al sheets some o the aluminium is e la ed by i on and ma nesium and in the
tet ahed al sheets the e is a a tial e la ement o sili on by aluminium. Illites tend to abso b mo e ate
than aolinites and ha e hi he s ellin and sh in a e ha a te isti s.
Montmorillonite group
his mine al has a simila st u tu e to the illite ou but, in the tet ahed al sheets, some o the sili on is
e la ed by i on, ma nesium and aluminium. ontmo illonites e hibit e t emely hi h ate abso tion,
s ellin and sh in a e ha a te isti s. entonite is a membe o this mine al ou and is usually o med
om eathe ed ol ani ash. e ause o its la e e ansi e o e ties hen it is mi ed ith ate it is
mu h in demand as a ene al out in the lu in o lea s in ese oi s and tunnels. It is also used as a
d illin mud o soil bo in s.
eade s inte ested in this sub e t o lay mine alo y a e e e ed to the ubli ation by u ay 200 .
1. .2 Struct ure of a clay deposit

Macrostructure
he isible eatu es o a lay de osit olle ti ely o m its ma ost u tu e and in lude su h eatu es as s
su es, oot holes, beddin atte ns, silt and sand seams o lenses and othe dis ontinuities.
study o the ma ost u tu e is im o tant as it usually has an e e t on the beha iou o the soil mass.
o e am le the st en th o an un ssu ed lay mass is mu h st on e than alon a a .
Microstruct ure
he st u tu al a an ement o mi os o i si ed lay a ti les, o ou s o a ti les, de nes the mi o
st u tu e o a lay de osit. lay de osits ha e been laid do n unde ate and e e eated by the
settlement and de osition o lay a ti les out o sus ension. ten du in thei de osition, the a tion
o an de Waals o es att a ted lay a ti les to ethe and eated o ulant, o honey ombed, st u
tu es hi h, althou h still mi os o i , a e o onside ably eate olume than sin le lay a ti les. Su h
ou s o lay a ti les a e e e ed to as lay o s.
1. ield identi cation of soils
a els, sands and eats a e easily e o nisable, but di ulty a ises in de idin hen a soil is a ne sand
o a oa se silt o hen it is a ne silt o a lay. he ollo in ules may, ho e e , hel
Fine sand Silt Clay
Indi idual a ti les isible Some a ti les isible o a ti les isible

E hibits dilatan y E hibits dilatan y o dilatan y
Easy to umble and alls o Easy to umble and an be a d to umble and sti s to hands
hands hen d y dusted o hands hen d y hen d y
eels itty eels ou h eels smooth
o lasti ity Some lasti ity Plasti ity
he dilatan y test in ol es mouldin a small amount o soil in the alm o the hand i ate is seen to e ede hen the soil
is essed, then it is eithe a sand o a silt.
ani silts and lays a e in a iably da ey to blue bla in olou and i e o a ha a te isti odou ,
a ti ula ly ith esh sam les.
he ondition o a lay e y mu h de ends u on its de ee o consolidation. t one e t eme, a so t
no mally onsolidated lay an be moulded by the n e s he eas, at the othe e t eme, a ha d o e
onsolidated lay annot. onsolidation is des ibed in ha te 11.
ommon t ypes o soil

In the eld, soils a e usually ound in the o m o a mi tu e o om onents, e. . silty lay, sandy silt, et .
Lo al names a e sometimes used o soil ty es that o u ithin a a ti ula e ion. e. . London lay.
Smit h’s Elements of Soil Mechanics
oulde lay, also e e ed to as la ial till, is an unst ati ed and i e ula mi tu e o boulde s, obbles,
a el, sand, silt and lay o la ial o i in. In s ite o its name boulde lay is not a u e lay and ontains
mo e anula mate ial than lay a ti les. o aines a e a el and sand de osits o la ial o i in. Loam
is a so t de osit onsistin o a mi tu e o sand, silt and lay in a o imately e ual uantities. ill is soil
e a ated om a ‘bo o ’ a ea hi h is used o llin hollo s o o the onst u tion o ea th ll st u
tu es, su h as dams o emban ments. ill ill sometimes ontain man made mate ial su h as ushed
on ete o b i s om demolished buildin s.
1. a oratory classi cation of soils
Soil lassi ation enables the en inee to assi n a soil to one o a limited numbe o ou s, based on
the mate ial o e ties and ha a te isti s o the soil. he lassi ation ou s a e then used as a system
o e e en e o soils. Soils an be lassi ed in the eld o in the labo ato y. ield te hni ues a e usually
based u on isual e o nition as des ibed abo e. Labo ato y te hni ues in ol e se e al s e ialised tests.
1. .1 rying soils
Soils an be eithe o en o ai d ied. It has be ome standa d a ti e to o en d y soils at a tem e atu e
o 10 ° but it should be emembe ed that some soils an be dama ed by su h a tem e atu e. en
d yin is ne essa y o ate ontent and a ti le s e i a ity see Se tion 1. . tests but ai d yin
should be used hene e ossible o othe soil tests that also e ui e the test sam le to be d y.
1. .2 eterm inat ion of at er content

he most ommon ay o e essin the amount o ate esent in a soil is the ate ontent. he ate
ontent, also alled the moistu e ontent, is i en the symbol and is the atio o the amount o ate
to the amount o d y soil.
Weight of water Ww Mass of water M w

w= = o w= =
Weight of solids Ws Mass of solids M s
is usually e essed as a e enta e and should be uoted to t o si ni ant u es.
E ample 1.1 ater content determination
sam le o soil as la ed in a ate ontent tin o mass 19. 2 . he ombined mass

o the soil and the tin as 4 .2 . te o en d yin the soil and the tin had a mass o
42. 1 .
ete mine the ate ontent o the soil.
Solut ion:
Mw 48.27 − 42.31 5.96
w= = = = 0.262 = 26%
Ms 42.31− 19.52 22.79
Classi cat ion and Physical Propert ies of Soils
1. . ranular soils – particle si e dist ri ut ion

standa dised system hel s to eliminate human e o in the lassi ation o soils. he usual method is
based on the dete mination o the a ti le si e dist ibution by sha in an o en d ied sam le o the soil
usually a te ashin the sam le o e a μm sie e th ou h a set o sie es and e o din the mass
etained on ea h sie e. he lassi ation system ado ted by the itish Standa ds Institution is the as
sa husetts Institute o e hnolo y I system. he bounda ies de ned by this system an be seen on
the a ti le si e dist ibution sheet in i . 1.2. he esults o the sie e analysis a e lotted ith the a ti le
si es ho i ontal and the summation e enta es e ti al. s soil a ti les a y in si e om mole ula to
boulde it is ne essa y to use a lo s ale o the ho i ontal lot so that the ull an e an be sho n on
the one sheet.
he smallest a e tu e ene ally used in soils o is that o the 0.0 mm si e sie e. elo this si e i.e.
silt si es the dist ibution u e must be obtained by sedimentation i ette o hyd omete . nless a
ent i u e is used, it is not ossible to dete mine the an e o lay si es in a soil, and all that an be done
is to obtain the total e enta e o lay si es esent. ull des i tion o these tests is i en in S 1
Pa t 2. SI, 1990 .
E am les o a ti le si e dist ibution o adin u es o di e ent soil ty es a e sho n in i . 1.9.
om these adin u es it is ossible to dete mine o ea h soil the total e enta e o a a ti ula
si e and the e enta e o a ti le si es la e o smalle than any a ti ula a ti le si e.
The e ective si e o a distribution,

n im o tant a ti le si e ithin a soil dist ibution is the e e ti e si e hi h is the la est si e o the
smallest 10 . It is i en the symbol 10. the a ti le si es, su h as 0 and , a e de ned in the same
manne .
Grading o a dist ribut ion

o a anula soil the sha e o its adin u e indi ates the dist ibution o the soil a ti les ithin it.
I the sha e o the u e is not too stee and is mo e o less onstant o e the ull an e o the soil’s
a ti le si es then the a ti le si e dist ibution e tends e enly o e the an e o the a ti le si es ithin
the soil and the e is no de ien y o e ess o any a ti ula a ti le si e. Su h a soil is said to be ell
graded.
I the soil has any othe o m o dist ibution u e then it is said to be poorly graded. o din to thei
dist ibution u es the e a e t o ty es o oo ly aded soil
● i the ma o a t o the u e is stee then the soil has a a ti le si e dist ibution e tendin o e a
limited an e ith most a ti les tendin to be about the same si e. he soil is said to be closely graded
o , mo e ommonly, uniformly graded
● i a soil has la e e enta es o its bi e and smalle a ti les and only a small e enta e o the
inte mediate si es then its adin u e ill e hibit a si ni antly at se tion o lateau. Su h a soil is
said to be gap graded.
The uni ormity coe cient u
he adin o a soil is best dete mined by di e t obse ation o its a ti le si e dist ibution u e. his
an be di ult o those studyin the sub e t o the st time but some uidan e an be obtained by
the use o a adin a amete , no n as the uni o mity oe ient.
D 60
Cu =
D10
I u < 4.0 then the soil is uni o mly aded.

I u > 4.0 then the soil is eithe ell aded o a and a lan e at the adin u e should be su
ient o the eade to de ide hi h is the o e t des i tion.
E ample 1.2 Particle si e distri ution
he esults o a sie e analysis on a soil sam le ee
Sieve size (mm) Mass ret ained (g)
10 0.0
. .
2 2 .
1 2 .1
0. 22.0
0. 1 .
0.1 12.
0.0 .9
2. assed th ou h the μm sie e.

Plot the a ti le si e dist ibution u e and dete mine the uni o mity oe ient o
the soil.
Solut ion:
he aim is to dete mine the e enta e o soil by mass assin th ou h ea h sie e.
o do this the e enta e etained on ea h sie e is dete mined and subt a ted om
the e enta e assin th ou h the e ious sie e. his i es the e enta e assin
th ou h the u ent sie e.
al ulations may be set out as ollo s
Sieve size Mass ret ained Percent age ret ained Percent age passing
(mm) (g) (%) (%)
10 0.0 0 100
. . 9
2 2 . 22
1 2 .1 20
0. 22.0 19 4
0. 1 . 1 19
0.1 12. 11
0.0 .9 2
Pass 0.0 2. 2
otal mass 11 .
e. . sie e si e 2 mm
25.7
Percentage retained = × 100 = 22%
115.5
Percentage passing = 95 − 22 = 73%
he a ti le si e dist ibution u e is sho n in i . 1.2. he soil has a o imate o o

tions o 0 a el and 0 sand.
D60 1 .5
D10 = 0.17 mm; D60 = 1.5 mm; Cu = = = 8 .8
D10 0.17
Fig. 1.2 E am le 1.2.
1. . Cohesi e soils – consistency limit or inde tests

he esults o the adin tests des ibed abo e an only lassi y a soil ith e a d to its a ti le si e
dist ibution. hey do not indi ate hethe the ne ained a ti les ill e hibit the lasti ity ene ally
asso iated ith ne ained soils. en e, althou h a a ti le si e analysis ill om letely de ne a a el
and a sand it is ne essa y to a y out lasti ity tests in o de to ully lassi y a lay o a ne silt.
hese tests e e e ol ed by tte be 1911 and dete mine the a ious alues o ate ontent at
hi h han es in a soil’s st en th ha a te isti s o u . s an int odu tion to these tests let us onside
the e e t on the st en th and om essibility o a soil as the amount o ate ithin it is a ied. With a
ohesionless soil, i.e. a a el o a sand, both a amete s a e only sli htly a e ted by a han e in ate
ontent he eas a ohesi e soil, i.e. a silt o a lay, tends to be ome onside ably st on e and less om
essible, i.e. less easy to mould, as it d ies out.
Let us onside a ohesi e soil ith an e t emely hi h ate ontent, i.e. a sus ension o soil a ti les
in ate . he soil beha es as a li uid and i an attem t is made to a ly a shea st ess the e ill be on
tinual de o mation ith no si n o a ailu e st ess alue. I the soil is allo ed to slo ly d y out a oint ill
be ea hed he e the soil ust be ins to e hibit a small shea esistan e. I the shea st ess e e emo ed
it ill be ound that the soil has e e ien ed a e manent de o mation it is no a tin as a lasti solid
and not as a li uid.
i uid limit (w ) and plast ic lim it (w )

he ate ontent at hi h the soil sto s a tin as a li uid and sta ts a tin as a lasti solid is no n
as the li uid limit L o LL see i . 1. .
Fig. 1. Shea st ess de o mation elationshi s at di e ent ate ontents.
s u the moistu e is d i en om the soil it be omes ossible o the soil to esist la e shea in
st esses. E entually the soil e hibits no e manent de o mation and sim ly a tu es ith no lasti de o
mation, i.e. it a ts as a b ittle solid. he limit at hi h lasti ailu e han es to b ittle ailu e is no n as
the plastic limit P o PL see i . 1. a.
last icit y inde (I )

he plasticity index is the an e o ate ontent ithin hi h a soil is lasti the ne the soil the eate
its lasti ity inde .
Plasticity index = Liquid limit − Plastic limit

IP = w L − w P
PI = LL − PL
he shea in st en th to de o mation elationshi ithin the lasti ity an e is illust ated in i . 1. b.
ote he use o the symbols L, P and IP ollo s the e ommendations by the ISS E Le i on 19 .
o e e , the symbols LL, PL and PI a e still used in many ubli ations.
i uidity inde
he li uidity index enables one to om a e a soil’s lasti ity ith its natu al ate ontent .
w − wP
IL =
IP
I IL = 1.0 the soil is at its li uid limit i IL = 0 the soil is at its lasti limit.
Shrinkage limit
I the d yin o ess is olon ed a te the lasti limit has been ea hed the soil ill ontinue to de ease
in olume until a e tain alue o ate ontent is ea hed. his alue is no n as the sh in a e limit and
Classi cat ion and Physical Propert ies of Soils 11
Fig. 1. han es in total olume a ainst ate ontent.
at alues o ate ontent belo this le el the soil is a tially satu ated. In othe o ds, belo the sh in
a e limit the olume o the soil emains onstant ith u the d yin , but the ei ht o the soil de eases
until the soil is ully d ied.
In i . 1.4 the a iation o the total olume o a soil ith its ate ontent is lotted, sho in the osi
tions o the li uid, lasti and sh in a e limits.
et ermination o li uid and plastic limits

i uid limit t est
S1 Pa t 2 s e i es the ollo in th ee methods o dete minin the li uid limit o soil.
1 one penetrometer method de nitive method

etails o the a a atus a e sho n in i . 1. . he soil to be tested is ai d ied and tho ou hly mi ed.
t least 200 o the soil is sie ed th ou h a 42 μm sie e and la ed on a lass late. he soil is then
mi ed ith distilled ate into a aste.
metal u , a o imately mm in diamete and 40 mm dee , is lled ith the aste and the
su a e st u o le el. he one, o mass 0 , is ne t la ed at the ent e o the smoothed soil
su a e and le el ith it. he one is eleased so that it enet ates into the soil and the amount o
enet ation, o e a time e iod o se onds, is measu ed.
he test is no e eated by li tin the one lea , leanin it and llin u the de ession in the
su a e o the soil by addin a little mo e o the et soil.
I the di e en e bet een the t o measu ed enet ations is less than 0. mm then the tests a e
onside ed alid. he a e a e enet ation is noted and a ate ontent dete mination is a ied out
on the soil tested.
he o edu e is e eated at least ou times ith in easin ate ontents. he amount o ate
used th ou hout should be su h that the enet ations obtained lie ithin a an e o 1 to 2 mm.
o obtain the li uid limit the a iation o one enet ation is lotted a ainst ate ontent and the
best st ai ht line is d a n th ou h the e e imental oints. he li uid limit is ta en to be the ate
ontent o es ondin to a one enet ation o 20 mm e essed as a hole numbe .
Fig. 1. Li uid limit a a atus.
2 ne point cone penetrometer method

In this test the o edu e is simila to that des ibed abo e, ith the e e tion that only one oint is
e ui ed. he test is thus ai ly a id. n e the a e a e enet ation o the oint is established, the
ate ontent o the soil is dete mined. he ate ontent is then multi lied by a a to to i e the
li uid limit. he alue o the a to is de endent on both the one enet ation and the an e o ate
ontent ithin hi h the measu ed ate ontent alls. he a to s e e dete mined th ou h e e i
mental o e o med by layton and Ju es 19 .
Method using the asagrande apparatus
ntil 19 this as the only method o dete minin li uid that as e o nised by the itish Standa ds
Institution. lthou h still used o ld ide the test is no la ely su e seded by one enet ation
te hni ues.
last ic limit t est

bout 20 o soil e a ed as in the li uid limit test is used. he soil is mi ed on the lass late ith ust
enou h ate to ma e it su iently lasti o ollin into a ball, hi h is then olled out bet een the
hand and the lass to o m a th ead. he soil is said to be at its lasti limit hen it ust be ins to umble
at a th ead diamete o mm. t this sta e a se tion o the th ead is emo ed o ate ontent dete
mination. he test should be e eated at least on e mo e.
It is inte estin to note that in some ount ies, the one enet omete is used to dete mine both L
and P. he a a atus used onsists o a 0° in luded an le one ith a total mass o . he test is
the same as the li uid limit test in itain, a enet ation o 1 mm i in L and a enet ation o 2 mm
i in P.
Classi cation and Physical Properties of Soils 1
E ample 1. Consistency limits tests
S one enet omete test as a ied out on a sam le o lay ith the ollo in
esults
one enet ation mm 1 .1 1 . 19. 21. 22.

Wate ontent 0.0 2.1 4.1 .0 .2
he esults om the lasti limit test ee
Mass o t in Mass o t in et soil + t in Mass o dry soil + t in

est no. (g) (g) (g)
1 .1 20. 1 .
2 .4 19. 1 .
ete mine the li uid limit, lasti limit and the lasti ity inde o the soil.
Solut ion:
he lot o one enet ation to ate ontent is sho n in i . 1. . he li uid limit is
the ate ontent o es ondin to 20 mm enet ation, i.e. L = .
he lasti limit is dete mined thus
20.7 − 8.7
w P (1) = × 100 = 18.9
18.7 − 8.1
19.6 − 17.8
w P (2) = × 100 = 19.1
17.8 − 8.4
ea e P = 19
he lasti ity inde is the di e en e bet een L and P, i.e.
IP = 55 − 19 = 36%
Fig. 1. E am le 1. .
Fig. 1. elationshi bet een I and lay e enta e a te S em ton, 19 .
1. Acti ity of a clay
In addition to thei use in soil lassi ation, the L and P alues o a lasti soil also i e an indi ation
o the ty es and amount o the lay mine als esent in the soil.
It has been ound that, o a i en soil, the lasti ity inde in eases in o o tion to the e enta e
o lay a ti les in the soil. Indeed, i a ou o soils is e amined and thei IP alues a e lotted a ainst
thei lay e enta es, a st ai ht line, assin th ou h the o i in, is obtained.
I a soil sam le is ta en and its lay e enta e a ti ially a ied, a elationshi bet een IP and lay
e enta e an be obtained. Ea h soil ill ha e its o n st ai ht line be ause, althou h in t o di e in
soils the e enta es o lay may be the same, they ill ontain di e ent mine als.
he elationshi bet een montmo illonite, illite, aolinite and the lasti ity inde is sho n in i . 1. .
he lot o London lay is also sho n on the u e and, om its osition, it is seen that the mine al
ontent o this soil is edominantly illite. London lay has a lay a tion o about 4 e ent and onsists
o illite 0 , aolinite 20 and montmo illonite 10 . he emainin a tion o 4 e ent onsists
o silt ua t , elds a and mi a 44 and sand ua t and elds a 10 .
In i . 1. the slo e o the line is the atio
IP
% clay
S em ton 19 de ned this atio as the activity o the lay. lays ith la e a ti ities a e alled a ti e
lays and e hibit lasti o e ties o e a ide an e o ate ontent alues.
1. Soil classi cation and description
1. .1 Soil classi cat ion systems

Soil lassi ation systems ha e been in use o a e y lon time ith the st e o ded use bein in hina
o e 4000 yea s a o. In 1 9 a soil lassi ation system as o osed by the u eau o Soils, nited
States e a tment o i ultu e in hi h the a ious soil ty es e e lassi ed u ely on a ti le si e and
it is inte estin to note that the limitin si es used a e mo e o less the same as those in use today. u the
im o ed systems allo ed o the lasti ity ha a te isti s o soil and a modi ed o m o the system o
osed by asa ande in 194 is the basis o the soil lassi ation system used in the .
The ritish Soil lassi cat ion System ( S S)

he itish Standa d S 9 0 1999 , ode of practice for site investigations, i es a ull des i tion o
the S S and the eade is ad ised to obtain si ht o a o y.
he system di ides soil into t o main ate o ies. I at least o a soil an ass th ou h a μm sie e
then it is a ne soil. on e sely, i the amount o soil that an ass th ou h the μm sie e is less than
then it is a coarse soil. Ea h ate o y is di ided into ou s, de endin u on the adin o the soil
a ti les not assin the μm sie e and u on the lasti ity ha a te isti s o the soil a ti les assin
the 42 μm sie e.
summa y o the S S is sho n in able 1.1 and its asso iated lasti ity ha t in i . 1. .
o use the lasti ity ha t it is ne essa y to lot a oint hose oo dinates a e the li uid limit and the
lasti ity inde o the soil to be identi ed. he soil is lassi ed by obse in the osition o the oint ela
ti e to the slo in st ai ht line d a n a oss the dia am.
his line, no n as the line, is an em i i al bounda y bet een ino ani lays, hose oints lie abo e
the line, and o ani silts and lays hose oints lie belo . he line oes th ou h the base line at IP = 0,
WL = 20 so that its e uation is
IP = 0.73(w L − 20%)
he main soil ty es a e desi nated by a ital lette s
a el Silt, soil
S Sand lay
ine soil, ines Pt Peat
he lassi ation ‘ ’ is intended o use hen the e is di ulty in dete minin hethe a soil is a silt o a
lay.
i inally all soils that lotted belo the line o the lasti ity ha ts e e lassi ed as silts. he te m
‘ soil’ has been int odu ed to lassi y soils that lot belo the line but ha e a ti le si e dist ibutions
not holly in the an e o silt si es.
ehind the lette desi natin the main soil ty e additional lette s a e added to u the des ibe the soil
and to denote its adin and lasti ity. hese lette s a e
W Well aded L Lo lasti ity L <

P Poo ly aded I Inte mediate ≤ L≤ 0
Pu ni o m i h lasti ity 0≤ L≤ 0
P a aded e y hi h 0 ≤ L ≤ 90
ani E E t emely hi h L > 90
he lette is a lied at the end o the ou symbol o a soil, no matte hat ty e, i the soil has a
si ni ant amount o o ani matte ithin it.
E am les o the use o the symbols a e set out belo .
Soil descript ion roup sym ol
Well aded silty S SW

ani L o hi h lasti ity
Sandy L o inte mediate lasti ity IS
ni o m layey sand SPu
1
a le 1.1 itish Soil lassi ation System o En inee in Pu oses a te S 9 0 1999 .
Soil groups Su groups and la orat ory ident i cat ion
and S may e uali ed Sandy Fines (%

and ravelly S et c. ere roup Su group less t an i uid
appropriat e (See 1. .2.2) sym ol sym ol . mm) limit % ame
ELS – o e than Sli htly silty o layey W W 0 Well aded EL
0 o oa se mate ial is EL
to
o a el si e oa se
than 2 mm P Pu P Poo ly aded ni o m a aded EL
Silty EL W P Well aded Poo ly aded silty EL
Smith’s Elements of Soil Mechanics
to
W P 1 Well aded Poo ly aded layey EL
e y silty EL L, et e y silty EL subdi ide as o
1
o the mate ial is ne than 0.0 mm

e y layey EL L to e y layey EL lay o lo ,
I inte mediate,
hi h,
e y hi h,
E e t emely hi h lasti ity
S S – o e than 0 Sli htly silty o layey SW SW 0 Well aded S
o oa se mate ial is o S
S to
SE S ILS – less than

sand si e ne than
2 mm SP SPu SP Poo ly aded ni o m a aded S
Silty S S SW SP Well aded Poo ly aded silty S
S to
layey S S SW SP 1 Well aded Poo ly aded layey S
e y silty S S S L, et e y silty S subdi ided as o S
S 1
e y layey S S S L to e y layey S lay o lo ,
S I inte mediate,
S hi h,
S e y hi h,
S E e t emely hi h lasti ity
a elly o sandy SIL S a elly SIL L , et a elly SIL subdi ide as o
and L S to
nes
a elly L L < a elly L o lo lasti ity
I to 0 o inte mediate lasti ity
0 to 0 o hi h lasti ity
0 to 90 o e y hi h lasti ity
E > 90 o e t emely hi h lasti ity
o the mate ial is ne than 0.0 mm

SIL and L S to Sandy SIL S LS, et Sandy SIL subdi ide as o
100 nes
S
Sandy L S LS, et Sandy L subdi ide as o
SIL S IL L, et SIL , subdi ide as o
L L < L o lo lasti ity

I to 0 o inte mediate lasti ity
0 to 0 o hi h lasti ity
I E S ILS – mo e than
0 to 90 o e y hi h lasti ity
E > 90 o e t emely hi h lasti ity
I S ILS es i ti e lette ‘ ’ su ed to o ani matte sus e ted to be a si ni ant onstituent. E am le any ou
o sub ou symbol. ani SIL o hi h lasti ity.
PE Pt Peat soils onsist edominantly o lant emains hi h may be b ous o amo hous.
1
Fig. 1. Plasti ity ha t o the S S a te S 9 0 1999 .
When lassi ation tests a e a ied out on a stony soil sam le any a ti les nominally eate than
0 mm a e emo ed by sie in ith a standa d mm sie e and thei e enta e dete mined. he tests
a e then a ied out on the emainin soil. he mate ial emo ed is lassed as obbles, to 200 mm in
si e, ith symbol b, o boulde s, eate than 200 mm in si e, ith the symbol .
ine and oa se soils that ontain obbles, o obbles and boulde s, a e indi ated in symbols by the
use o the addition si n. o instan e, a ell aded S ith a el and obbles ould ha e the ou
symbol SW + b.
E ample 1. Soil classi cation i
lassi y the soil o E am le 1.2 hose a ti le si e dist ibution u e is sho n in i .

1.2.
Solut ions:
he alue o u al eady been ound to be . . om i . 1.2 it is seen that the adin
u e has a e ula slo e and the e o e ontains ou hly e ual e enta es o a ti le
si es. he soil is a ell aded a elly S ith the ou symbol SW .
ote that hen lassi yin the soil it is ustoma y to indi ate the main soil ty e in
a ital lette s, i.e. S .
E ample 1. Soil classi cation ii
set o a ti le si e dist ibution analyses on th ee soils, , and , a e the ollo in

esults
Percent age passing
Sieve size (mm) Soil Soil Soil C
20 90 – –
10 – –
. 4 – –
2 44 – –
0. 40 9 –
0.42 – 0 –
0. 00 29 10 –
0.212 – –
0.1 0 – – 100
0.0 1 91
Soil Sin e mo e than 10 assed the μm sie e, a i ette analysis des ibed in
S1 Pa t 2 and by ead 1992 as e o med. he esults e e
Percent age passing
Part icle sizes (mm) Soil C
0.04
0.02 1
0.00 4
0.002 40
Soil as ound to ha e a li uid limit o 4 and a lasti limit o 21 .

Plot the a ti le si e dist ibution u es and lassi y ea h soil.
Solut ion:
he a ti le si e dist ibution u es o the th ee soils a e sho n in i . 1.9. he u es
an be used to obtain the ollo in a ti le si es o soils and .
Soil 1 (mm) (mm) (mm)
0.1 0. 1 11.0
0. 0.42 0.44
2 Smit h’s Elements of Soil Mechanics
E am le 1. .
Fig. 1.
Soil om the adin u e it is seen that this soil onsists o a el and 4

sand and is the e o e edominantly a el. he u e has a ho i ontal o tion indi atin
that the soil has only a small e enta e o soil a ti les ithin this an e. It is the e o e
a aded.
he soil is a a aded sandy EL. ou symbol P S.
Soil om the adin u e it is immediately seen that this soil is a sand ith most
o its a ti les about the same si e.
he soil is a uni o mly aded S . ou symbol SPu.
Soil It is inte estin to note that, as the hole o soil assed the 42 μm sie e,
the e ould be no need to emo e any o the soil be o e sub e tin it to the onsisten y
limit tests. om the adin u e, by onside in a ti le si es only, the soil is a mi tu e
o 10 sand, 0 silt and 40 lay. he soil is undoubtedly ne and the ou symbol
ould be , althou h, as the silt a ti les a e mo e dominant than the lay, it ould be
i en the symbol . he li uid limit o the soil is 4 hi h, a o din to S 9 0,
indi ates an inte mediate lasti ity. he ou symbol o the soil ould the e o e be
eithe I o I.
o e e , o mi tu es o ne soils S 9 0 su ests that lassi ation is best a ied
out by the use o the lasti ity ha t sho n in i . 1. . he li uid limit o the soil = 4
and the lasti ity inde , L − P = 2 . sin i . 1. it is seen that the itish system
lassi es the soil as an ino ani lay ith the ou symbol I.
1. .2 escription of soils
lassi yin and des ibin a soil a e t o o e ations hi h a e not ne essa ily the same. n o e ato ho
has not e en isited the site om hi h a soil ame an lassi y the soil om the in o mation obtained
om adin and lasti ity tests a ied out on distu bed sam les. Su h tests a e ne essa y i the soil is
bein onside ed as a ossible onst u tion mate ial and the in o mation obtained om them must be
in luded in any des i tion o the soil.
u the in o mation e a din the olou o a soil, the te tu e o its a ti les, et ., an be obtained in
the labo ato y om distu bed soil sam les but a ull des i tion o a soil must in lude its in situ, as ell
as its labo ato y ha a te isti s. Some o this latte in o mation an be ound in the labo ato y om undis
tu bed sam les o the soil olle ted o othe u oses, su h as st en th o e meability tests, but usually
not until a te the tests ha e ta en la e and the sam les an then be s lit o en o o e e amination.
the ele ant in o mation, su h as beddin , eolo i al details, et ., obtained om bo ehole data and
site obse ations should also be in luded in the soil’s des i tion.
u the in o mation is a ailable in S 9 0 ode of ractice for Site Investigations, and layton et al.
199 .
1. Soil properties
om the o e oin it is seen that soil onsists o a mass o solid a ti les se a ated by s a es o oids.
oss se tion th ou h a anula soil may ha e an a ea an e simila to that sho n in i . 1.10a.
In o de to study the o e ties o su h a soil mass it is ad anta eous to ado t an idealised o m o
the dia am as sho n in i . 1.10b. he soil mass has a total olume and a olume o solid a ti les
that summates to s. he olume o the oids, , is ob iously e ual to – s.
Vv
V
Vs
(a) Actual form (b) Idealised form
Fig. 1.1 oss se tion th ou h a anula soil.
Fig. 1.11 Wate and ai ontents in a soil.
1. .1 oid ratio and porosity

om a study o i . 1.10 the ollo in may be de ned
oid ratio
Volume of voids Vv
e= =
Volume of solids Vs
orosity
Volume of voids
n=
Total volume
Vv Vv e
n= = =
V Vv + Vs 1+ e
1. .2 egree of saturation Sr
he oids o a soil may be lled ith ai o ate o both. I only ai is esent the soil is d y, he eas i
only ate is esent the soil is satu ated. When both ai and ate a e esent the soil is said to be
a tially satu ated. hese th ee onditions a e e esented in i s 1.11a, b and .
he de ee o satu ation is sim ly
Volume of water Vw
Sr = = (usually expressed as a percentage)
Volume of voids Vv
1. . Particle density ρs and speci c gra ity s
he s e i a ity o a mate ial is the atio o the ei ht o mass o a olume o the mate ial to the
ei ht o mass o an e ual olume o ate . In soil me hani s the most im o tant s e i a ity is that
o the a tual soil ains and is i en the symbol s.
om the abo e de nition it is seen that, o a soil sam le ith olume o solids s and ei ht o
solids Ws,
Ws
Gs =
Vsγ w
he e γ = ei ht o ate and, i the sam le has a mass o solids ,

s
Ms
Gs =
Vsρ w
he e ρ = density o ate = 1.0 m at 20° i.e.
Ms Ws
Gs = =
Vsρ w Vsγw
he density o the a ti les ρs is de ned as
Ms
ρs =
Vs
the e o e,
ρs
Gs =
ρw
S1 Pa t 2 s e i es methods o test o dete minin the a ti le density. o ne, medium o oa se

soils the Standa d s e i es the use o a one lit e as a tted ith a ubbe bun and a me hani al
sha in a a atus hi h an otate the as a , end o e end, at 0 m i . 1.12 .
he test onsists b ie y o la in o en d ied soil a o imately 200 o a ne soil and 400 o a
medium o oa se soil into the as a alon ith about 00 ml o distilled ate at oom tem e atu e.
he a is sealed ith the bun and sha en, st by hand and then in the ma hine, o 20 to 0 minutes.
he bun is then emo ed, the a to ed u a e ully to ull a a ity ith u the distilled ate and the
lass late slid on to to seal the a ithout t a in any ai inside. om a ious ei hin s that a e
made the s e i a ity o the soil an be al ulated. See E am le 1. .
I ρs is measu ed in units o m and the ate tem e atu e is assumed to be 20° , it ollo s that ρs
and s a e nume i ally e ual. s is dimensionless.
Fig. 1.12 ete mination o a ti le density.

Soil ontains a ti les o di e ent mine als ith onse uently di e ent s e i a ities s the e o e
e esents an a e a e alue o the a ti les.
ene ally sands ha e an a e a e alue o s = 2. and lays an a e a e alue o 2. . he a ti le
s e i a ity o o ani soils an a y onside ably. n o ani lay an ha e a s alue o about 2. 0
he eas a bo eat an ha e a alue as lo as 1. .
o oal s oil hea s s an a y om about 2.0 o an unbu nt shale ith a hi h oal ontent, to about
2. o a bu nt shale.
E ample 1. Particle speci c gra ity
he mass o an em ty as a , to ethe ith its lass o e late, as 4 .0 . When

om letely lled ith ate and the o e late tted the mass as 1 0 .2 . n o en
d ied sam le o soil as inse ted in the d y as a and the total mass, in ludin the
o e late, as . . Wate as added to the soil and, a te a suitable e iod o
sha in , as to ed u until the as a as b im ull. he o e late as tted and
the total mass as ound to be 1 2. .
ete mine the a ti le s e i a ity o the soil.
Solut ion:
ass o soil + ate = 1 2. − 4 .0 = 11 4.
ass o d y soil = . − 4 .0 = 19 .
ass o ate esent ith soil = 11 4. − 19 . = 9 .0
ass o ate hen as a ull = 1 0 .2 − 4 .0 = 10 0.2 .
he e o e, mass o ate o same olume as soil = 10 0.2 − 9 .0 = 4.2
Mass of soil 198.6
Gs = = = 2.68
Mass of same volume of water 74.2
lt ernat ive solut ion

he s e i a ity an be ui ly ound om a o mula thus
S
Gs =
[(J + W ) − (J + W + S)] + S
Whe e
S = mass o d y soil
J + W = mass o a + ate
J + W + S = mass o a + ate + soil
i.e.,
198.6
Gs = = 2.68
(1508.2 − 1632.6) + 198.6
1. . ensity and unit eight

he amount o mate ial in a i en olume, , may be e essed in t o ays
the amount o mass, , in the olume, o

the amount o ei ht, W, in the olume.
I e onside unit olume, the t o systems i e the density and the unit ei ht o the mate ial
Mass M
Density, ρ = =
Volume V
Weight W
Unit weight , γ = =
Volume V
Weight = mass× 9.81
s an e am le, onside ate at 20°
Density of water, ρw = 1000 kg/m3 = 1.0 Mg/m3
en e the unit ei ht o ate , γ , = 1.0 × 9. 1 = 9. 1 m.
Soil densities a e usually e essed in m to the nea est 0.01.

Soil ei hts a e usually e essed in m.
In soils o , it is ene ally mo e on enient to measu e the density o a soil th ou h test e. . E am le

1. then to e o m the eote hni al analysis usin the unit ei ht de i ed om the density alue.
ote eight density

With the int odu tion o Eu o ode to eote hni al desi n the te m eight density is li ely to e entually
e la e the te m unit eight. he t o te ms a e synonymous and sin e the te m unit eight has been in
use o many de ades it ill e tainly emain in use o many yea s to ome and o this eason it is used
th ou hout this boo .
nit weight o soil

s mentioned, the unit ei ht o a mate ial is its ei ht e unit olume. In soils o the most im o tant
unit ei hts a e as ollo s
ulk unit weight (γ)

his is the natu al in situ unit ei ht o the soil
Total weight W Ws + Ww
γ= = =
Total volume V Vs + Vv
G V γ + Vv γ w Sr (G + eSr )
= s s w = γw s
Vs + Vv 1+ e
Saturated unit weight (γ sat )

Saturated weight
γ sat =
Total volume
When soil is satu ated S = 1, the e o e
Gs + e
γ sat = γ w
1+ e
ry unit weight (γ d )
Dry weight
γd =
Total volume
γ G
= w s (as Sr = 0)
1+ e
uoyant unit weight (γ′)

When a soil is belo the ate table, a t o its ei ht is balan ed by the buoyant e e t o the ate .
his u th ust e uals the ei ht o the olume o the ate dis la ed.
en e, onside in unit olume
Buoyant unit weight = Saturated unit weight − Unit weight of water

G +e G −1
= γw s − γw = γw s
1+ e 1+ e
uoyant unit ei ht is o ten e e ed to as the subme ed unit ei ht o the e e ti e unit ei ht.
ensity o soil
Simila e essions an be obtained o densities
(Gs + eSr )
Bulk density, ρb = ρw
1+ e
(Gs + e)
Saturated density, ρsat = ρw
1+ e
Gs
Dry density, ρd = ρw
1+ e
Gs − 1
Buoyant density, ρ′ = ρw
1+ e
elationship bet ween density and unit weight values

In the abo e e essions, , e, S and the numbe 1 a e all dimensionless.
s
en e a a ti ula unit ei ht = γ times a onstant.

he o es ondin density = ρ times the same onstant.
E ample 1. ry unit eight
sam le o et soil as e t uded om a sam lin tube o diamete 100 mm in a soil

testin labo ato y. he len th o e t uded sam le as 200 mm. he mass o the et soil
as .1 . ollo in a ate ontent dete mination, the mass o the d y soil as ound
to be 2. 2 .
ete mine the bul density, ate ontent, d y density and d y unit ei ht o the soil.
Classi cat ion and Physical Propert ies of Soils 2
Solut ion:
π× 0.12
Volume of sample = × 0.2 = 0.0016 m3
4
M 3.15
ρb = = = 1969 kg/m3 = 1.97 Mg/ m3
V 0.0016
3.15 − 2.82
w= = 11.7%
2.82
ρb 1.97
ρd = = = 1.76 Mg/m3
1+ w 1.117
γ d = ρd × 9.81 = 17.3 kN/m3
elationship between w, γ d and γ

Ww + Ws
γ= 1
V
Ws
γd = 2
V
Ww
w=
Ws
om E uation W = W s and, substitutin in E uation 1 ,
Ws
γ= (1+ w )
V
i.e.
γ
γd =
1+ w
hus to nd the d y unit ei ht om the bul unit ei ht, di ide the latte by 1 + he e is the
ate ontent e essed as a de imal.
elationship between e, w and G s or a saturated soil

Ww Vw γ w Vv e
w= = = = (Vw = Vv if the soil is saturated )
Ws Vsγ w Gs VsGs Gs
i.e.
e = wGs
elationship bet ween e, w and G s or a part ially saturat ed soil

Ww Vw γ w VS eSr
w= = = v r =
Ws Vsγ w Gs VsGs Gs
i.e.
wGs
e=
Sr
E ample 1. Physical properties determination
In a bul density dete mination a sam le o lay ith a mass o as oated ith
a . he ombined mass o the lay and the a as 90. . he olume o the lay
and the a as ound, by imme sion in ate , to be 0 ml.
he sam le as then b o en o en and ate ontent and a ti le s e i a ity
tests a e es e ti ely 1 and 2. .
he s e i a ity o the a as 0. 9. ete mine the bul density and unit ei ht,
oid atio and de ee o satu ation.
Solut ion:
ass o soil =
ass o a = 90. − = .
7 .6
⇒ Volume of wax = = 8.55 ml
0.89
⇒ Volume of soil = 350 − 8.6 = 341.4 ml
683
ρb = = 2 g/ml = 2.0 Mg/m3
341.4
γ b = 2 × 9.81 = 19.6 kN/m3
2
ρd = = 1.71 Mg/m3
1.17
o
ρw Gs
= 1.71
1+ e
2.73 − 1.71
⇒ e= = 0.596
1.71
o
(Gs + eSr )
ρb = 2.0 = ρw
1+ e
⇒ 1.596 × 2.0 = 2.73 + 0.596 × Sr
⇒ Sr = 77.0%
1. . ensity inde
anula soil ene ally has a la e an e into hi h the alue o its oid atio may be tted. I the soil
is ib ated and om a ted the a ti les a e essed lose to ethe and a minimum alue o oid atio is
obtained, but i the soil is loosely ou ed a ma imum alue o oid atio is obtained.
hese ma imum and minimum alues an be obtained om labo ato y tests and it is o ten on enient
to elate them to the natu ally o u in oid atio o the soil. his elationshi is e essed as the density
inde , o elati e density, o the soil
emax − e
ID =
emax − emin
he theo eti al ma imum ossible density o a anula soil must o u hen e = emin, i.e. hen I = 1.0.
Simila ly the minimum ossible density o u s hen e = ema and I = 0. In a ti al te ms this means that
a loose anula soil ill ha e a I alue lose to e o hilst a dense anula soil ill ha e a I alue lose
to 1.0.
1. . Summary of soil physical relat ions

summa y o the elationshi s established in Se tion 1. is i en belo
Ww M w
Water content w= =
Ws Ms
Vv
Void ratio e=
Vs
e = wGs (saturated )
wGs
e= (partially saturated )
Sr
Vv e
Porosity n= =
V 1+ e
Vw
Degree of saturation Sr =
Vv
Ws Ms
Particle specific gravity Gs = =
Vsγ w Vsρw
(Gs + eSr )
Bulk density ρb = ρw
1+ e
ρw Gs ρb
Dry density ρd = =
1+ e 1+ w
(Gs + e)
Saturated density ρsat = ρw
1+ e
(Gs − 1)
Submerged density ρ′ = ρw
1+ e
(Gs + eSr )
Bulk unit weight γb = γ w
1+ e
γ w Gs γb
Dry unit weight γd = =
1 + e 1+ w
(Gs + e)
Saturated unit weight γ sat = γ w
1+ e
(Gs − 1)
Submerged unit weight γ ′ = γw
1+ e
emax − e
Density index ID =
emax − emin
E ercises
E ercise 1.1
he esults o a sie e analysis on a soil ee
Sieve size (mm) Mass ret ained (g)
0 0
. 1 .
20 1
14 10
10 11
.
. 114.
1.1 .
0. 1 .2
0.1 1
0.0 10.
he total mass o the sam le as 11 . Plot the a ti le si e dist ibution u e and,

om the ins e tion o this u e, dete mine the e e ti e si e and uni o mity oe
ient. lassi y the soil.
ns er 10 = 0. mm 0 = .2 mm. u = .4. 0 a el, 0 sand. Well aded

sandy EL – symbol WS.
E ercise 1.2
Plot the a ti le si e dist ibution u e o the ollo in sie e analysis, i en the

sie e si es and the mass etained on ea h. lassi y the soil.
Sam le 42 . etained on 42 μm sie e – 11 , 00 μm sie e – 2 , 212 μm sie e
– , 1 0 μm sie e − 1 , μm sie e – 21 .
ns er y ins e tion o adin u e soil is a uni o m S – symbol SPu. his

is on med om the alue o u = 2. .
E ercise 1.
S one enet omete test a ied out on a sam le o boulde lay a e the ol
lo in esults
one enet ation mm 1 .9 1 .1 19.4 20.9 22.

Wate ontent 2.0 2. 4. . .0
ete mine the li uid limit o the soil.
ns er L =
E ercise 1.
li uid and lasti limit test a e the ollo in esults
est o. 1 2 P P
Wet mass .20 2.10 2 .20 1.00 11. 1 .04

y mass 2 .20 2 . 0 22.40 2 .90 11.2 14.0
in .02 .04 .10 .02 .04 .2
Penet ation mm 14. 1 .0 20.9 22. – –
ete mine the lasti ity inde o the soil and lassi y the soil.
ns er 22, I
I the natu al ate ontent as 2 , dete mine the li uidity inde in the eld.
ns er 0. 4, I
E ercise 1.
sand sam le has a o osity o and the s e i a ity o the a ti les is 2. .

What is its d y density and oid atio
ns er e = 0. 4, ρd = 1. m
E ercise 1.
sam le o silty lay as ound to ha e a olume o 14. ml, hilst its mass at
natu al ate ontent as 2 . 1 and the a ti le s e i a ity as 2. . al ulate
the oid atio and de ee o satu ation i , a te o en d yin , the sam le had a mass
o 24. .
ns er e = 0. 1 , S = 0
E ercise 1.
sam le o moist sand as ut out o a natu al de osit by means o a sam lin

ylinde . he olume o the ylinde as 4 ml the ei ht o the sam le alone as
4 and 0 a te d yin . he olume o the d ied sam le, hen ammed ti ht
into a aduated ylinde , as 41 ml and its olume, hen ou ed loosely into the
same ylinde , as 1 ml. I the a ti le s e i a ity as 2. , om ute the
density inde and the de ee o satu ation o the de osit.
ns er I = 9 ,S = 2
E ercise 1.
In o de to dete mine the density o a lay soil an undistu bed sam le as ta en in

a sam lin tube o olume 0.001 4 m .
he ollo in data e e obtained
ass o tube em ty = 1. 4
ass o tube and lay sam le = .01
ass o tube and lay sam le a te d yin = 4. 2
al ulate the ate ontent, the bul , and the d y densities. I the a ti le s e i
a ity as 2. 9, dete mine the oid atio and the e enta e satu ation o the lay.
ns er = 2 , ρd = 1.49 m , ρb = 1.90 m,S = 9 , e = 0. 2

Ch a p t e r 2
Permeability and Flow of Water
in Soils
2.1 Subsurface water
his is the te m used to de ne all ate ound beneath the Ea th’s su a e. he main sou e o subsu a e
ate is ain all, hi h e olates do n a ds to ll u the oids and inte sti es. Wate an enet ate to
a onside able de th, estimated to be as mu h as 12 000 met es, but at de ths eate than this, due to
the la e essu es in ol ed, the inte sti es ha e been losed by lasti o o the o s. elo this le el,
ate annot e ist in a ee state, althou h it is o ten ound in hemi al ombination ith the o mine
als, so that the u e limit o lasti o ithin the o dete mines the lo e limit o subsu a e ate .
Subsu a e ate an be s lit into t o distin t ones saturation zone and aeration zone.
2.1.1 Saturation zone

his is the de th th ou hout hi h all the ssu es and oids a e lled ith ate unde hyd ostati es
su e. he u e le el o this ate is no n as the ate table, h eati su a e o ound ate le el, and
ate ithin this one is alled h eati ate o ound ate .
he ate table tends to ollo in a mo e entle manne than the to o a hi al eatu es o the su a e
abo e i . 2.1 . t ound ate le el, the hyd ostati essu e is e o, so anothe de nition o ate
table is the le el to hi h ate ill e entually ise in an unlined bo ehole.
he ate table is not onstant but ises and alls ith a iations o ain all, atmos he i essu e, tem
e atu e, et ., hilst oastal e ions a e a e ted by tides.
When the ate table ea hes the su a e, s in s, la es, s am s, and simila eatu es an be o med.
2.1.2 Aeration zone

Sometimes e e ed to as the adose one, this one o u s bet een the ate table and the su a e,
and an be s lit into th ee se tions.
Capillary f ringe
in to a illa ity, ate is d a n u abo e the ate table into the inte sti es o the soil o o . Wate
in this in e an be e a ded as bein in a state o ne ati e essu e, i.e. at essu e alues belo
atmos he i . he minimum hei ht o the in e is o e ned by the ma imum si e o the oids ithin the
soil. to this hei ht abo e the ate table, the soil ill be su iently lose to ull satu ation to be
onside ed as su h.
he ma imum hei ht o the in e is o e ned by the minimum si e o the oids. et een the minimum
and ma imum hei hts the soil is a tially satu ated.

33
34 Smith’s lements of Soil echanics
Ground surface
Water table
Fig. 2.1 enden y o the ate table to ollo the ea th’s su a e.
Fig. 2.2 ia am illust atin ty es o subsu a e ate .
e a hi and Pe 194 i e an a o imate elationshi bet een the ma imum hei ht and the ain
si e o a anula soil
C
hc = mm
eD10
he e is a onstant de endin u on the sha e o the ains and the su a e im u ities a yin om
10.0 to 0.0 mm2 and 10 is the e e ti e si e e essed in millimet es.
Interm ediat e belt

s ain ate e olates do n a d to the ate table, a e tain amount is held in the soil by the a tion
o su a e tension, a illa ity, abdso tion and hemi al a tion. he ate etained in this manne is te med
held ate and is dee enou h not to be a e ted by lants.
Soil belt
his one is onstantly a e ted by e i itation, e a o ation and lant t ans i ation. oist soil in onta t
ith the atmos he e eithe e a o ates ate o ondenses ate into itsel until its a ou essu e is
e ual to atmos he i essu e. Soil ate in atmos he i e uilib ium is alled hy os o i ate and its
ate ontent hi h de ends u on elati e humidity is no n as the hy os o i ate ontent.
he a ious ones a e illust ated in i . 2.2.
Permeability and Flow of Water in Soils 3
2.2 Flow of water throu h soils
he oids o a soil and o most o s a e onne ted to ethe and o m ontinuous assa e ays o the
mo ement o ate b ou ht about by ain all in lt ation, t ans i ation o lants, unbalan e o hemi al
ene y, a iation o intensity o dissol ed salts, et .
When ain all alls on the soil su a e, some o the ate in lt ates the su a e and e olates do n a d
th ou h the soil. his do n a d o esults om a a itational o e a tin on the ate . u in o ,
some o the ate is held in the oids in the aeration zone and the emainde ea hes the ound ate
table and the saturation zone. In the ae ation one, o is said to be unsaturated. elo the ate table,
o is said to be saturated.
2.2.1 Saturated ow
he ate ithin the oids o a soil is unde essu e. his ate , no n as o e ate , may be stati o
o in . Wate in satu ated soil ill o in es onse to a iations in hyd ostati head ithin the soil mass.
hese a iations may be natu al o indu ed by e a ation o onst u tion.
2.2.2 ydraulic or hydrostatic head

he head o ate a tin at a oint in a subme ed soil mass is no n as the hyd ostati head and is
e essed by e noulli’s e uation
Hydrostatic head = Velocity head + Pressure head + Elevation head

v2 p
h= + +z
2g γ w
In see a e oblems atmos he i essu e is ta en as e o and the elo ity is so small that the elo ity
head be omes ne li ible the hyd ostati head is the e o e ta en as
p
h= +z
γw
Excess hydrostatic head

Wate o s om oints o hi h to oints o lo head. en e o ill o u bet een t o oints i the
hyd ostati head at one is less than the hyd ostati head at the othe , and in o in bet een the oints
the ate e e ien es a head loss e ual to the di e en e in head bet een them. his di e en e is no n
as the e ess hyd ostati head.
2.2.3 See a e elocity

he onduits o a soil a e i e ula and o small diamete – an a e a e alue o the diamete is 10 . ny
o uantities al ulated by the theo y o i e o must be in e o and it is ne essa y to thin in te ms
o an a e a e elo ity th ou h a i en a ea o soil athe than s e i elo ities th ou h a ti ula
onduits.
I is the uantity o o assin th ou h an a ea in time t, then the a e a e elo ity is
Q
v=
At
his a e a e elo ity is sometimes e e ed to as the see a e elo ity. In u the o the te m elo ity
ill im ly a e a e elo ity.
3 Smit h’s lements of Soil echanics
2.3 arcy’s law of saturated ow
In 1 , a y sho ed e e imentally that a uid’s elo ity o o th ou h a o ous medium as di e tly

elated to the hyd auli adient ausin the o , i.e.
v∝i
he e i = hyd auli adient the head loss e unit len th , o
v = Ci
he e = a onstant in ol in the o e ties o both the uid and the o ous mate ial.
2.4 oef cient of ermeability
In soils e a e ene ally on e ned ith ate o the onstant is dete mined om tests in hi h the
e meant is ate . he a ti ula alue o the onstant obtained om these tests is no n as the oe
ient o e meability and is i en the symbol .
It is im o tant to ealise that hen a soil is said to ha e a e tain oe ient o e meability, this alue
only a lies to ate at 20° . I hea y oil is used as the e meant, the alue o ould be onside ably
less than .
em e atu e auses a iation in , but in most soils o this is insi ni ant.
P o ided that the hyd auli adient is less than 1.0, as is the ase in most see a e oblems, the o
o ate th ou h a soil is linea and a y’s la a lies, i.e.
v = ki
o
Q = Atki
o
Q
q = Aki where q = quantity of unit flow =
t
om this latte e ession a de nition o is a a ent the oe ient o e meability is the ate o o
o ate e unit a ea o soil hen unde a unit hyd auli adient.
S1 s e i es that the dimensions o should be m s and these dimensions a e used in this ha te .
2. etermination of ermeability in the laboratory
2. .1 he constant head erm eameter

he test is des ibed in S 1 Pa t and the a a atus is sho n in i . 2. . Wate o s th ou h the
soil unde a head hi h is e t onstant by means o the o e o a an ement. he head loss, h, bet een
t o oints alon the len th o the sam le, distan e l a a t, is measu ed by means o a manomete in
a ti e the e a e mo e than ust t o manomete ta in s .
From Darcy’ s law : q = Aki

Q
The unit quantity of flow, q=
t
h
The hydraulic gradient , i=
l
and A = area of sample
Permeabilit y and Flow of Water in Soils 3
Overflow
Wa
Time, t
Filters
h
l Soil
Q
Fig. 2.3 he onstant head e meamete .
en e an be ound om the e ession
q Ql
k= or k=
Ai tAh
se ies o eadin s an be obtained om ea h test and an a e a e alue o dete mined. he test is

suitable o a els and sand and ould be used o many ll mate ials.
am le 2.1 onstant head ermeameter
In a onstant head e meamete test the ollo in esults e e obtained

u ation o test = 4.0 min
uantity o ate olle ted = 00 ml
ead di e en e in manomete = 0 mm
istan e bet een manomete ta in s = 100 mm
iamete o test sam le = 100 mm
ete mine the oe ient o e meability in m s.
Solut ion:
π× 1002 300
A= = 7850 mm2 q= = 1.25 ml / s
4 4 × 60
ql 1250 × 100
k= = = 3.18 × 10− 1 mm / s = 3.2 × 10− 4 m / s
Ah 7850 × 50
h1
Valve
h2
Soil
Overflow
Perforated base
Fig. 2.4 he allin head e meamete .
2. .2 he fallin head ermeamet er

s et h o the allin head e meamete is sho n in i . 2.4. In this test, hi h is suitable o silts and
some lays, the o o ate th ou h the sam le is measu ed at the inlet. he hei ht, h1, in the stand
i e is measu ed and the al e is then o ened as a sto lo is sta ted. te a measu ed time, t, the
hei ht to hi h the ate le el has allen, h2, is dete mined.
is i en by the o mula
al h
k = 2. 3 log10 1
At h2
he e
= oss se tional a ea o sam le

a = oss se tional a ea o stand i e
l = len th o sam le.
u in the test, the ate in the stand i e alls om a hei ht h1 to a nal hei ht h2.
Let h be the hei ht at some time, t.
onside a small time inte al, dt, and let the han e in the le el o h du in this time be − dh ne ati e
as it is a d o in ele ation .
he uantity o o th ou h the sam le in time dt = − adh and is i en the symbol d . o
dQ = Aki dt
h
= Ak dt = − adh
l
al dh
dt = −
Ak h
Inte atin bet een the test limits
t h2
al 1
∫ 0
dt = −
Ak ∫ h1 h
dh
i.e.
al h2 al h1
t=− ln = ln
Ak h1 Ak h2
al h1
k= ln
At h2
al h
= 2.3 log10 1
At h2
am le 2.2 Fallin head ermeameter
n undistu bed soil sam le as tested in a allin head e meamete . he esults e e

Initial head o ate in stand i e = 1 00 mm
inal head o ate in stand i e = 0 mm
u ation o test = 2 1s
Sam le len th = 1 0 mm
Sam le diamete = 100 mm
Stand i e diamete = mm
ete mine the e meability o the soil in m s.
Solut ion:
π× 52 π× 1002
a= = 19.67 mm2 A= = 7854 mm2
4 4
h1
log10 = log10 2.48 = 0.3945
h2
2.3 × 19.67× 150 × 0.3945
k= = 1.21× 10− 3 mm / s = 1.2 × 10− 6 m / s
7854 × 281
2. .3 he hydraulic consolidation cell owe cell

he o e ell des ibed in ha te 11 as de elo ed o a yin out onsolidation tests. he a a atus
an also be used o dete minin the e meability o a soil. he test o edu e is des ibed in S 1
Pa t .
2. etermination of ermeability in the eld
2. .1 he um in out test
he um in out test an be used to measu e the a e a e alue o a st atum o soil belo the ate
table and is e e ti e u to de ths o about 4 m.
asin o about 400 mm diamete is d i en to bed o o to im e ious st atum. bse ation ells
o at least mm diamete a e ut do n on adial lines om the asin , and both the asin and the
obse ation ells a e e o ated to allo easy ent an e o ate . he test onsists o um in ate out
om the ent al asin at a measu ed ate , and obse in the esultin d a do n in ound ate
le el by means o the obse ation ells.
t least ou obse ation ells, a an ed in t o o s at i ht an les to ea h othe should be used
althou h it may be ne essa y to install e t a ells i the initial ones i e i e ula esults. I the e is a is
o ne soil a ti les lo in the obse ation ells then the ells should be su ounded by a suitably
aded lte mate ial the desi n o lte s is dis ussed late in this ha te .
It may be that the site bounda y onditions, e. . a i e , anal o a stee slo in su a e o im e me
able subsu a e o , a ault o a dy e, do not allo the t o o s o obse ation ells to be la ed at
i ht an les. In su h i umstan es the t o o s o ells should be la ed a allel to ea h othe and at
i ht an les to the o endin bounda y.
he minimum distan e bet een the obse ation ells and the um in ell should be ten times the
adius o the um in ell and at least one o the obse ation ells in ea h o should be at a adial
distan e eate than t i e the thi ness o the ound bein tested.
In addition to the obse ation ells an additional stand i e inside the um in ell is desi able so that
a eliable e o d o the d a do n o the ell itsel an be obtained.
i u e 2. illust ates onditions du in um in .
onside an inte mediate distan e om the ent e o the um in ell and let the hei ht o the WL
abo e the im e meable laye du in um in be h.
he hyd auli adient, i, is e ual to the slo e o the
∂h
h − r curve =
∂r
he e 2π h = a ea o the alls o an ima ina y ylinde o adius and hei ht h. o
∂h
q = Aki = 2πrhk
∂r
i.e.
∂r
q = k 2πh∂ h
r
Fig. 2.5 he um in out test.

Permeability and Flow of Wat er in Soils 41
and, inte atin bet een test limits

r2 h2
1
q= ∫ r1 r
∂ r = k 2π∫ h1
h∂ h
h22 − h12
= k 2π
2
i.e.
r2
q ln = kπ(h22 − h12 )
r1
q ln r2 / r1 2.3q log10 r2 / r1
k= =
π(h22 − h12 ) π(h22 − h12 )
Pum in tests an be e ensi e as they e ui e the installation o both the um in and the obse a
tion ells as ell as suitable um in and su o t e ui ment. a e must be ta en in the desi n o a
suitable test o amme and, be o e attem tin to a y out any um in test, eliable data should be
obtained about the subsoil o le, i ne essa y by means o bo eholes s e ially sun o the u ose.
Su tion um s an be used he e the ound ate does not ha e to be lo e ed by mo e than about
m belo the inta e hambe o the um but o eate de ths subme sible um s a e ene ally
ne essa y.
Whe e a um in test has been om leted in hi h the e a e no obse ation ell data, it is still os
sible to obtain a e y ou h estimate o ith the o mula o osed by Lo an 19 4 , ≈ 1.22 s ho ,
he e ho is the thi ness o on ned ound and s is the o e ted d a do n in the um in ell.
he obse ed alue o d a do n in the ell has to be o e ted o head loss th ou h the ell s eens
be o e bein used in al ulation o e meability. It is usual to edu e the obse ed alue by 2 to i e
s , unless the head losses om ate ente in the ell a e obse ed to be ob iously mu h eate .
am le 2.3 Pum in out test
9.1 m thi laye o sandy soil o e lies an im e meable o . ound ate le el is at

a de th o 1.22 m belo the to o the soil. Wate as um ed out o the soil om a
ent al ell at the ate o 0 min and the d a do n o the ate table as noted
in t o obse ation ells. hese t o ells e e on a adial line om the ent e o the
main ell at distan es o .0 and 0. m.
u in um in the ate le el in the ell nea est to the um as 4. m belo
ound le el and in the u thest ell as 2.1 m belo ound le el.
ete mine an a e a e alue o the e meability o the soil in m s.
Solut ion:
q = 5680 kg / min = 5.68 m3 / min = 0.0947 m3 / s
h1 = 9.15 − 4.57 = 4.58 m h2 = 9.15 − 2.13 = 7.02 m
q ln r2 / r1 0.0947× 2.3026
k= 2 2
= = 2.45 × 10− 3 m / s
(h2 − h1 )π 28.3 × π
2. .2 he um in in test
Whe e bed o le el is e y dee o he e the e meabilities o di e ent st ata a e e ui ed, the um in
in test an be used. asin , e o ated o a met e o so at its end, is d i en into the ound. t inte als
du in the d i in , the ate o o e ui ed to maintain a onstant head in the asin is dete mined and
a measu e o the soil’s e meability is obtained.
2. A ro imation of coef cient of ermeability
It is ob ious that a soil’s oe ient o e meability de ends u on its o osity, hi h is itsel elated to the
a ti le si e dist ibution u e o the soil a a el is mu h mo e e meable than a lay . It ould the e o e
seem ossible to a o imate the e meability o a soil i en its a ti le si e dist ibution, and ty i al an es
o o di e ent soil ty es a e i en belo . In addition, an be a o imated o a lean sand thus
k ≅ 0.01D10
2
m/ s
he e 10 = e e ti e si e in mm.
Wise 1992 o e ed a o imations o othe soils based on o e si e dist ibution but it should be
emembe ed that no o mula is as ood as an a tual e meability test.
Typical ranges of coef cient of perm eability

a el > 10− 1 m s
Sands 10− 1 to 10− m s
ine sands, oa se silts 10− to 10− m s
Silts 10− to 10− 9 m s
lays < 10− 9 m s
am le 2.4 A ro imation of
om ute an a o imate alue o the oe ient o e meability o the soil in

E am le 1.2.
Solut ion:
2
k = 0.01D10 = 0.01× 0.172 = 2.9 × 10− 4 m / s
2. eneral differential e uation of ow
i u e 2. sho s an elemental ube, o dimensions d , dy and d , in an o thot o i soil ith an e ess

hyd ostati head h a tin at its ent e an orthotropic soil is a soil hose mate ial o e ties a e di e ent
in all di e tions .
Let the oe ients o e meability in the oo dinate di e tions , y and be , y and , es e ti ely.
onside the om onent o o in the di e tion.
he om onent o the hyd auli adient, i , at the ent e o the element ill be
∂h
ix = −
∂x
ote that it is o ne ati e si n as the e is a head loss in the di e tion o o .

Fig. 2.6 Element in an o thot o i soil.
he ate o han e o the hyd auli adient i alon the len th o the element in the di e tion
ill be
∂ ix ∂ 2h
=− 2
∂x ∂x
en e the adient at the a e o the element nea est the o i in
∂h ∂ i x − dx
=− +
∂x ∂x 2
∂ h ∂ 2h dx
=− +
∂ x ∂ x2 2
om a y’s la
∂ h ∂ 2h dx
Flow = Aki = k x − + dy.dz 1
∂ x ∂ x2 2
he adient at the a e u thest om the o i in is
∂h ∂ i x dx
− +
∂x ∂x 2
∂ h ∂ 2h dx
=− −
∂ x ∂ x2 2
he e o e
∂ h ∂ 2h dx
Flow = k x − − dy.dz 2
∂ x ∂ x2 2
E essions 1 and 2 e esent es e ti ely the o into and out o the element in the di e tion, so
that the net ate o in ease o ate ithin the element, i.e. the ate o han e o the olume o the
element, is 1 – 2 .
Simila e essions may be obtained o o in the y and di e tions. he sum o the ates o han e
o olume in the th ee di e tions i es the ate o han e o the total olume
44 Smith’s lement s of Soil echanics
k x∂ 2h k y∂ 2h k z∂ 2h
+ + dx.dy.dz
∂ x2 ∂ y2 ∂ z2
nde the lamina o onditions that a ly in see a e oblems the e is no han e in olume and
the abo e e ession must e ual e o
k x∂ 2h k y∂ 2h k z∂ 2h
+ + = 0
∂ x2 ∂ y2 ∂ z2
his is the ene al e ession o th ee dimensional o .

In many see a e oblems the analysis an be a ied out in t o dimensions, the y te m usually bein
ta en as e o so that the e ession be omes
k x∂ 2h k z∂ 2h
+ = 0
∂ x2 ∂ z2
I the soil is isot o i , = = and the e ession is
∂ 2h ∂ 2h
+ = 0
∂ x 2 ∂ z2
n isotropic soil is a soil hose mate ial o e ties a e the same in all di e tions.
It should be noted that these e essions only a ly hen the uid o in th ou h the soil is in om
essible. his is mo e o less the ase in see a e oblems hen subme ed soils a e unde onside a
tion, but in a tially satu ated soils onside able olume han es may o u and the e essions a e no
lon e alid.
2. Potential and stream functions
he La la ian e uation ust de i ed an be e essed in te ms o the t o on u ate un tions φ and ψ.

I e ut
∂φ k∂ h ∂φ k∂ h
= v x = ki x = − and = vz = −
∂x ∂x ∂z ∂z
then
∂ 2φ k∂ 2h ∂ 2φ k∂ 2h
2
=− and =−
∂x ∂ x2 ∂z 2
∂ z2
hen e
∂ 2φ ∂ 2φ
+ = 0
∂ x 2 ∂ z2
lso, i e ut
∂ψ ∂φ ∂ψ ∂φ
= vx = and − = vz =
∂z ∂x ∂x ∂z
then
∂ 2ψ ∂ 2φ ∂ 2ψ ∂ 2φ
2
= and 2
=−
∂z ∂ x∂ z ∂x ∂ x∂ z
hen e
∂ 2ψ ∂ 2 ψ
+ = 0
∂ x 2 ∂ z2
φ and ψ a e no n es e ti ely as otential and st eam un tions. I φ is i en a a ti ula onstant alue
then an e uation o the o m h = a onstant an be de i ed the e uation o an e ui otential line i ψ
is i en a a ti ula onstant alue then the e uation de i ed is that o a st eam o o line.
i e t inte ation o these e essions in o de to obtain a solution is ossible o st ai ht o a d ases.
o e e , in ene al su h inte ation annot be easily a ied out and a solution obtained by a a hi al
method in hi h a o net is d a n has been used by en inee s o many de ades. o adays, ho e e ,
mu h use is made o om ute so t a e to nd the solution usin nume i al te hni ues su h as the nite
di e en e and nite element methods. e e theless, the method o d a in a o net by hand is i en
in Se tion 2.10. o eade s inte ested in lea nin the te hni ues in ol ed.
2.1 Flow nets
he o o ate th ou h a soil an be e esented a hi ally by a o net, a o m o u ilinea net

made u o a set o o lines inte se ted by a set o e ui otential lines.
Flow lines
he aths hi h ate a ti les ollo in the ou se o see a e a e no n as o lines. Wate o s om
oints o hi h to oints o lo head, and ma es smooth u es hen han in di e tion. en e e an
d a , by hand o by om ute , a se ies o smooth u es e esentin the aths ollo ed by mo in ate
a ti les.
Equipot ent ial lines

s the ate mo es alon the o line it e e ien es a ontinuous loss o head. I e an obtain the
head ausin o at oints alon a o line, then by oinin u oints o e ual otential e obtain a
se ond set o lines no n as e ui otential lines.
2.1 .1 ydraulic radient

he otential d o bet een t o ad a ent e ui otentials di ided by the distan e bet een them is no n
as the hyd auli adient. It attains a ma imum alon a ath no mal to the e ui otentials and in isot o i
soil the o ollo s the aths o the stee est adients, so that o lines oss e ui otential lines at
i ht an les.
i u e 2. sho s a ty i al o net e esentin see a e th ou h a soil beneath a dam. he o is
assumed to be t o dimensional, a ondition that o e s a la e numbe o see a e oblems en ounte ed
in a ti e.
om a y’s la = i, so i e onside unit idth o soil and i Δ = the unit o th ou h a o
hannel the s a e bet een ad a ent o lines , then
∆ q = b × l × k × i = bki
he e b = distan e bet een the t o o lines.

In i . 2. the ue is bounded by the same o lines as u e 1 1 1 1 and by the same
e ui otentials as u e 2 2 2 2. o any u e in the net Δ = b i = b Δ h l, he e
Δ h = head loss bet een the t o e ui otentials

l = distan e bet een the e ui otentials see i . 2. .
Fig. 2.7 lo net o see a e beneath a dam.
Fig. 2.8 Se tion o a o net.
e e in to i . 2.
b1
Flow through A 1B1C1D1 = ∆ q1 = k∆ h1
l1
b2
Flow through A 2B2C2D 2 = ∆ q 2 = k∆ h2
l2
b
Flow through ABCD = ∆ q = k∆ h
l
I e assume that the soil is homo eneous and isot o i then is the same o all u es and it is os
sible to d a the o net so that b 1 = l1, b 2 = l2, b = l. When e ha e this a an ement the u es a e
te med ‘s ua es’ and the o net is a s ua e o net. With this ondition
b1 b 2 b
= = = 1.0
l1 l2 l
Sin e s ua e has the same o lines as 1 1 1 ,

1
∆ q = ∆ q1
Sin e s ua e has the same e ui otentials as 2 2 2 ,

2
∆ h = ∆ h2
⇒ ∆ q 2 = k∆ h2 = k∆ h = ∆ q = ∆ q1
i.e.
∆ q = ∆ q1 = ∆ q 2 and ∆ h = ∆ h1 = ∆ h2
en e, in a o net, he e all the u es a e s ua e, the e is the same uantity o unit o th ou h ea h

u e and the e is the same head d o a oss ea h u e.
o u e in a o net an be t uly s ua e, but the ast ma o ity o the u es do a o imate to
s ua es in that the ou o ne s o the u e a e at i ht an les and the distan e bet een the o
lines, b, e uals the distan e bet een the e ui otentials, 1. s ill be seen, a little ima ination is
sometimes needed hen asse tin that a e tain u e is a s ua e and some u es a e de nitely
t ian ula in sha e, but o ided the o net is d a n ith a sensible numbe o o hannels ene ally
e o si , the esults obtained ill be ithin the an e o a u a y ossible. he mo e o hannels that
a e d a n, the mo e the u es ill a o imate to t ue s ua es, but the a a ent in ease in a u a y
is misleadin and the e t a o in ol ed i d a in by hand e ha s t el e hannels is not
o th hile.
2.1 .2 alculation of see a e uantit ies

Let
= d numbe o otential d o s
= numbe o o hannels
h = total head loss
= total uantity o unit o .
hen
h q
∆h= ; ∆q=
Nd Nf
b b
∆ q = k∆ h = k∆ h as = 1
l l
h q
⇒ k =
Nd N f
Nf
⇒ Total unit flow per unit length (q ) = kh
Nd
2.1 .3 rawin a ow net

so t en il, a ubbe and a ai o di ide s o om asses a e ne essa y. he st ste is to d a in one
o line, u on the a u a y o hi h the nal o e tness o the o net de ends. he e a e a ious
bounda y onditions that hel to osition this st o line, in ludin
i u ied su a es e. . the base o the dam, sheet ilin , hi h a e o lines as ate annot enet ate
into su h su a es.
ii he un tion bet een a e meable and an im e meable mate ial, hi h is also a o line o o
net u oses a soil that has a e meability o one tenth o less the e meability o the othe may be
e a ded as im e meable.
iii he ho i ontal ound su a es on ea h side o the dam, hi h a e e ui otential lines.
he o edu e is as ollo s
a a the st o line and hen e establish the st o hannel.

b i ide the st o hannel into s ua es. t st the use o om asses is ne essa y to he that in
ea h u e b = 1, but a te some a ti e this s et hin o edu e an be done by eye.
P o e t the e ui otentials beyond the st o hannel, hi h i es an indi ation o the si e o the
s ua es in the ne t o hannel.
d With om asses dete mine the osition o the ne t o line d a this line as a smooth u e and
om lete the s ua es in the o hannel o med.
e P o e t the e ui otentials and e eat the o edu e until the o net is om leted.
s an e am le, su ose that it is ne essa y to d a the o net o the onditions sho n in i . 2.9a.
he bounda y onditions o this oblem a e sho n in i . 2.9b, and the s et hin o edu e o the
o net is illust ated in i s , d, e and o i . 2.9.
I the o net is o e t the ollo in onditions ill a ly
i E ui otentials ill be at i ht an les to bu ied su a es and the su a e o the im e meable laye .

ii eneath the dam the oute most o line ill be a allel to the su a e o the im e meable laye .
Fig. 2.9 E am le o o net onst u tion.

te om letin a t o a o net it is usually ossible to tell hethe o not the nal dia am ill be
o e t. he u atu e o the o lines and the di e tion o the e ui otentials indi ate i the e is any
disto tion, hi h tends to be ma ni ed as mo e o the o net is d a n and i es a ood indi ation o
hat as on ith the st o line. his line must no be ed a n in its o e ted osition and the
o edu e e eated a ain, amendin the st o line i ne essa y, until a satis a to y net is obtained.
ene ally the numbe o o hannels, ill not be a hole numbe , and in these ases an estimate
is made as to he e the ne t o line ould be i the im e meable laye as lo e . he idth o the
lo est hannel an then be ound in i . 2.9 , = . .
Note: in o net oblems e assume that the e meability o the soil is uni o m th ou hout the soil’s
thi ness. his is a onside able assum tion and e see the e o e that e nement in the onst u tion o
a o net is unne essa y, sin e the di e en e bet een a ou hly s et hed net and an a u ate one is
small om a ed ith the a tual o atte n in the soil and the theo eti al atte n assumed.
am le 2. Flow net see a e
sin i . 2.9 , dete mine the loss th ou h see a e unde the dam in ubi met es e
yea i = × 10− m s and the le el o ate abo e the base o the dam is 10 m
u st eam and 2 m do nst eam. he len th o the dam e endi ula to the lane o
see a e is 00 m.
Solut ion:
From the flow net Nf = 3.3, Nd = 9
Total head loss (h) = 10 − 2 = 8 m
Nf 3.3
q / metre length of dam = kh = 3 × 10− 6 × 8×
Nd 9
= 8.8 × 10− 6 m3 / s
Total seepage loss per year = 300 × 8.8 × 60 × 60 × 24 × 365 × 10− 6 m3
= 83 000 m3
2.11 ritical ow conditions
2.11.1 ritical hydraulic radient i c

i u e 2.10 sho s a sam le o soil en ased in a essel o oss se tional a ea , ith u a d o o ate
th ou h the soil ta in la e unde a onstant head. he total head o ate abo e the sam le base = h + 1,
and the head o ate in the sam le abo e the base = 1, the e o e the e ess hyd ostati essu e a tin
on the base o the sam le = γ h.
I any i tion bet een the soil and the side o the ontaine is i no ed, then the soil is on the oint o
bein ashed out hen the do n a d o es e ual the u a d o es
Downward forces = Buoyant unit weight × Volume

Gs − 1
= γw Al
1+ e
Smit h’s lements of Soil echanics
Fig. 2.10 ad o th ou h a soil sam le.
Upward forces = hγ w A
i.e.
Gs − 1
hγ w A = γ w Al
1+ e
o hen
h Gs − 1
= = ic
l 1+ e
his a ti ula alue o hyd auli adient is no n as the iti al hyd auli adient and has an a e a e
alue o about unity o most soils. It ma es a mate ial a ui sand, hi h is not a ty e o soil but a o
ondition ithin the soil. ene ally ui sand onditions o u in ne sands hen the u a d o ondi
tions a hie e this state, but the e is no theo eti al eason hy they should not o u in a els o any
anula mate ial o ided that the uantity o o and the head a e la e enou h. the te ms used
to des ibe this ondition a e ‘ i in ’ o ‘boilin ’, but i in ill not o u in ne silts and lays due to
ohesi e o es holdin the a ti les to ethe instead the e an be a hea e o a la e mass o soil i the
u a d o es a e la e enou h.
2.11.2 See a e forces

Whene e ate o s th ou h a soil a see a e o e is e e ted as in ui sands . In i . 2.10 the e ess
head h is used u in o in ate th ou h the soil oids o e a len th o l this head dissi ation is aused
by i tion and, be ause o the ene y loss, a d a o o e is e e ted in the di e tion o o .
he u a d o e hγ e esents the see a e o e, and in the ase o uni o m o onditions it an
be assumed to s ead uni o mly th ou hout the olume o the soil
Seepage force hγ wA
= = iγ w
Unit volume of soil Al
his means that in an isot o i soil, the see a e o e a ts in the di e tion o o and has a ma ni
tude = iγ e unit olume.
Fig. 2.11 E am les he e i in an o u.
2.11.3 Alle iat ion of i in

he is o i in an o u in se e al i umstan es, su h as a o e dam i . 2.11a o the do nst eam
end o a dam i . 2.11b .
In o de to in ease the a to o sa ety a ainst i in in these ases, t o methods an be ado ted.
he st o edu e in ol es in easin the de th o ile enet ation in i . 2.11a and inse tin a sheet
ile at the heel o the dam in i . 2.11b in eithe ase the e is an in ease in the len th o the o ath
o the ate ith a esultin d o in the e ess essu e at the iti al se tion. simila e e t is a hie ed
by layin do n a blan et o im e meable mate ial o some len th alon the u st eam ound su a e
i . 2.11b .
he se ond o edu e is to la e a su ha e on the ound su a e o the do nst eam side, the ei ht
o hi h in eases the do n a d o es, o to install a d aina e system e. . e o ated i e ote ted
by a lte at the do nst eam side.
2.12 esi n of soil lters
s seen abo e, ate see in out o the soil an lead to i in and the e o e d aina e should be o ided
in su h situations to ensu e ound stability. o e ent soil a ti les bein ashed into the d aina e
system, soil lte s an be o ided as the inte a e bet een base mate ial and d ain. he desi n o edu e
o a lte is la ely em i i al, but it must om ise anula mate ial ne enou h to e ent soil a ti les
bein ashed th ou h it and yet oa se enou h to allo the assa e o ate .
he ollo in o mulae a e used in the s e i ation o the lte mate ial, based initially on the o o
e a hi and de elo ed th ou h the e e imental esea h o She a d et al. 19 4a, 19 4b
1 lte > × 1 o base mate ial

1 lte < × o base mate ial
he st e uation ensu es that the lte laye has a e meability se e al times hi he than that o the
soil it is desi ned to ote t. he e ui ement o the se ond e uation is to e ent i in ithin the lte .
he atio 1 lte base is no n as the piping ratio.
he e ui ed thi ness o a lte laye de ends u on the o onditions and an be estimated ith
the use o a y’s la o o . he lte mate ial should be ell aded, ith a adin u e mo e o
less a allel to the soil. ll mate ial should ass the mm si e sie e and not mo e than should ass
the 0.0 mm si e sie e. See E am le 2. and i . 2.1 .
P ote ti e lte s a e usually onst u ted in laye s, ea h o hi h is oa se than the one belo it, and
o this eason they a e o ten e e ed to as e e sed lte s. E en hen the e is no is o i in , lte s
a e o ten used to e ent e osion o oundation mate ials and they a e e t emely im o tant in ea th dams.
am le 2. uoyant u lift
n m thi laye o silty lay is o e lyin a a el st atum ontainin ate unde a te

sian essu e. stand i e as inse ted into the a el and ate ose u the i e to
ea h a le el o 2 m abo e the to o the lay i . 2.12 .
he lay has a a ti le s e i a ity o 2. and a natu al ate ontent o 0 . he
e meability o the silty lay is .0 × 10− m s.
It is o osed to e a ate 2 m into the soil in o de to inse t a ide oundation hi h,
hen onst u ted, ill e e t a uni o m essu e o 100 Pa on to its su o tin soil.
ete mine a the unit ate o o o ate th ou h the silty lay in m e yea be o e
the o ommen es b ho sa e the oundation ill be a ainst hea in i at end o
e a ation ii a te onst u tion o the oundation.
Solut ion:
a ssume that WL o u s at to o lay.
ead o ate in lay = m
ead o ate in a el = 10 m
⇒ ead o ate lost in lay = 2 m
q = Aki
onside a unit a ea o 1 m2 then
2
q = 1× 3× 10− 8 ×
8
= 7.5 × 10− 9 m3 / s
= 7.5 × 10− 9 × 60 × 60 × 24 × 365
= 0.237 m3 / year per m2 of surface area
b i e= s = 0. × 2. = 0. 1
Gs + e 3.51
γ sat = γ w = 9.81
1+ e 1.81
3
= 19.0 kN / m
Fig. 2.12 E am le 2. .
ei ht o lay le t abo e a el a te e a ation = − 2 = m

a d essu e om ate on base o lay = 10 × 9. 1 = 9 .1 Pa
o n a d essu e o lay = × 19 = 114 Pa
It is lea that the do n a d essu e e eeds the u a d essu e and thus, on the
a e o it, the oundation ill not be li ted by the buoyant e e t o the u a d a tin
ate essu e, i.e. it is safe. We an uanti y ho ‘sa e’ the oundation is a ainst
buoyan y by int odu in the te m factor of safety,
Downward pressure 114
Factor of safety, F = = = 1.16
Upward pressure 98.1
b ii o n ad essu e a te onst u tion = 114 + 100 = 214 Pa
214
Factor of safety, F = = 2.18
98.1
i.e. the a to o sa ety a ainst buoyant u li t is hi he a te onst u tion.
We an also assess the sa ety a ainst buoyan y usin the limit state desi n
a oa h de ned in Eu o ode see ha te . he solution to E am le 2. hen
assessed in a o dan e ith Eu o ode is a ailable o do nload.
Unit s of pressure
he as al is the st ess alue o one ne ton e s ua e met e, 1.0 m2, and is i en the symbol Pa. In
the e am le abo e, essu e has been e essed in ilo as als, Pa. P essu e ould ha e e ually been
e essed in m2 as the t o te ms a e synonymous.
1.0 kN / m2 = 1.0 kPa

1.0 MN / m2 = 1.0 MPa
am le 2. Filter material limits
ete mine the a o imate limits o a lte mate ial suitable o the mate ial sho n in
i . 2.1 .
Solut ion:
om the a ti le si e dist ibution u e
D15 = 0.01 mm; D85 = 0.2 mm
sin e a hi’s method
Maximum size of D15 for filter = 5 × D85 of base = 5 × 0.2 = 1.0 mm
Minimum size of D15 for filter = 5 × D15 of base = 5× 0.01
= 0.05 mm
his method i es t o oints on the 1 summation line. o lines an be d a n
th ou h these oints ou hly a allel to the adin u e o the soil, and the s a e
bet een them is the an e o mate ial suitable as a lte i . 2.1 .
Fig. 2.13 E am le 2. .
2.13 a illarity and unsaturated soils
he beha iou o unsatu ated soils is a elati ely s e ialised sub e t a ea and eade s inte ested in ainin
a ood unde standin o the to i a e e e ed to the ubli ations by edlund, aha do and edlund
2012 and and en ies 200 . Sim le o e a e o some o the ey as e ts in ol ed a e o e ed in
the ollo in sub se tions.
2.13.1 Surface tension

Su a e tension is the o e ty o ate that e mits the su a e mole ules to a y a tensile o e. Wate
mole ules att a t ea h othe and, ithin a mass o ate , these o es balan e out. t the su a e, ho e e ,
the mole ules a e only att a ted in a ds and to a ds ea h othe , hi h eates su a e tension. Su a e
tension auses the su a e o a body o ate to attem t to ont a t into a minimum a ea hen e a d o
o ate is s he i al.
he henomenon is easily unde stood i e ima ine the su a e o ate to be o e ed ith a thin
mole ula s in a able o a yin tension. Su h a s in, o ou se, annot e ist on the su a e o a li uid,
but the analo y an e lain su a e tension e e ts ithout oin into the ele ant mole ula theo ies.
Su a e tension is i en the symbol , and an be de ned as the o e in e tons e millimet e len th
that the ate su a e an a y. a ies sli htly ith tem e atu e, but this a iation is small and an a e a e
alue usually ta en o the su a e tension o ate is 0.000 0 mm 0.0 m.
he a t that su a e tension e ists an be sho n in a sim le labo ato y e e iment in hi h an o en
ended lass a illa y tube is la ed in a basin o ate sub e ted to atmos he i essu e the ise o
ate ithin the tube is then obse ed. It is seen that the ate ets the lass and the olumn o ate
ithin the tube ea hes a de nite hei ht abo e the li uid in the basin.
he su a e o the olumn o ms a menis us su h that the u ed su a e o the li uid is at an an le α
to the alls o the tube i . 2.14a . he a an ement o the a a atus is sho n in i . 2.14b.
he base o the olumn is at the same le el as the ate in the basin and, as the system is o en, the
essu e must be atmos he i . he essu e on the to su a e o the olumn is also atmos he i . he e
a e no e te nally a lied o es that ee the olumn in osition, hi h sho s that the e must be a tensile
o e a tin ithin the su a e lm o the ate .
Permeability and Flow of Water in Soils
Fig. 2.14 a illa y e e ts.
Let
ei ht o ate olumn = h
adius o tube =
nit ei ht o ate = γ
I e ta e atmos he i essu e as datum, i.e. the ai essu e = 0, e an e uate the e ti al o es

a tin at the to o the olumn
T2πr cosα + uπr 2 = 0

− 2T cosα
⇒ u=
r
en e, as e e ted, e see that u is ne ati e hi h indi ates that the ate ithin the olumn is in a
state o su tion. he ma imum alue o this ne ati e essu e is γ h and o u s at the to o the olumn.
he essu e dist ibution alon the len th o the tube is sho n in i . 2.14 . It is seen that the ate
essu e adually in eases ith loss o ele ation to a alue o 0 at the base o the olumn.
n e ession o the hei ht h an be obtained by substitutin u = − γ h in the abo e e ession to
yield
2T cosα
hc =
γ wr
om the t o e essions e see that the ma nitudes o both − u and h in ease as de eases.
u the inte estin oint is that, i e assume that the ei ht o the a illa y tube is ne li ible, then
the only e ti al o es a tin a e the do n a d ei ht o the ate olumn su o ted by the su a e
tension at the to and the ea tion at the base su o t o the tube. he tube must the e o e be in om
ession. he om essi e o e a tin on the alls o the tube ill be onstant alon the len th o the
ate olumn and o ma nitude 2π os α o π 2h γ .
It may be noted that o u e ate in onta t ith lean lass hi h it ets, the alue o an le α is
e o. In this ase the adius o the menis us is e ual to the adius o the tube and the de i ed o mulae
an be sim li ed by emo in the te m os α.
With the use o the e ession o h e an obtain an estimate o the theo eti al a illa y ise that ill
o u in a lay de osit. he a e a e oid si e in a lay is about μm and, ta in α = 0, the o mula i es
h = .0 m. his ossibly e lains hy the oids e osed hen a sam le o a lay de osit is s lit a a t
a e o ten moist. o e e , a illa y ises o this ma nitude seldom o u in a ti e as the u a d elo ity
o the ate o th ou h a lay in the a illa y in e is e t emely small and is o ten u the est i ted by
adso bed ate lms, hi h onside ably edu e the ee diamete o the oids.
2.13.2 a illary ef fects in soil

he e ion ithin hi h ate is d a n abo e the ate table by a illa ity is no n as the a illa y in e.
soil mass, o ou se, is not a a illa y tube system, but a study o theo eti al a illa ity enables one to
dete mine a ualitati e ie o the beha iou o ate in the a illa y in e o a soil de osit. Wate in
this in e an be e a ded as bein in a state o ne ati e essu e, i.e. at essu e alues belo atmos
he i . dia am o a a illa y in e a ea s in i . 2.14d.
he minimum hei ht o the in e, h min, is o e ned by the ma imum si e o the oids ithin the soil.
to this hei ht abo e the ate table the soil ill be su iently lose to ull satu ation to be onside ed
as su h.
he ma imum hei ht o the in e h ma , is o e ned by the minimum si e o the oids. Within the an e
h min to h ma the soil an be only a tially satu ated.
e a hi and Pe 194 i e an a o imate elationshi bet een h ma and ain si e o a anula
soil
C
hcmax = mm
eD10
he e is a onstant de endin u on the sha e o the ains and the su a e im u ities a yin om
10.0 to 0.0 mm2 and 10 is the e e ti e si e e essed in millimet es.
in to the i e ula natu e o the onduits in a soil mass it is not ossible, e en a o imately, to
al ulate ate ontent dist ibutions abo e the ate table om the theo y o a illa ity. his is a oblem
o im o tan e in hi h ay en inee in and is best a oa hed by the on e t o soil su tion.
2.13.3 Soil suction

he a a ity o a soil abo e the ound ate table to etain ate ithin its st u tu e is elated to the
e ailin su tion and to the soil o e ties ithin the hole mat i o the soil, e. . oid and soil a ti le
si es, amount o held ate , et . o this eason it is o ten e e ed to as matrix o matric su tion.
It is ene ally a e ted that the amount o mat i su tion, s, esent in an unsatu ated soil is the di
e en e bet een the alues o the ai essu e, ua, and the ate essu e, u .
s = ua − uw
I ua is onstant, then the a iation in the su tion alue o an unsatu ated soil de ends u on the alue o
the o e ate essu e ithin it. his alue is itsel elated to the de ee o satu ation o the soil.
Permeabilit y and Flow of Water in Soils
Fig. 2.15 E am le ettin and d yin ate etention u es.
2.13.4 he water ret ent ion cur e

I a sli ht su tion is a lied to a satu ated soil, no net out o o ate om the o es is aused. o e e ,
as the su tion is in eased, ate sta ts to o out o the la e o es ithin the soil mat i . s the su tion
is in eased u the , mo e ate o s om the smalle o es until at some limit, o es ondin to a e y
hi h su tion, only the e y na o o es ontain ate . dditionally, the thi ness o the adso bed ate
en elo es a ound the soil a ti les edu es as the su tion in eases. In easin su tion is thus asso iated
ith de easin soil etness o ate ontent. he amount o ate emainin in the soil is a un tion o
the o e si es and olumes and hen e a un tion o the mat i su tion. his un tion an be dete mined
e e imentally and may be e esented a hi ally as the water retention curve, su h as the e am les
sho n in i . 2.1 .
he amount o ate in the o es o a a ti ula alue o su tion ill de end on hethe the soil is
ettin o d yin . his i es ise to the henomenon no n as hyste esis, and the sha e o the ate
etention u e o ea h o ess is sho n in i . 2.1 . ull des i ti e te t on ate etention u es
and hyste esis is i en by edlund, aha do and edlund 2012 .
2.13. easurement of soil suction

om a eote hni al oint o ie the e a e t o om onents o soil su tion as ollo s
1 Matric suction that a t o the ate etention ene y eated by the soil mat i .
2 Osmotic suction that a t o the ate etention ene y eated by the esen e o dissol ed salts
in the soil ate .
It should be noted that these t o o ms o soil su tion a e om letely inde endent and ha e no e e t
on ea h othe .
he total su tion e hibited by a soil is ob iously the summation o the mat i and the osmoti
su tions.
I a soil is anula and ee o salt the e is no osmoti su tion and the mat i and total su tions a e
e ual. o e e , lays ontain salts and these salts ause a edu tion in the a ou essu e. his esults
in an in ease in the total su tion, and this in ease is the ene y needed to t ans e ate into the a ou
hase i.e. the osmoti su tion .
he e a e se e al ty es o e ui ment a ailable hi h an be used to measu e soil su tion alues.

mon st them a e sy h omete s, o ous blo s, lte a e s, su tion lates, essu e lates and tensi
omete s, the last bein the most o ula o in situ measu ements. use ul su ey as e a ed by idley
and W ay 199 .
The psychromet er method

sy h omete is used to measu e humidity and is the e o e suitable to measu e total soil su tion, i.e.
the summation o the mat i and the osmoti om onents. he e ui ment and its o e ation ha e been
des ibed by edlund, aha do and edlund 2012 .
sam le o the soil to be tested is la ed in a lasti ontaine . hole is then d illed to the ent e o
the s e imen, a alib ated sy h omete inse ted and the d illed hole ba lled ith e t a soil mate ial.
he hole unit is nally sealed ith lasti sheetin and la ed in an ai ti ht ontaine , he e it is le t
o th ee days ith its tem e atu e maintained at 2 ° . te this time the soil sam le is deemed to ha e
a hie ed both the mal and a ou essu e e uilib ium and elati e humidity measu ements an be ta en.
The lter paper method

With this te hni ue, des ibed by am bell and ee 19 , both total and mat i su tions an be meas
u ed. In a ty i al test the soil s e imen is e a ed in a ylind i al lasti ontaine and a d y lte a e
dis is la ed o e its u e su a e. i . 2.1 . his lte ill measu e the mat i su tion.
e o ated lass dis is la ed o e the lte a e and a u the lte a e is then la ed o e the
lass. s this to lte a e is not in a tual onta t ith the soil sam le it an only measu e the total
su tion.
he assembled s e imen lte a e is le t o at least a month, at a tem e atu e o 2 ° , in o de to
obtain the mal and a ou e uilib ium. t the end o this time the assembly is dismantled and the ate
ontents o the s e imen and the t o lte a e s dete mined. he ate ontents obtained o the lte
a e s an be on e ted into the e ui ed su tion alues by usin a su tion ate ontent u e o the
lte a e mate ial.
The t ensiomet er
Stanna d 1992 esented a e ie o the standa d tensiomete and o e ed the ele ant theo y, its
onst u tion and ossible uses. he a a atus is mainly used o in situ measu ements and onsists o a
o ous e ami u la ed in onta t ith the soil to be tested.
bo ehole is ut do n to the e ui ed de th and the e ami lte lo e ed into osition. Wate is
then allo ed to e it om a ate ese oi ithin the tensiomete and to ente the soil. he o e ation
ontinues until the tensile st ess holdin the ate in the tensiomete e uals the st ess holdin the ate
in the soil i.e. the total soil su tion .
he tensile st ess in the ate in the tensiomete is measu ed by a essu e measu in t ansdu e and
is ta en to be the alue o the total soil su tion.
Fig. 2.16 Soil su tion measu ement – an a an ement o the lte a e method.
he tensiomete must be ully de ai ed du in installation, as one ould e e t, i a u ate esults a e

to be obtained. he es onse time o the ty e o a a atus des ibed is only a e minutes but it has
the disad anta e, until e ently, that it ould only be used to measu e su tions u to about 100 Pa.
2.14 arth dams
2.14.1 See a e atterns throu h an earth dam

s the u e o line is sub e ted to atmos he i essu e, the bounda y onditions a e not om letely
de ned and it is onse uently di ult to s et h a o net until this line has been lo ated.
Pa t o su h a o net is sho n in i . 2.1 . It has al eady been sho n that the hyd ostati head at a
oint is the summation o elo ity, essu e and ele ation heads. s the to o line is at atmos he i
essu e the only ty e o head that an e ist alon it is ele ational, so that bet een ea h su essi e oint
he e an e ui otential uts an u e o line the e must be e ual d o s in ele ation. his is the st o
th ee onditions that must be satis ed by the u e o line.
he se ond ondition is that, as the u st eam a e o the dam is an e ui otential, the o line must
sta t at i ht an les to it see i . 2.1 a , but an e e tion to this ule is illust ated in i . 2.1 b he e
the oa se mate ial is so e meable that the esistan e to o is ne li ible and the u st eam e ui otential
is, in e e t, the do nst eam a e o the oa se mate ial. he to o line annot be no mal to this
su a e as ate ith ele ation head only annot o u a ds, so that in this ase the o line sta ts
ho i ontally.
he thi d ondition on e ns the do nst eam end o the o line he e the ate tends to ollo
the di e tion o a ity and the o line eithe e its at a tan ent to the do nst eam a e o the dam
i . 2.19a o , i a lte o oa se mate ial is inse ted, ta es u a e ti al di e tion in its e it into the lte
i . 2.19b .
Fig. 2.17 Pa t o a o net o an ea th dam.
Fig. 2.18 onditions at the sta t o an u e o line.

Smith’s lements of Soil echanics
Fig. 2.19 onditions at the do nst eam end o an u e o line.
Fig. 2.20 y es o see a e th ou h an ea th dam.
Fig. 2.21 lo net o a theo eti al ea th dam.
2.14.2 y es of ow occurrin in an earth dam

om i . 2.19 it is seen that an ea th dam may be sub e ted to t o ty es o see a e hen the dam
ests on an im e meable base the dis ha e must o u on the su a e o the do nst eam slo e the
u e o line o this ase is sho n in i . 2.20a , he eas hen the dam sits on a base that is e me
able at its do nst eam end the dis ha e ill o u ithin the dam i . 2.20b . his is no n as the
unde d aina e ase. om a stability oint o ie unde d aina e is mo e satis a to y sin e the e is less
han e o e osion at the do nst eam a e and the slo e an the e o e be stee e but, on the othe hand,
see a e loss is smalle in dams estin on im e meable bases.
2.14.3 Parabolic solutions for see a e throu h an earth dam

In i . 2.21 is sho n the oss se tion o a theo eti al ea th dam, the o net o hi h onsists o t o
sets o a abolas. he o lines all ha e the same o us, , as do the e ui otential lines. a t om the
Permeability and Flow of Wat er in Soils 1
Fig. 2.22 he a abola.
Fig. 2.23 ete mination o u e o line.
u st eam end, a tual dams do not di e substantially om this ima ina y e am le, so that the o net
o the middle and do nst eam o tions o the dam a e simila to the theo eti al a abolas a a abola
is a u e, su h that any oint alon it is e uidistant om both a ed oint, alled the o us, and a ed
st ai ht line, alled the di e t i . In i . 2.22, = .
he a hi al method o dete minin the h eati su a e in an ea th dam as e ol ed by asa ande
19 and in ol es the d a in o an a tual a abola and then the o e tion o the u st eam end.
asa ande sho ed that this a abola should sta t at the oint o i . 2.2 hi h de i ts a oss
se tion o a ty i al ea th dam he e ≈ 0. the o us, , is the u st eam ed e o the lte . o
dete mine the di e t i , d a , ith om asses, the a o the i le as sho n, usin ent e and adius
the e ti al tan ent to this a is the di e t i , E. he a abola assin th ou h , ith o us and
di e t i E, an no be onst u ted. o oints that a e easy to establish a e and , as = and
= othe oints an ui ly be obtained usin om asses. a in om leted the a abola a o
e tion is made as sho n to its u st eam end so that the o line a tually sta ts om .
his a hi al solution is only a li able to a dam estin on a e meable mate ial. When the dam is
sittin on im e meable soil the h eati su a e uts the do nst eam slo e at a distan e a u the
slo e om the toe i . 2.19a . he o us, , is the toe o the dam, and the o edu e is no to establish
oint as be o e and d a the theo eti al a abola i . 2.24a . his theo eti al a abola ill a tually
ut the do nst eam a e at a distan e Δ a abo e the a tual h eati su a e asa ande established a
Fig. 2.24 am estin on an im e meable soil.
elationshi bet een a and Δ a in te ms o α, the an le o the do nst eam slo e i . 2.24b . In i . 2.24
the oint J an thus be established and the o e ted o line s et hed in as sho n.
2.1 See a e throu h non uniform soil de osits
2.1 .1 Strati cation in com acted soils

ost loosely ti ed de osits a e obably isot o i , i.e. the alue o e meability in the ho i ontal di e
tion is the same as in the e ti al di e tion. P esent a ti e is to onst u t most emban ments, s oil
hea s and dams by s eadin the soil in loose laye s hi h a e then om a ted. his onst u tion te h
ni ue esults in a eate alue o e meability in the ho i ontal di e tion, , than that in the e ti al
di e tion the anisot o i ondition . he alue o is usually 1 to 1 10 the alue o .
he ene al di e ential e uation o o as de i ed ea lie in this ha te
∂ 2h ∂ 2h ∂ 2h
kx + k y + k z = 0
∂ x2 ∂ y2 ∂ z2
o the t o dimensional, i.e. anisot o i , ase the e uation be omes
∂ 2h ∂ 2h
kx 2
+ kz 2 = 0
∂x ∂z
nless is e ual to the e uation is not a t ue La la ian and annot the e o e be sol ed by a o
net.
o obtain a a hi al solution the e uation must be itten in the o m
k x ∂ 2h ∂ 2h
+ = 0
k z ∂ z2 ∂ z2
∂ 2h ∂ 2h
+ = 0
∂ x 2t ∂ z2
he e
1 k 1
= x⋅ 2
x 2t kz x
kz
x 2t = x 2
kx
i.e.
kz
xt = x
kx
his e uation is La la ian and in ol es the t o o o dinate a iables t and . It an be sol ed by a o

net o ided that the net is d a n to a e ti al s ale o and a ho i ontal s ale o
kz
xt = z
kx
2.1 .2 alculation of see a e uantities in an anisotro ic soil

his is e a tly as be o e
Nf
q = kh
Nd
and the only oblem is hat alue to use o .

sin the t ans o med s ale a s ua e o net is d a n and and d obtained. I e onside a ‘s ua e’
in the t ans o med o net it ill a ea as sho n in i . 2.2 a. he same u e, d a n to natu al s ales
i.e. s ale = s ale , ill a ea as sho n in i . 2.2 b.
Let ′ be the e e ti e e meability o the anisot o i ondition. hen ′ is the o e ati e e meability
in i . 2.2 a.
en e, in i . 2.2 a
∆h
Flow = ak ′ = k ′∆ h
a
Fig. 2.25 ans o med and natu al ‘s ua es’.
and, in i . 2.2 b
∆h
Flow = ak x = k xk z ∆ h
kx
a⋅
kz
i.e. the e e ti e e meability, k ′ = k xk z .
am le 2. See a e loss throu h dam i
he oss se tion o an ea th dam is sho n in i . 2.2 a. ssumin that the ate le el

emains onstant at m, dete mine the see a e loss th ou h the dam. he idth o
the dam is 00 m, and the soil is isot o i ith = . × 10− m s.
Fig. 2.26 E am le 2. .
Solut ion:
he o net is sho n in i . 2.2 b, om it = 4.0 and d = 14.
4 .0
q / metre width of dam = 5.8 × 35 × × 60 × 60 × 24 × 10− 7
14
= 5.0 × 10− 1 m3 / day
Total seepage loss per day = 300 × 5.0 × 10− 1
= 150 m3 / day
am le 2. See a e loss throu h dam ii
dam has the same details as in E am le 2. e e t that the soil is anisot o i ith
= . × 10− m s and = 2. × 10− m s.
ete mine the see a e loss th ou h the dam.
Solut ion:
kz
Transformed scale for x direction x t = x
kx
2.3
= x
5 .8
= 0.63x
his means that, i the e ti al s ale is 1 00, then the ho i ontal s ale is 0. 00 o
1 94.
he o net is sho n in i . 2.2 .
om the o net, = .0 and d = 14.
k′ = k xk z = 5.8 × 2.3 × 10− 7 = 3.65 × 10− 7 m / s
5 .0
Total seepage loss = 300 × 3.65 × 35 × × 60 × 60 × 24 × 10− 7
14
= 118 m3 / d ay
Fig. 2.27 E am le 2.9.

am le 2.1 See a e loss throu h dam iii
dam has the same details as in E am le 2. , e e t that the e is no lte d ain at the
toe.
Solut ion:
he o net is sho n in i . 2.2 , om it = 4.0 and d = 1 a e a e . om the
o net it is also seen that a + Δ a = 22.4 m. o α = 4 °, and hen e a o din to
asa ande
∆a
= 0.34 (taken from Fig. 2.24b ).
a+ ∆ a
en e Δ a = . m.
4
Total seepage loss = 300 × 5.8× × 35× 60 × 60 × 24 × 10− 7
18
= 117 m3 / day
Fig. 2.28 E am le 2.10.
2.1 .3 Permeability of sedimentary de osit s

sedimenta y de osit may onsist o se e al di e ent soils and it is o ten ne essa y to dete mine the
a e a e alues o e meability in t o di e tions, one a allel to the beddin lanes and the othe at i ht
an les to them.
Let the e be n laye s o thi nesses 1, 2, , . . . n.

Let the total thi ness o the laye s be .
Let 1, 2, , . . . n be the es e ti e oe ients o e meability o ea h indi idual laye .
Let the a e a e e meability o the hole de osit be o o a allel to the beddin lanes and
o o e endi ula to this di e tion.
onside o a allel to the beddin lanes
Total flow = q = Ak xi
he e = total a ea and i = hyd auli adient.

his total o must e ual the sum o the o th ou h ea h laye , the e o e
Ak xi = A 1k1i + A 2k 2i + A 3k 3i + … + A nk ni
onside in unit idth o soil
Hk xi = i(H1k1 + H2k 2 + H3k 3 + … + Hnkn )
hen e
H1k1 + H2k 2 + H3k 3 + + Hnk n

kx =
H
onside in o e endi ula to the beddin lanes
Total flow = q = Ak zi = Ak1i1 = Ak 2i2 = Ak 3i3 = Ak nin
onside in unit a ea
q = k zi = k1i1 = k 2i2 = k 3i3 = k nin
(h1 + h2 + h3 + + hn )
k zi = k z
H
he e h1, h2, h , et ., a e the es e ti e head losses a oss ea h laye .

o
k1h1 k 2h2 k 3h3 k nhn

= q; = q; = q; = q
H1 H2 H3 Hn
qH1 qH2 qH3 qHn
⇒ h1 = ; h2 = ; h3 = ; hn =
k1 k2 k3 kn
qH1 qH2 qH3 qHn
kz + + + +
k1 k2 k3 kn
⇒ = q
H
hen e
H
kz =
H1 H2 H3 Hn
+ + + +
k1 k 2 k 3 kn
am le 2.11 uantity of ow
th ee laye ed soil system onsistin o ne sand, oa se silt, and ne silt in ho i ontal

laye s is sho n in i . 2.29.
Fig. 2.29 E am le 2.11.
eneath the ne silt laye the e is a st atum o ate bea in a el ith a ate
essu e o 1 Pa. he su a e o the sand is ooded ith ate to a de th o 1 m.
ete mine the uantity o o e unit a ea in mm s, and the e ess hyd ostati
heads at the sand oa se silt and the oa se silt ne silt inte a es.
Solut ion:
12
kz = = 3.75 × 10− 5 mm / s
4 4 4
+ +
2.0 × 10− 4 4.0 × 10− 5 2.0 × 10− 5
a in the to o the a el as datum
ead o ate due to a tesian essu e = 1 . m
ead o ate due to ound ate = × 4 + 1 = 1 m
he e o e e ess head ausin o = 1 . − 1 = 2. m.
2 .5
Flow = q = Aki = 3.75 × × 10− 5 = 7.8 × 10− 6 mm3 / s
12
his uantity o o is the same th ou h ea h laye .
E ess head loss th ou h ne silt
h
Flow = 7.8× 10− 6 = 2.0 × 10− 5 ×
4
he e o e
31.2 × 10− 6
h= = 1.56 m
2 × 10− 5
E ess head loss th ou h oa se silt
7.8 × 10− 6 × 4
h= = 0.78 m
4 × 10− 5
Permeabilit y and Flow of Water in Soils
E ess head loss th ou h ne sand

7.8 × 10− 6 × 4
h= = 0.16 m
2 × 10− 4
E ess head at inte a e bet een ne and oa se silt
= 2.5 − 1.56 = 0.94 m
E ess head at inte a e bet een ne sand and oa se silt
= 0.94 − 0.78 = 0.16 m
2.1 .4 See a e throu h soils of dif ferent ermeability

When ate see s om a soil o e meability 1 into a soil o e meability 2 the in i le o the s ua e
o net is no lon e alid. I e onside a o net in hi h the head d o a oss ea h u e, Δ h, is a
onstant then, as has been sho n, the o th ou h ea h u e is i en by the e ession
b
∆ q = k∆ h
l
I Δ is to emain the same hen is a ied, then b l must also a y. s an illust ation o this e e t
onside the ase o t o soils ith 1 = 2 .
hen
b1
∆ q = k1∆ h
l1
and
b2 b
∆ q = k 2∆ h = 3k1∆ h 2
l2 l2
i.e.
b1 b
= 3 2
l1 l2
I the o tion o the o net in the soil o e meability 1 is s ua e, then
b2 1 b 2 k1
= or =
l2 3 l2 k2
he e e t on a o net is illust ated in i . 2. 0.
2.1 . ef raction of ow lines at int erfaces

n inte a e is the su a e o bounda y bet een t o soils. I the o lines a oss an inte a e a e
no mal to it, then the e ill be no e a tion and the o net a ea s as sho n in i . 2. 0. When the
o lines meet the inte a e at some a ute an le to the no mal, then the lines a e bent as they ass into
the se ond soil.
Fig. 2.30 E e t o a iation o e meability on a o net.
Fig. 2.31 lo a oss an inte a e hen the o lines a e at an an le to it.
In i . 2. 1 let be the inte a e o t o soils o e meabilities, 1 and 2. onside t o o lines, 1

and 2, ma in an les to the no mal o α 1 and α 2 in soils 1 and 2 es e ti ely.
Let 1 ut in and 2 ut in .
Let h1 and h2 be the e ui otentials assin th ou h and es e ti ely and let the head d o bet een
them be Δ h.
With uni o m o onditions the o into the inte a e ill e ual the o out. onside o no mal
to the inte a e.
In soil 1
head drop along CE

Normal component of hydraulic gradient =
CE
AE
Head drop from A to E = ∆ h = Head drop from C to E
CE
∆ h AE AE k1∆ h
⇒ q1 = ABk1 = k1∆ h =
CE AB CE tanα1
Simila ly it an be sho n that, in soil 2
k 2∆ h
q2 =
tanα 2
Fig. 2.32 lo net o see a e th ou h t o soils o di e ent e meabilities.
o 1 = 2,
k1 tan α1
⇒ =
k 2 tan α 2
o net hi h illust ates the e e t is illust ated in i . 2. 2.
ercises
ercise 2.1
In a allin head e meamete test on a ne sand the sam le had a diamete o

mm and a len th o 1 2 mm ith a stand i e o 12. mm diamete . sto at h
as sta ted hen h as 0 mm and ead 19. s hen h as 2 4 mm the test as
e eated o a d o om 2 4 mm to 12 mm and the time as 19.4 s.
ete mine an a e a e alue o in m s.
Answer 1. × 10− 4 m s
ercise 2.2
sam le o oa se sand 1 0 mm hi h and mm in diamete as tested in a on

stant head e meamete . Wate e olated th ou h the soil unde a head o 400 mm
o .0 s and the dis ha e ate had a mass o 400 .
ete mine in m s.
Answer 1.0 × 10− 2 m s
ercise 2.3
In o de to dete mine the a e a e e meability o a bed o sand 12. m thi o e lyin

an im e meable st atum, a ell as sun th ou h the sand and a um in test a ied
out. te some time the dis ha e as 0 min and the d a do ns in obse ation
ells 1 .2 m and 0.4 m om the um e e 1. 2 m and 1. 0 m es e ti ely. I the
o i inal ate table as at a de th o 1.9 m belo ound le el, nd the e meability
o the sand in m s and an a o imate alue o the e e ti e ain si e.
Answer = . × 10− 4 m s, 10 ≈ 0.2 mm

ercise 2.4
ylinde o oss se tional a ea 2 00 mm2 is lled ith sand o e meability

.0 mm s. Wate is aused to o th ou h sand unde a onstant head usin the
a an ement sho n in i . 2. .
ete mine the uantity o ate dis ha ed in 10 min.
Answer 9 × 10 mm
Fig. 2.33 E e ise 2.4.
ercise 2.
he s e i a ity o a ti les o a sand is 2. 4 and thei o osity is 4 in the

loose state and in the dense state. What a e the iti al hyd auli adients o
these t o states
Answer 0. , 0.9
ercise 2.
la e o en e a ation as made into a st atum o lay ith a satu ated unit ei ht

o 1 . m . When the de th o the e a ation ea hed . m the bottom ose,
adually a ed, and as ooded om belo ith a mi tu e o sand and ate
subse uent bo in s sho ed that the lay as unde lain by a bed o sand ith its
su a e at a de th o 11. m.
om ute the ele ation to hi h ate ould ha e isen om the sand into a d ill
hole be o e e a ation as sta ted.
Answer .4 m abo e to o sand
ercise 2.
soil de osit onsists o th ee ho i ontal laye s o soil an u e st atum 1m

thi , a middle st atum 2 m thi and a lo e st atum m thi . Pe meability
tests a e the ollo in alues
Soil × 10− 1 mm s
Soil 2 × 10− 1 mm s
Soil 1 × 10− 1 mm s
ete mine the atio o the a e a e e meabilities in the ho i ontal and e ti al

di e tions.
Answer 1.22
eneath the de osit the e is a a el laye sub e ted to a tesian essu e, the
su a e o the de osit oin idin ith the ound ate le el. Stand i es sho that
the all in head a oss soil is 1 0 mm. ete mine the alue o the ate essu e
in the a el.
Answer 0 Pa
Ch a p t e r 3
Total and Effective Stress
3.1 State of stress in a soil mass
3.1.1 Stress–strain relat ionships

e o e ommen in a study o the mate ial in this ha te it is best to be ome amilia ith the main
te ms used to des ibe the st ess–st ain elationshi s o a mate ial. It is use ul to be in by e aminin a
ty i al st ess–st ain lot obtained o a metal i . .1a .
esults su h as those indi ated in the u e ould no mally be obtained by sub e tin a s e imen o the
metal to a tensile test and lottin the alues o tensile st ain a ainst the nominal alues o tensile st ess, as
the st ess–st ain elationshi obtained is e ually a li able in tension o om ession in the ase o a metal.
Note: ominal st ess = a tual load o i inal oss se tional a ea o s e imen, i.e. no allo an e is made
o edu tion in a ea, due to ne in , as the load is in eased.
om the lot it is seen that in the ea ly sta es o loadin , u to oint , the st ess is o o tional to
the st ain. nloadin tests an also demonst ate that, u to the oint , the metal is elasti in that it ill
etu n to its o i inal dimensions i the load is emo ed. he limitin st ess at hi h elasti ity e e ts a e
not uite om lete, is no n as the elasti limit, e esented by oint . he limitin st ess at hi h
linea ity bet een st ess and st ain eases is no n as the limit o o o tionality, oint .
In most metals oints and o u so lose to ethe that they a e ene ally assumed to oin ide, i.e.
elasti limit is assumed e ual to the limit o o o tionality.
Point in i . .1a e esents the yield oint, i.e. the st ess alue at hi h the e is a sudden d o o
load, as illust ated, o the st ess alue at hi h the e is a ontinuin e tension ith no u the si ni ant
in ease in load.
i u e .1a an be a o imated to i . .1b hi h e esents the ideal elasti – lasti mate ial. In this
dia am, oint 1 e esents the limit o elasti ity and o o tionality and the oint at hi h lasti beha
iou o u s. he o m o the om essi e st ess–st ain elationshi s ty i al o all ty es o soil u to thei
ea alues is as sho n in i . .1 .
It is seen that the st ess–st ain elationshi o a soil is ne e linea and, in o de to obtain solutions, the
desi ne is o ed eithe to assume the idealised onditions o i . .1b o to sol e a a ti ula oblem
di e tly om the esults o tests that sub e t sam les o the soil to onditions that losely esemble those
that a e e e ted to a ly in situ.
In most soil oblems the indu ed st esses a e eithe lo enou h to be ell belo the yield st ess o
the soil and it an be assumed that the soil ill beha e elasti ally e. . immediate settlement oblems ,
o they a e hi h enou h o the soil to ail by lasti yield bea in a a ity and ea th essu e oblems ,
he e it an be assumed that the soil ill beha e as a lasti mate ial.
With soils, e en u the assum tions must be made i one is to obtain a solution. ene ally it is assumed
that the soil is both homo eneous and isot o i . s ith the assum tion o e e t elasti ity these theo
eti al elationshi s do not a ly in a ti e but an lead to ealisti esults hen sensibly a lied.
Smith’s Elements of Soil Mechanics, 9th Edition. Ian Smith.

74
Total and Effective Stress 75
Stress B
plastic
elastic
Strain
(a) (b) (c)
Fig. 3.1 St ess–st ain elationshi s.
z
z
σzz
σzz τ zx
τ zx τ zy
τ xy σxx
τ yx σxx
τ xz
σyy
τ yz τ xz x x
y
(a) 3-d stress system (b) 2-d stress system
Fig. 3.2 h ee and t o dimensional st ess states.
3.1.2 Stresses within a soil mass

ma o oblem in eote hni al analysis is the estimation o the state o st ess at a oint at a a ti ula
de th in a soil mass.
load a tin on a soil mass, hethe inte nal, due to its sel ei ht, o e te nal, due to a load a lied
at the bounda y, eates st esses ithin the soil. I e onside an elemental ube o soil at the oint
onside ed, then a solution by elasti theo y is ossible. Ea h lane o the ube is sub e ted to a st ess,
σ, a tin no mal to the lane, to ethe ith a shea st ess, τ, a tin a allel to the lane. he e a e
the e o e a total o si st ess om onents a tin on the ube see i . .2a . n e the alues o these
om onents a e dete mined then they an be om ounded to i e the ma nitudes and di e tions o the
in i al st esses a tin at the oint onside ed.
any eote hni al st u tu es o e ate in a state o lane st ain, i.e. one dimension o the st u tu e is
la e enou h o end e e ts to be i no ed and the oblem an be e a ded as one o t o dimensions.
he t o dimensional st ess state is illust ated in i . .2b.
3.2 Total stress
he total e ti al st ess a tin at a oint in the soil e. . st ess σ in i . .2b is due to the ei ht o
e e ythin that lies abo e that oint in ludin soil, ate and any load a lied to the soil su a e. St esses
indu ed by the ei ht o the soil sub e t the elemental ube to e ti al st ess only and they annot eate
shea st esses unde a le el su a e.
otal st ess in eases ith de th and ith unit ei ht and the total e ti al st ess at de th in the soil
due to the ei ht o the soil a tin abo e, as de i ted in i . , is de ned
76 Smith’s Elements of Soil echanics
ground surface
σz
σx σx
σz
Fig. 3.3 otal st ess in a homo eneous soil mass.
ground surface
water table
zw
Fig. 3.4 yd ostati oe ate essu e.
σ = γ
he e γ = unit ei ht o the soil.
I the soil is multi laye ed, the total e ti al st ess is dete mined by summin the st esses indu ed by ea h
laye o soil see E am les .1 and .2 .
3.3 ore press re
he te m o e ate as int odu ed in Se tion 2.2.1. Po e ate e e ien es essu e no n as the o e

essu e o o e ate essu e, u. he ma nitude o the o e essu e at a oint in the soil de ends on
the de th belo the ate table and the o onditions. In the ase o a ho i ontal ound ate table,
e may be able to assume that no o is ta in la e and the o e essu e at a oint beneath the
ound ate table an be established om the hyd ostati essu e a tin . he ma nitude o the o e
essu e at the ate table is e o.
In i . .4 the o e essu e is i en by the hyd ostati essu e.
u = γ w zw
he e
zw = the depth below t he water table.

Total and Ef fective Stress 77
In situations he e see a e is ta in la e, the o e essu es an be established om a o net.

It is lea that o e essu es a e ositi e belo the ate table. bo e the ate table ho e e , the
soil is satu ated ith a illa y ate in a state o su tion, and he e the o e essu es ill be ne ati e.
u = − γ whc
he e
hc = height of capillary rise.
3.4 Effective stress
he st ess that ont ols han es in the olume and st en th o a soil is no n as the effective stress. In
ha te 1 it as seen that a soil mass onsists o a olle tion o mine al a ti les ith oids bet een
them. hese oids a e lled ith ate , ai and ate , o ai only see i . 1.10 .
o the moment let us onside satu ated soils only. When a load is a lied to su h a soil, it ill be
a ied by the ate in the soil oids ausin an in ease in the o e ate essu e o by the soil s el
eton in the o m o ain to ain onta t st esses , o else it ill be sha ed bet een the ate and the
soil s eleton as illust ated in i . . . he o tion o the total st ess a ied by the soil a ti les is no n
as the e e ti e st ess, σ′. he load a ied by the ate i es ise to an in ease in the o e ate es
su e, u, hi h, de endin on the e meability, leads to ate o in unde essu e out o the soil mass.
his is alled d aina e and leads to soils ossessin di e ent st en th ha a te isti s be o e, du in and
at the end o the d aina e e iod. his in tu n ne essitates the need o us to unde stand the beha iuo
o the soil both immediately at the oint o loadin i.e. hen the soil is in an undrained state and at a
oint in time lon a te the load has been a lied i.e. hen the soil is in a drained state . he e e ts o
und ained and d ained onditions on soil st en th a e o e ed in ha te 4.
e a hi st esented the on e t o e e ti e st ess in 192 and a ain, in 19 , at the i st Inte na
tional on e en e on Soil e hani s and oundation En inee in , at a a d ni e sity. e sho ed, om
the esults o many soil tests, that hen an und ained satu ated soil is sub e ted to an in ease in a lied
no mal st ess, Δ σ, the o e ate essu e ithin the soil in eases by Δ u, and the alue o Δ u is e ual
to the alue o Δ σ. his in ease in u aused no measu able han es in eithe the olumes o the st en ths
Total stress, σ
σ′ σ′
σ′ σ′
Area, A
Fig. 3.5 Load a ied by soil a ti les and oe ate .

o the soils tested, and e a hi the e o e used the te m neutral stress to des ibe u, instead o the no
mo e o ula te m o e ate essu e.
e a hi on luded that only a t o an a lied st ess system ont ols measu able han es in soil
beha iou and this is the balan e bet een the a lied st esses and the neut al st ess. e alled these
balan in st esses the e e ti e st esses. e u the e lained that i a satu ated soil ails by shea , the
no mal st ess on the lane o ailu e, σ, also onsists o the neut al st ess, u, and an e e ti e st ess, σ′
hi h led to the e uation no n to all soils en inee s
effective stress = total stress − pore pressure

σ′ = σ − u
he e the ime e esents ‘e e ti e st ess’.

his e uation is a li able to all satu ated soils.
E ample 3.1 Total and effective stress
m laye o sand, o satu ated unit ei ht 1 m , o e lies a 4 m laye o lay, o

satu ated unit ei ht 20 m . I the ound ate le el o u s ithin the sand at 2 m
belo the ound su a e, dete mine the total and e e ti e e ti al st esses a tin at
the ent e o the lay laye . he sand abo e ound ate le el may be assumed to be
satu ated.
Solut ion:
o this so t o oblem it is usually best to d a a dia am to e esent the soil ondi
tions see i . . .
Total vertical stress at centre of clay = Total weight of so il above
σv = 2 m saturated clay + 3 m saturated sand
= 2 × 20 + 3 × 18 = 94 kPa
Effective stress = Total stress − Water pressure
σv′ = 94 − 9.81(2 + 1) = 64.6 kPa
Fig. 3.6 E am le .1.

Total and Effect ive Stress 7
E ample 3.2 istri tions of total stress pwp and effective

stress
m dee de osit o silty sand lies abo e a 4 m dee de osit o a el. he a el is

unde lain by a dee laye o sti lay. he ound ate table is ound 2 m belo the
ound su a e. he soil o e ties a e
ρb sand abo e W = 1. m
ρsat sand belo W = 1.9 m
ρsat a el = 2.0 m
a the dist ibutions o e ti al total st ess, o e ate essu e, and e ti al e e ti e
st ess ith de th do n to the lay laye .
Solut ion:
he alues o total st ess, o e essu e and e e ti e st ess a e al ulated at the salient
oints th ou h the soil o le. hese oints a e he e han es in onditions o u , su h
as the ho i on bet een t o soils.
e th = 0 m σ = 0 u = 0 σ′ = 0
e th = 2 m σ = 1. 0 × 9. 1 × 2 = .4 Pa
u= 0
σz′ = 33.4 − 0 = 33.4 kPa
e th = m σ = .4 + 1.9 × 9. 1 × = 90. Pa
u = 9. 1 × = 29.4 Pa
σz′ = 90.8 − 29.4 = 61.4 kPa
e th = 9 m σ = 90. + 2.0 × 9. 1 × 4 = 1 1.2 Pa
u = 9. 1 × = . Pa
σz′ = 171.2 − 68.7 = 102.5 kPa
he dist ibutions a e then lotted see i . . . ote that the alues o total st ess,
o e essu e and e e ti e st ess all in ease linea ly bet een su essi e de ths in the
o le.
0
Depth
(m) 33.4
2
sand
90.8
5
29.4 61.4
u σz gravel
σz´
68.7 102.5 171.2

9
Stresses and p re pressure ( a)

Smith’s Elements of Soil echanics
3.5 Stresses ind ced applied loads
3.5.1 Stresses ind ced nif orm s rface s rchar e

In the ase o a uni o m su ha e s ead o e a la e a ea it an be assumed that the in ease in e ti al
st ess esultin om the su ha e is onstant th ou hout the soil. e e, the e ti al total st ess at de th
, is i en by
σz = γ z + q
he e is the ma nitude o the su ha e Pa .
E ample 3.3 Effective stress with s rface loadin
etails o the subsoil onditions at a site a e sho n in i . . to ethe ith details o

the soil o e ties. he ound su a e is sub e ted to a uni o m loadin o 0 Pa and
the ound ate le el is 1.2 m belo the u e su a e o the silt. It an be assumed
that the a el has a de ee o satu ation o 0 and that the silt laye is ully satu ated.
γ = 9. 1 m.
ete mine the e ti al e e ti e st ess a tin at a oint 1 m abo e the silt o inte a e.
Solut ion:
Gs + eSr 2.65 + 0.65 × 0.5
Bulk unit weight of gravel = γ w = 9.81
1+ e 1+ 0.65
= 17.7 kN 3
Gs + e 2.58 + 0.76
Saturated weight of silt = γ w = 9.81
1+ e 1+ 0.76
3
= 18.6
6 kN/m
E e ti e e ti al st ess at 1 m abo e silt o inte a e
Uniform pressure Totall pressure
= applied at ground + due to weight − [ Water pressure]
surface of soils
= 60 + 1 8× 17 7 + 4 2 × 18 6 − × 81
= 140 6 kPa
Gs = 2.65
1.8 m Gravel
e = 0.65
1.2 m
Gs = 2.58
4m Silt
e = 0.76
Rock
Fig. 3.8 E am le . .
Total and Ef fective St ress 1
3.5.2 Stresses ind ced point load

he sim lest ase o a lied loadin has been illust ated in E am le . . o e e , most loads a e a lied
to soil th ou h oundations o nite a ea so that the st esses indu ed ithin the soil di e tly belo a
a ti ula oundation a e di e ent om those indu ed ithin the soil at the same de th but at some adial
distan e a ay om the ent e o the oundation.
he dete mination o the st ess dist ibutions eated by a ious a lied loads has o u ied esea he s
o many yea s. he basi assum tion used in all thei analyses is that the soil mass a ts as a ontinuous,
homo eneous and elasti medium. he assum tion o elasti ity ob iously int odu es e o s but it leads
to st ess alues that a e o the i ht o de and a e suitable o most outine desi n o .
In most oundation oblems, ho e e , it is only ne essa y to be a uainted ith the increase in e ti al
st esses o settlement analysis and the increase in shea st esses o shea st en th analysis .
oussines 1 e ol ed e uations that an be used to dete mine the si st ess om onents that a t
at a oint in a semi in nite elasti medium due to the a tion o a e ti al oint load a lied on the ho i
ontal su a e o the medium.
is e ession o the in ease in e ti al st ess is
3Pz3
∆ σz = 5
2π(r 2 + z2 )2
he e
P = on ent ated load

r = x 2 + y2 see i . .9, inset .
he e ession has been sim li ed to
P
∆ σz = K
z2
he e is an in uen e a to .
alues o a ainst alues o a e sho n in i . .9.
Fig. 3.9 In uen e oe ients o e ti al st ess om a on ent ated load a te oussines , 1 .

2 Smit h’s Elements of Soil echanics
E ample 3.4 ertical stress increments eneath a point load
on ent ated load o 400 a ts on the su a e o a soil.

ete mine the e ti al st ess in ements at oints di e tly beneath the load to a de th
o 10 m.
Solut ion:
o oints belo the load = 0 and at all de ths = 0, hilst om i . .9 it is seen
that = 0.4 .
P P
z (m) z2 ∆ σz = K (kPa)
z2 z2
0. 0.2 1 00.0 .0
1.0 1.00 400.0 192.0
2. .2 4.0 0.
.0 2 .00 1 .0 .
. .2 .1 .4
10.0 100.00 4.0 1.9
his method is only a li able to a oint load, hi h is a a e o u en e in soil me hani s, but the
method an be e tended by the in i le o su e osition to o e the ase o a oundation e e tin a
uni o m essu e on the soil. lan o the oundation is e a ed and this is then s lit into a on enient
numbe o eomet i al se tions. he o e due to the uni o m essu e a tin on a a ti ula se tion is
assumed to be on ent ated at the ent oid o the se tion, and the e ti al st ess in ements at the oint
to be analysed due to all the se tions a e no obtained. he total e ti al st ess in ement at the oint
is the summation o these in ements.
3.5.3 Stresses ind ced niform rect an lar load

hese an be established ollo in Steinb enne ’s method 19 4 . I a oundation o len th L and idth
e e ts a uni o m essu e, , on the soil then the e ti al st ess in ement due to the oundation at a
de th belo one o the o ne s is i en by the e ession
σz = pIσ
he e Iσ is an in uen e a to de endin u on the elati e dimensions o L, and .

Iσ an be e aluated by the oussines theo y and alues o this a to hi h de end u on the t o
oe ients m = and n = L e e e a ed by adum in 194 i . .10 .
With the use o this in uen e a to the dete mination o the e ti al st ess in ement at a oint unde
a oundation is e y mu h sim li ed, o ided that the oundation an be s lit into a set o e tan les o
s ua es ith o ne s that meet o e the oint onside ed.
Fig. 3.10 In uen e a to s o the e ti al st ess beneath the o ne o a e tan ula oundation a te
adum, 194 .
E ample 3.5 ertical stress increments eneath a fo ndation
4. m s ua e oundation e e ts a uni o m essu e o 200 Pa on a soil. ete mine i

the e ti al st ess in ements due to the oundation load to a de th o 10 m belo its
ent e and ii the e ti al st ess in ement at a oint m belo the oundation and 4 m
om its ent e alon one o the a es o symmet y.
Solut ion:
i he s ua e oundation an be di ided into ou s ua es hose o ne s meet at the

ent e i . .11a .
B L
z (m) m= n= Iσ 4Iσ σ z (kPa)
z z
2. 0.9 0.9 0.1 0. 2 1 0

.0 0.4 0.4 0.0 4 0.29 9
. 0. 0. 0.04 0.1 2
10.0 0.2 0.2 0.02 0.1 20
Fig. 3.11 E am le . .
ii his e am le illust ates ho the method an be used o oints outside the ounda
tion a ea i . .11b . he oundation is assumed to e tend to the oint i . .11
and is no s lit into t o e tan les, E and .
o both e tan les
B 2.25 L 6.25
m= = = 0.75; n = = = 2.08
z 3 z 3
om i . .10, Iσ = 0.1 , the e o e σ = 0.1 × 2 × 200 = 0.4 Pa.
he e e t o e tan les E and must no be subt a ted.
o both e tan les
2.25 1.75
m= = 0.75; n = = 0.58
3 3
om i . .10, Iσ = 0.122 st i tly s ea in m is 0. and n is 0. , but m and n a e
inte han eable in i . .10 . en e
σz = 0.122 × 2× 200 = 48.8 kPa
he e o e the e ti al st ess in ement due to the oundation
= 70.4 − 48.8 = 21.6 kPa
i ula oundations an also be sol ed by this method. he st ess e e ts om su h a oundation may

be ound a o imately by assumin that they a e the same as o a s ua e oundation o the same a ea.
E ample 3.6 ertical stress increments eneath circ lar

fo ndation
i ula oundation o diamete 100 m e e ts a uni o m essu e on the soil o 4 0 Pa.

ete mine the e ti al st ess in ements o de ths u to 200 m belo its ent e.
Solut ion:
π× 1002
Area of foundation = = 7850 m2
4
Len th o side o s ua e oundation o same a ea = √ 0 = . m. his ima ina y

s ua e an be di ided into ou s ua es as in E am le . i . Len th o sides o
s ua es = 44. m.
B
z (m) n= m= Iσ 4Iσ σ z (kPa)
z
10 4.4 0.24 0.992 44

2 1. 0.221 0. 4 9
0 0. 9 0.1 0. 4 2
100 0.44 0.0 1 0.2 4 12
1 0 0. 0.04 0.1 2
200 0.22 0.024 0.09 4
3.5.4 rre larl shaped fo ndations

It may not be ossible to em loy adum’s method o i e ula ly sha ed oundations, and a nume i al solu
tion is then only ossible by the use o oussines ’s oe ients, , and the in i le o su e osition.
om ute so t a e o al ulatin the e ti al st ess in ements beneath i e ula ly sha ed oundations
is idely a ailable and no adays su h so t a e is outinely used to dete mine the st ess alues. isto i
ally, ho e e , the e ma ha t e ma , 1942 as used to dete mine the alues and any eade
inte ested in the use o the e ma ha t is uided to the se enth, o ea lie , editions o this boo o
a ull and detailed e lanation.
3.5.5 l s of press re
I oints o e ual e ti al essu e a e lotted on a oss se tion th ou h the oundation, dia ams o the
o m sho n in i s .12a and .12b a e obtained.
Fig. 3.12 ulbs o essu e o e ti al st ess.

hese dia ams a e no n as bulbs o essu e and onstitute anothe method o dete minin e ti al
st esses at oints belo a oundation that is o e ula sha e, the bulb o essu e o a s ua e ootin
bein obtainable a o imately by assumin that it has the same e e t on the soil as a i ula ootin
o the same a ea.
In the ase o a e tan ula ootin the bulb essu e ill a y at oss se tions ta en alon the len th
o the oundation, but the e ti al st ess at oints belo the ent e o su h a oundation an still be
obtained om the ha ts in i . .12 by eithe i assumin that the oundation is a st i ootin o ii
dete minin σ alues o both the st i ootin ase and the s ua e ootin ase and ombinin them
by o o tionin the len th o the t o oundations.
om a bulb o essu e one has some idea o the de th o soil a e ted by a oundation. Si ni ant
st ess alues o do n ou hly to 2.0 times the idth o the oundation, and i . .1 illust ates ho the
esults om a late loadin test see ha te may i e uite misleadin esults i the o osed ounda
tion is mu h la e the so t laye o soil in the dia am is una e ted by the late loadin test but ould
be onside ably st essed by the oundation.
o eholes in a site in esti ation should the e o e be ta en do n to a de th at least 1. times the idth
o the o osed oundation o until o is en ounte ed, hi he e is the lesse .
Small oundations ill a t to ethe as one la e oundation i . .14 unless the oundations a e at a
eate distan e a a t than e times thei idth, hi h is not usual. o eholes o a buildin site
in esti ation should the e o e be ta en do n to a de th o a o imately 1. times the idth o the
o osed buildin .
Plate loading test Proposed foundation
Firm soil
Soft layer
Fig. 3.13 Plate loadin test may i e misleadin esults.
Fig. 3.14 e la in o essu e bulbs.

Total and Effect ive Stress 7
Fig. 3.15 P essu e bulbs o shea st ess.
3.5.6 Shear st resses

In no mal oundation desi n o edu e it is essential to he that the shea st en th o the soil see
ha te 4 ill not be e eeded. he shea st ess de elo ed by loads om oundations o a ious sha es
an be al ulated. Jü enson obtained solutions o the ase o a i ula ootin and o the ase o a
st i ootin i . .1 . It may be noted that, in the ase o a st i ootin , the ma imum st ess indu ed
in the soil is π, this alue o u in at oints lyin on a semi i le o diamete e ual to the oundation
idth . en e the ma imum shea st ess unde the ent e o a ontinuous oundation o u s at a de th
o 2 beneath the ent e.
Shear st resses under a rectangular foundation

It is sometimes ne essa y to e aluate the shea st esses beneath a oundation in o de to dete mine a
i tu e o the li ely o e st essin in the soil.
n o tunately a la e numbe o oundations a e neithe i ula no s ua e but e tan ula , but i s
.1 a and .1 b an be used to i e a ou h estimate o shea st ess unde the ent e o a e tan ula
ootin .
E ample 3.7 Shear stress ind ced fo ndation loadin
e tan ula oundation has the dimensions 1 m × m and e e ts a uni o m essu e

on the soil o 00 Pa. ete mine the shea st ess indu ed by the oundation beneath
the ent e at a de th o m.
Solut ion:
St i ootin
z 5
= = 1. 0
B 5
om i . .1 b
0.81× 600
τ= = 155 kPa
π
o a s ua e ootin
Area = 5 × 5 = 25 m2
iamete o i le o same a ea
25 × 4
= 5.64 m
π
en e the shea st ess unde a m s ua e oundation an be obtained om the bulb
o essu e o shea st ess o a i ula oundation o diamete . 4 m.
z 5
= = 0.89
B 5.64
om i . .1 a
τ = 0.2 × 600 = 120 kPa
hese alues an be ombined i e o o tion them to the es e ti e a eas o
len ths
15
τ = 120 + (155 − 120) = 146 kPa
15 + 5
he method is a o imate but it does i e an indi ation o the shea st ess alues.
3.5.7 ontact press re

onta t essu e is the a tual essu e t ansmitted om the oundation to the soil. h ou hout Se tion
. it has been assumed that this onta t essu e alue, , is uni o m o e the hole base o the ounda
tion, but a uni o mly loaded oundation ill not ne essa ily t ansmit a uni o m onta t essu e to the soil.
his is only ossible i the oundation is e e tly e ible. he onta t essu e dist ibution o a i id
oundation de ends u on the ty e o soil beneath it. i u es .1 a and .1 b sho the o m o onta t
essu e dist ibution indu ed in a ohesi e soil a and in a ohesionless soil b by a i id, uni o mly loaded,
oundation.
n the assum tion that the e ti al settlement o the oundation is uni o m, it is ound om the elasti
theo y that the st ess intensity at the ed es o a oundation on ohesi e soils is in nite. b iously lo al
yieldin o the soil ill o u until the esultant dist ibution a o imates to i . .1 a.
p p
(a) Cohesive soil (b) Cohesionless soil
Fig. 3.16 onta t essu e dist ibution unde a i id oundation loaded ith a uni o m essu e, .
Total and Effective Stress
o a i id su a e ootin sittin on sand the st ess at the ed es is e o as the e is no o e bu den to

i e the sand shea st en th, hilst the essu e dist ibution is ou hly a aboli i . .1 b . he mo e
the oundation is belo the su a e o the sand the mo e shea st en th the e is de elo ed at the ed es
o the oundation, ith the esult that the essu e dist ibution tends to be mo e uni o m.
In the ase o ohesi e soil, hi h is at ailu e hen the hole o the soil is at its yield st ess, the dis
t ibution o the onta t essu e a ain tends to uni o mity.
ein o ed on ete oundation is neithe e e tly e ible no e e tly i id, the onta t essu e
dist ibution de endin u on the de ee o i idity. his essu e dist ibution should be onside ed hen
desi nin o the moments and shea s in the oundation, but in o de to e aluate shea and e ti al
st esses belo the oundation the assum tion o a uni o m load indu in a uni o m essu e is su iently
a u ate.
E ercises
E ercise 3.1
a t oundation sub e ts its su o tin soil to a uni o m essu e o 00 Pa. he

dimensions o the a t a e .1 m by 1 .2 m. ete mine the e ti al st ess in ements
due to the a t at a de th o 4. m belo it i at the ent e o the a t and ii at
the ent al oints o the lon ed es.
Answer i 192 Pa, ii 1 2 Pa
E ercise 3.2
on ent ated load o a ts on the ho i ontal su a e o a soil. Plot the a i

ation o e ti al st ess in ements due to the load on ho i ontal lanes at de ths o
1 m, 2 m and m di e tly beneath it.
Answer i . .1 .
Fig. 3.17 E e ise .2.

E ercise 3.3
he lan o a oundation is i en in i . .1 a. he uni o m essu e on the soil is

40 Pa. ete mine the e ti al st ess in ement due to the oundation at a de th o
m belo the oint , usin i . .10.
Note: In o de to obtain a set o e tan les hose o ne s meet at a oint, a

se tion o the oundation a ea is sometimes in luded t i e and a o e tion made.
o this a ti ula oblem the oundation a ea must be di ided into si e tan les
i . .1 b the e e t o the shaded o tion ill be in luded t i e and must the e
o e be subt a ted on e.
Answer 11.1 Pa
Fig. 3.18 E e ise . .
E ercise 3.4
load o 00 is uni o mly dist ibuted th ou h a ad oundation o dimensions

1.0 m × 1. m. ete mine the in ease in e ti al st ess at a de th o 2.0 m belo
one o ne o the oundation.
Answer Pa
Ch a p t e r 4
Shear Strength of Soils
he o e ty that enables a mate ial to emain in e uilib ium hen its su a e is not le el is no n as its
shea st en th. Soils in li uid o m ha e i tually no shea st en th and e en hen solid, ha e shea
st en ths o elati ely small ma nitudes om a ed ith those e hibited by steel o on ete.
o a e iate this se tion some no led e o the ele ant st en th o mate ials is use ul. b ie
summa y o this sub e t is set out belo .
4.1 Friction
onside a blo o ei ht W estin on a ho i ontal lane i . 4.1a . he e ti al ea tion, , e uals W,

and the e is onse uently no tenden y o the blo to mo e. I a small ho i ontal o e, , is no a lied
to the blo and the ma nitude o is su h that the blo still does not mo e, then the ea tion ill
no lon e a t e ti ally but be omes in lined at some an le, α, to the e ti al.
y onside in the e uilib ium o o es, st in the ho i ontal di e tion and then in the e ti al di e
tion, it is seen that
Horizontal component of R = H = R sinα

Vertical component of R = W = R cosα i . 4.1b
he an le α is alled the an le o obli uity and is the an le that the ea tion on the lane o slidin
ma es ith the no mal to that lane. I is slo ly in eased in ma nitude, a sta e ill be ea hed at
hi h slidin is imminent as is in eased the alue o α ill also in ease until, hen slidin is imminent,
α has ea hed a limitin alue, φ. I is no in eased still u the the an le o obli uity, φ, ill not be ome
eate and the blo , ha in a hie ed its ma imum esistan e to ho i ontal mo ement, ill mo e φ is
no n as the an le o i tion . he i tional esistan e to slidin is the ho i ontal om onent o and,
as an be seen om the t ian le o o es in i . 4.1b, e uals tan φ he e e uals the no mal o e
on the su a e o slidin in this ase = W .
s α only a hie es the alue φ hen slidin o u s, it is seen that the i tional esistan e is not onstant
and a ies ith the a lied load until mo ement o u s. he te m tan φ is no n as the oe ient o
i tion.
4.2 Complex stress
When a body is a ted u on by e te nal o es, then any lane ithin the body ill be sub e ted to a
st ess that is ene ally in lined to the no mal to the lane. Su h a st ess has both a no mal and a tan ential
om onent and is no n as a compound, o complex, stress i . 4.2 .

91
Fig. 4.1 i tion on ho i ontal lane.
= +
Fig. 4.2 om le st ess.
Principal plane
lane that is a ted u on by a no mal st ess only is no n as a in i al lane, the e is no tan ential,
o shea , st ess esent. s is seen in the ne t se tion dealin ith in i al st ess, only th ee in i al
lanes an e ist in a st essed mass.
Principal stress
he no mal st ess a tin on a in i al lane is e e ed to as a in i al st ess. t e e y oint in a
soil mass, the a lied st ess system that e ists an be esol ed into th ee in i al st esses that a e
mutually o tho onal. he in i al lanes o es ondin to these in i al st esses a e alled the
ma o , inte mediate and mino in i al lanes and a e so named om a onside ation o the in i al
st esses that a t u on them. he la est in i al st ess, σ1, is no n as the ma o in i al st ess and
a ts on the ma o in i al lane. Simila ly the inte mediate in i al st ess, σ2, a ts on the inte mediate
in i al lane hilst the smallest in i al st ess, σ , alled the mino in i al st ess, a ts on the
mino in i al lane. iti al st ess alues and obli uities ene ally o u on the t o lanes no mal
to the inte mediate lane so that the e e ts o σ2 an be i no ed and a t o dimensional solution is
ossible.
4.3 The Mohr circle diagram
i u e 4. a sho s a ma o in i al lane, a ted u on by a ma o in i al st ess, σ1, and a mino in i al

lane, a ted u on by a mino in i al st ess, σ .
y onside in the e uilib ium o an element ithin the st essed mass i . 4. b , it an be sho n that
on any lane, in lined at an le θ to the di e tion o the ma o in i al lane, the e is a shea st ess, τ,
and a no mal st ess, σn. he ma nitudes o these st esses a e
σ1 − σ3
τ= sin 2θ
2
σn = σ3 + (σ1 − σ3 ) cos2 θ
Shear St rength of Soils 93
Major principal plane
(b)
Minor principal plane
(a)
Fig. 4.3 St ess indu ed by t o in i al st esses, σ1 and σ , on a lane in lined at θ to σ .
Fig. 4.4 oh i le dia am.
hese o mulae lend themsel es to a hi al e esentation, and it an be sho n that the lo us o st ess
onditions o all lanes th ou h a oint is a i le ene ally alled a oh i le . In o de to d a a oh
i le dia am a s e i on ention must be ollo ed, all no mal st esses in ludin in i al st esses
bein lotted alon the a is hile shea st esses a e lotted alon the a is . o most ases the
a is is ho i ontal and is e ti al, but the dia am is sometimes otated to i e o e t o ientation.
he on ention also assumes that the di e tion o the ma o in i al st ess is a allel to a is , i.e. the
di e tion o the ma o in i al lane is a allel to a is .
o d a the dia am, st lay do n the a es and , then set o and alon the a is
to e esent the ma nitudes o the mino and ma o in i al st esses es e ti ely, and nally onst u t
the i le ith diamete . his i le is the lo us o st ess onditions o all lanes assin th ou h the
oint , i.e. a lane assin th ou h and in lined to the ma o in i al lane at an le θ uts the i le
at . he oo dinates o the oint a e the no mal and shea st esses on the lane i . 4.4 .
Normal stress = σn = OE = OA + AE = σ3 + AD cosθ

= σ3 + AB cos2 θ
o s2 θ
= σ3 + (σ1 − σ3 )co
Fig. 4.5 oh i le dia am o limit shea esistan e.
Shear stress = τ = DE = DC sin(180° − 2θ)

= DC sin 2θ
σ1 − σ3
= sin 2θ
2
In i . 4.4, E and E e esent the no mal and shea st ess om onents o the om le st ess a tin
on lane . om the t ian le o o es E it an be seen that this om le st ess is e esented in
the dia am by the line , hilst the an le e esents the an le o obli uity, α, o the esultant
st ess on lane .
Limit conditions
It has been stated that the ma imum shea in esistan e is de elo ed hen the an le o obli uity e uals
its limitin alue, φ. o this ondition the line be omes a tan ent to the st ess i le, in lined at an le
φ to a is i . 4. .
n inte estin oint that a ises om i . 4. is that the ailu e lane is not the lane sub e ted to the
ma imum alue o shea st ess. he ite ion o ailu e is ma imum obli uity, not ma imum shea st ess.
en e, althou h the lane E in i . 4. is sub e ted to a eate shea st ess than the lane , it is
also sub e ted to a la e no mal st ess and the e o e the an le o obli uity is less than on , hi h is
the lane o ailu e.
Strength envelopes
I φ is assumed onstant o a e tain mate ial, then the shea st en th o the mate ial an be e esented
by a ai o lines assin th ou h the o i in, , at an les + φ and − φ to the a is i . 4. . hese lines
om ise the oh st en th en elo e o the mate ial.
In i . 4. , a state o st ess e esented by i le is uite stable as the i le lies om letely ithin
the st en th en elo e. i le is tan ential to the st en th en elo e and e esents the ondition o
in i ient ailu e, sin e a sli ht in ease in st ess alues ill ush the i le o e the st en th en elo e and
ailu e ill o u . i le annot e ist as it is beyond the st en th en elo e.
Relat ionship between φ and θ

In i . 4. , ∠ = 1 0° − 2θ.
In t ian le ∠ = φ, ∠ = 90°, ∠ = 1 0° − 2θ. hese an les summate to 1 0°, i.e.
φ + 90° + 180° − 2θ = 180°
hen e
φ
θ= + 45°
2
Shear St rength of Soils 9
Fig. 4.6 oh st en th en elo e.
Fig. 4.7 elationshi bet een φ and θ.
Example 4.1 ngle of shearing resistance and angle of fail re

plane
n a ailu e lane in a u ely i tional mass o d y sand the total st esses at ailu e e e
shea = . Pa no mal = 10.0 Pa.
ete mine a by al ulation and b a hi ally the esultant st ess on the lane o
ailu e, the an le o shea in esistan e o the soil, and the an le o in lination o the
ailu e lane to the ma o in i al lane.
Solut ion:
a y al ulation
he soil is i tional, the e o e the st en th en elo e must o th ou h the o i in.
he ailu e oint is e esented by oint in i . 4. a ith oo dinates 10, . .
Resultant stress = OD = 3.52 + 102 = 10.6 kPa
3 .5
tan φ = = 0.35
10
⇒ φ = 19.3°
φ
θ= + 45° = 54.6°
2
b a hi ally
he o edu e i . 4. b is st to d a the a es and and then, to a suitable
s ale, set o oint ith oo dinates 10, . oin this is the st en th en e
lo e . he st ess i le is tan ential to at the oint d a line e endi ula
to to ut in , bein the ent e o the i le.
With ent e and adius d a the i le establishin the oints and on
the a is.
y s alin , = esultant st ess = 10. Pa. With ot a to , φ = 19° θ = °.
Note: om the dia am e see that

OA = σ3 = 7.6 kPa
OB = σ1 = 15 kPa
Fig. 4.8 E am le 4.1.
4.4 Cohesion
It is ossible to ma e a e ti al ut in silts and lays and o this ut to emain standin , unsu o ted,
o some time. his annot be done ith a d y sand hi h, on emo al o the uttin im lement, ill
slum until its slo e is e ual to an an le no n as the angle of repose. In silts and lays, the e o e,
some othe a to must ont ibute to shea st en th. his a to is alled ohesion and esults om the
state o d aina e ithin the soil mass ate in a ohesi e soil annot d ain ui ly and so the soil is
laimed to be in an und ained state, and the und ained ohesion is o idin st en th to the soil. In
te ms o the oh dia am this means that the st en th en elo e o the soil, o und ained onditions,
no lon e oes th ou h the o i in but inte e ts the shea st ess a is see i . 4.9 . he alue o the
inte e t, to the same s ale as σn, i es a measu e o the unit ohesion a ailable and is i en the
symbols u. In i . 4.9, as the soil is in an undrained state, the an le o shea in esistan e, φu is e ual
to e o.
4. Co lom ’s la of soil shear strength
It an be seen that the shea esistan e o e ed by a a ti ula soil is made u o the t o om onents o
i tion and ohesion. i tional esistan e does not ha e a onstant alue but a ies ith the alue o
no mal st ess a tin on the shea lane, he eas ohesi e esistan e has a onstant alue hi h is inde
endent o the alue o σn. In 1 , oulomb su ested that the e uation o the st en th en elo e o a
soil ould be e essed by the st ai ht line e uation
Shear Strength of Soils 9
Fig. 4.9 ohesi e soil, sub e ted to und ained onditions and e o total no mal st ess ill still e hibit a
shea st ess, u.
τ f = c + σ tan φ
he e
τ = shea st ess at ailu e, i.e. the shea st en th

= unit ohesion
σ= total no mal st ess on ailu e lane
φ= an le o shea in esistan e.
he e uation a e satis a to y edi tions o sands and a els, o hi h it as o i inally intended,

but it as not so su ess ul hen a lied to silts and lays. he easons o this a e no ell no n and
a e that the d aina e onditions unde hi h the soil is o e atin to ethe ith the ate o the a lied
loadin ha e a onside able e e t on the amount o shea in esistan e that the soil ill e hibit. one
o this as a e iated in the 1 th entu y, and this la o unde standin ontinued mo e o less until
192 hen e a hi ublished his theo y o e e ti e st ess.
Note: It should be noted that the e a e othe a to s that a e t the alue o the an le o shea in esist
an e o a a ti ula soil. hese in lude the amount o i tion bet een the soil a ti les, the sha e o the
a ti les and the de ee o inte lo bet een them, the density o the soil and its e ious st ess histo y.
Effective st ress, σ′
I a soil mass is sub e ted to the a tion o om essi e o es a lied at its bounda ies, then the st esses
indu ed ithin the soil at any oint an be estimated by the theo y o elasti ity, des ibed in ha te .
o most soil oblems, estimations o the alues o the in i al st esses σ1, σ2 and σ a tin at a a ti ula
oint a e e ui ed. n e these alues ha e been obtained, the alues o the no mal and shea st esses
a tin on any lane th ou h the oint an be om uted.
t any oint in a satu ated soil ea h o the th ee in i al st esses onsists o t o a ts
1 u, the neut al essu e a tin in both the ate and in the solid s eleton in e e y di e tion ith e ual
intensity
2 the balan in essu es σ1 − u , σ2 − u and σ − u .
s e lained in Se tion .4, e a hi’s theo y is that only the balan in essu es, i.e. the e e ti e
in i al st esses, in¦ uen e olume and st en th han es in satu ated soils
Principal effective stress = Principal normal stress − Pore wat er pressure
i.e.
σ1′ = σ1 − u, etc.
4. Modi ed Co lom ’s la
Shea st en th de ends u on e e ti e st ess and not total st ess. oulomb’s e uation must the e o e be
modi ed in te ms o e e ti e st ess and be omes
τ f = c′ + σ′ tan φ′
he e
′ = unit ohesion, ith es e t to e e ti e st esses

σ′ = e e ti e no mal st ess a tin on ailu e lane
φ′ = an le o shea in esistan e, ith es e t to e e ti e st esses.
It is seen that, de endent u on the loadin and d aina e onditions, it is ossible o a lay soil to
e hibit u ely i tional shea st en th i.e. to a t as a ‘ ′ = 0’ o ‘φ′’ soil , hen it is loaded unde d ained
onditions o to e hibit only ohesi e st en th i.e. to a t as a ‘φ = 0’ o ‘ u’ soil hen it is loaded unde
und ained onditions. b iously, at an inte im sta e the lay an e hibit both ohesion and i tional
esistan e i.e. to a t as a ‘ ′ − φ′’ soil .
4. The Mohr–Co lom ield theor
e the yea s a ious yield theo ies ha e been o osed o soils. he best no n ones a e the es a
theo y, the on ises theo y, the oh – oulomb theo y and the iti al state theo y. he st th ee theo
ies ha e been des ibed by isho 19 and the iti al state theo y by S ho eld and W oth 19 and
by ui Wood 1991 .
he oh – oulomb theo y does not onside the e e t o st ains o olume han es that a soil e e i
en es on its ay to ailu e no does it onside the e e t o the inte mediate in i al st ess, σ2. e e
theless satis a to y edi tions o soil st en th a e obtained and, as it is sim le to a ly, the oh – oulomb
theo y is idely used in the analysis o most a ti al oblems hi h in ol e soil st en th.
he oh st en th theo y is eally an e tension o the es a theo y, hi h in tu n as obably based
on oulomb’s o – hen e the title. he theo y assumes that the di e en e bet een the ma o and mino
in i al st esses is a un tion o thei sum, i.e. σ1 − σ = σ1 + σ . ny e e t due to σ2 is i no ed.
he oh i le has been dis ussed ea lie in this ha te and a ty i al e am le o a oh i le dia am
is sho n in i . 4.10. he inte e t on the shea st ess a is o the st en th en elo e is the int insi es
su e, i.e. the st en th o the mate ial hen unde e o no mal st ess. s e no , this inte e t is alled
ohesion in soil me hani s.
In i . 4.10
1
(σ1 − σ3 )
DC 2 σ1 − σ3
sin φ = = =
O ′ C k + 1 (σ + σ ) 2k + σ1 + σ3
1 3
2
en e
σ1 − σ3 = 2k sin φ + (σ1 + σ3 )sin φ

Fig. 4.10 oh i le dia am.
k = c cot φ
⇒ (σ1 − σ3 ) = 2c cosφ + (σ1 + σ3 )sin φ
hi h is the ene al o m o the oh – oulomb theo y.

he e uation an be e essed in te ms o eithe total st ess as sho n o e e ti e st ess
(σ1′ − σ3′ ) = 2c′ cosφ′ + (σ1′ + σ3′ )sin φ′
4. etermination of the shear strength parameters
he shea st en th o a soil is ont olled by the e e ti e st ess that a ts u on it and it is the e o e ob ious
that a eote hni al analysis in ol in the o e ati e st en th o a soil should be a ied out in te ms o
the e e ti e st ess a amete s φ′ and ′. his is the ene al ule and, as you mi ht e e t, the e is at
least one e e tion. he ase o a ully satu ated lay sub e ted to und ained loadin is mo e a o iately
analysed usin total st ess alues and u than by an e e ti e st ess a oa h. s ill be illust ated in late
ha te s, su h a situation an a ise in both slo e stability and bea in a a ity oblems.
It is seen the e o e, that both the alues o the und ained a amete u, and o the d ained a amete s,
φ′ and ′ a e ene ally e ui ed. hey a e obtained om the esults o labo ato y tests a ied out on
e esentati e sam les o the soil ith loadin and d aina e onditions a o imatin to those in the
eld he e ossible. he tests in ene al use a e the di e t shea bo test, the t ia ial test and the un on
ned om ession test, an ada tation o the t ia ial test.
4. .1 The direct shear ox test

he a a atus onsists o a b ass bo , s lit ho i ontally at the ent e o the soil s e imen. he soil is
i ed by e o ated metal illes, behind hi h o ous dis s an be la ed i e ui ed to allo the
sam le to d ain see i . 4.11 .
he usual lan si e o the sam le is 0 × 0 mm2, but o testin anula mate ials su h as a el o
stony lay it is ne essa y to use a la e bo , ene ally 00 × 00 mm2, althou h e en eate dimensions
a e sometimes used.
e ti al load is a lied to the to o the sam le by means o ei hts. s the shea lane is ede
te mined in the ho i ontal di e tion the e ti al load is also the no mal load on the lane o ailu e. a in
a lied the e ui ed e ti al load, a shea in o e is adually e e ted on the bo om an ele t i ally
d i en s e a . he shea o e is measu ed by means o a load t ansdu e onne ted to a om ute .
1 Smith’s Element s of Soil Mechanics
Fig. 4.11 Shea bo assembly.
y means o additional t ansdu e s ed to the shea bo it is ossible to dete mine both the ho i ontal
and the e ti al st ains o the test sam le at any oint du in shea
Movement of box
Horizontal strain (%) =
Length of sample
he load eadin is ta en at ed ho i ontal dis la ements, and ailu e o the soil s e imen is indi ated
by a sudden d o in the ma nitude o the eadin o a le ellin o in su essi e eadin s. In most ases
the om ute lots a a h o the shea in o e a ainst ho i ontal st ain as the test o esses. ailu e
o the soil is isually a a ent om a tu nin oint in the a h o dense soils o a le elin o o the
a h o loose soils .
he a a atus an be used o both d ained and und ained tests. lthou h und ained tests on silts and
sands a e not ossible be ause d aina e ill o u , the test o edu e an be modi ed to maintain
onstant olume onditions du in shea by ad ustin the han e ei hts. his o edu e, in e e t, i es
an und ained state.
sand an be tested eithe d y o satu ated. I d y the e ill be no o e ate essu es and the
inte anula essu e ill e ual the a lied st ess. I the sand is satu ated, the o e ate essu e ill
be e o due to the ui d aina e, and the inte anula essu e ill a ain e ual the a lied st ess.
Example 4.2 Shear ox test i
ained shea bo tests e e a ied out on a se ies o soil sam les ith the ollo in
esults
Test no. Tot al normal st ress (kPa Tot al s ear st ress at ailure (kPa
1 100 9
2 200 1 9
00 1 0
4 400 222
ete mine the e e ti e ohesion and an le o shea in esistan e.
Solut ion:
In this ase, both the no mal and the shea st esses at ailu e a e no n, so the e is no
need to d a st ess i les and the ou ailu e oints may sim ly be lotted. hese
Shear Strength of Soils 1 1
oints must lie on the st en th en elo e and the best st ai ht line th ou h the oints
ill establish it i . 4.12 .
From the plot , c′ = 55 kPa; φ′ = 23°.
Fig. 4.12 E am le 4.2.
Example 4.3 Shear ox test ii
he ollo in esults e e obtained om a d ained shea bo test a ied out on a set

o undistu bed soil sam les
ormal loa (k 0.2 0.4 0.8
St rain ( S earing or e (
0 0 0 0
1 21 4
2 4 2 101
0 110 1
4 9 1 9 20
10 1 4 24
121 1 0 2
1 1 192 04
1 201 0
9 1 210 1
10 1 21 0
11 1 224 91
12 1 2 0 402
1 2 4 410
14 2 414
1 2 41
1 41
1 41
1 41
1 2 Smith’s Elements of Soil Mechanics
he oss se tional a ea o the bo as 00 mm2 and the test as a ied out in a ully
inst umented shea bo a a atus.
ete mine the st en th a amete s o the soil in te ms o e e ti e st ess.
Solut ion:
he lot o load t ansdu e eadin s a ainst st ain is sho n in i . 4.1 a. om this lot,
the ma imum eadin s o no mal loads o 0.2, 0.4 and 0. e e 1 , 2 and 41 .
o this a ti ula ase, the ma imum eadin s ould ob iously ha e been obtained
di e tly om the tabulated esults, but ie in the lots is sometimes use ul to dem
onst ate hethe one o the sets o eadin s di e s om the othe t o.
he shea st ess at ea h ma imum load eadin is al ulated.
ormal loa (k ormal st ress (kPa S ear or e ( S ear st ress (kPa
0.2× 106 0.138 × 106

0.2 = 56 1 = 38
3600 3600
0.4 111 2
0. 222 41 11
he lot o shea st ess to no mal st ess is i en in i . 4.1 b.

he e e ti e st ess en elo e is obtained by d a in a st ai ht line th ou h the th ee
oints. he st en th a amete s a e φ′ = 2 ° ′ = 1 Pa.
Fig. 4.13 E am le 4. .
Shear Strength of Soils 1 3
φ′ peak
Dense
Shear stress
Shear stress
Critical
φ′ cv
Loose Dense
Loose
Horizontal displacement Effective normal stress

(a) (b)
Vertical displacement
Dense Loose
Void ratio
expansion Critical
contraction
Dense
Loose
Horizontal displacement Horizontal displacement

(c) (d)
Fig. 4.14 Shea bo esults on loose and dense sam les o the same soil a shea st ess ’s ho i ontal
dis la ement b shea st ess ’s no mal st ess e ti al dis la ement ’s ho i ontal dis la ement d oid
atio ’s ho i ontal dis la ement.
4. .2 The ef fect of densit on shear st rength

he initial density o a soil tested in a shea bo dete mines the ay in hi h the soil ill beha e du in
shea in . I t o sam les o the same soil a e tested in the shea bo , one sam le la ed in a loose state
and the othe om a ted to a hi he density, the lots o both measu ed shea st ess and e ti al dis
la ement to ho i ontal dis la ement ill be o the o ms sho n in i . 4.14a and . he st en th en e
lo es shea st ess a ainst no mal st ess a e sho n in i . 4.14b.
I the mo ement o o e ate is est i ted, the shea st en th o the sand ill be a e ted the dense
sand ill ha e ne ati e o e essu es indu ed in it, ausin an in ease in shea st en th, hile a loose
sand ill ha e ositi e o e essu es indu ed ith a o es ondin edu tion in st en th i . 4.14a
and b . a ti al a li ation o this e e t o u s hen a ile is d i en into sand, the load on the sand
bein a lied so suddenly that, o a moment, the ate it ontains has no time to d ain a ay.
It is seen om i . 4.14 that as the shea bo test o esses, the initially dense soil e ands in olume
dilates – indi ted by the in ease in e ti al dis la ement o the sam le – until a steady olume is ea hed.
In ont ast, the initially loose soil ont a ts until some steady state o olume is ea hed. his steady state
o olume e e ed to as the iti al olume is ound to be the same alue o both sam les and, as
shea in ontinues, the olume emains onstant. he o es ondin density o the soil at this olume is
no n as the iti al density.
he iti al olume is not e ident in i . 4.14 , but i e onside the han es in oid atio that a e
ha enin du in shea in , e an identi y the iti al olume i . 4.14d . e e the loose sam le sta ts
ith a hi h oid atio, and the dense sam le sta ts ith a lo e one. s the test o esses, the oid
atios on e e thus indi atin the esen e o the iti al olume, and the e isten e o onditions hi h
eate a state no n as the iti al state.
om i . 4.14 e see that both the ultimate shea st en th and the ultimate oid atio a e the
same o both sam les. hus, it is seen that soils ill ea h the iti al state hen unde oin ontinu
ous shea in at onstant st ess and onstant olume. he iti al state is des ibed a little u the in
Se tion 4.14.
1 4 Smit h’s Element s of Soil Mechanics
Fig. 4.15 he t ia ial a a atus.
4. .3 The triaxial test

s its name im lies this test i . 4.1 sub e ts the soil s e imen to th ee om essi e st esses at i ht
an les to ea h othe , one o the th ee st esses bein in eased until the sam le ails in shea . Its eat
ad anta e is that the lane o shea ailu e is not edete mined as in the shea bo test.
he soil sam le test is ylind i al ith a hei ht e ual to t i e its diamete . In the , the usual si es
ae mm hi h by mm diamete and 200 mm hi h by 100 mm diamete .
he test sam le is st la ed on the edestal o the base o the t ia ial ell and a loadin a is la ed
on its to . thin ubbe memb ane is then la ed o e the sam le, in ludin the edestal and the loadin
a , and made ate ti ht by the a li ation o ti ht ubbe in seals, no n as ‘ ’ in s, a ound the
edestal and the loadin a .
he u e a t o the ell, hi h is ylind i al and ene ally made o Pe s e , is ne t ed to the base
and the assembled ell is lled ith ate . he ate is then sub e ted to a edete mined alue o es
su e, no n as the ell essu e, hi h is e t onstant th ou hout the len th o the test. It is this ate
essu e that sub e ts the sam le to an all ound essu e.
he additional a ial st ess is eated by an a ial load a lied th ou h a load t ansdu e , in a simila ay
to that in hi h the ho i ontal shea o e is a lied in the shea bo a a atus. y the a tion o an ele t i
moto , the a ial load is adually in eased at a onstant ate o st ain and as the a ial load is a lied the
sam le su e s ontinuous om essi e de o mation. he amount o this e ti al de o mation is obtained
om a de o mation t ansdu e . h ou hout the test, until the sam le ails, eadin s o the de o mation
t ansdu e and o es ondin eadin s o a ial load a e ta en. With this data, the om ute lots the
a iation o the a ial load on the sam le a ainst its e ti al st ain.
Determ ination of the addit ional axial stress

om the load t ansdu e it is ossible at any time du in the test to dete mine the additional a ial load
that is bein a lied to the sam le.
u in the a li ation o this load, the sam le e e ien es sho tenin in the e ti al di e tion ith a
o es ondin e ansion in the ho i ontal di e tion. his means that the oss se tional a ea o the sam le
a ies, and it has been ound that e y little e o is int odu ed i the oss se tional a ea is e aluated on
the assum tion that the olume o the sam le emains un han ed du in the test. In othe o ds the
oss se tional a ea is ound om
Volume of sample
Cross-sectional area =
Original length − Vertical deformation
Fig. 4.16 St esses in the t ia ial test.
Fig. 4.17 y i al t ia ial test esults.
Principal stresses
he inte mediate in i al st ess, σ2, and the mino in i al st ess, σ , a e e ual and a e the adial st esses
aused by the ell essu e, . he ma o in i al st ess, σ1, onsists o t o a ts the ell ate essu e
a tin on the ends o the sam le and the additional a ial st ess om the load t ansdu e , . o ensu e
that the ell essu e a ts o e the hole a ea o the end a , the bottom o the lun e is d illed so that
the essu e an a t on the ball seatin .
om this e see that the t ia ial test an be onside ed as ha enin in t o sta es i . 4.1 , the
st bein the a li ation o the ell ate essu e , i.e. σ , hile the se ond is the a li ation o a
de iato st ess , i.e. σ1 − σ .
set o at least th ee sam les is tested. he de iato st ess is lotted a ainst e ti al st ain and the
oint o ailu e o ea h sam le is obtained. he oh i les o ea h sam le a e then d a n and the best
ommon tan ent to the i les is ta en as the st en th en elo e i . 4.1 . small u atu e o u s in
the st en th en elo e o most soils, but this e e t is sli ht and o all a ti al o the en elo e an be
ta en as a st ai ht line.
Types of failure
ot all soil sam les ill ail in u e shea the e a e ene ally some ba ellin e e ts as ell. In a sam le
that ails om letely by ba ellin the e is no de nite ailu e oint, the de iato st ess sim ly in easin
sli htly ith st ain. In this ase an a bit a y alue o the ailu e st ess is ta en as the st ess alue at 20
st ain see i . 4.1 .
Note: In the ast, soil labo ato ies made use o dial au es to measu e dis la ement, and o in in s
to measu e a lied loads. Some labo ato ies still use su h e ui ment, and any eade inte ested in an
e lanation and e am les o thei use is uided to the th, o ea lie , editions o this boo .
Fig. 4.18 y es o ailu e in the t ia ial test.
Load
transducer
Displacement
transducer
Soil
sample
Fig. 4.19 he un on ned om ession test.
4. .4 The ncon ned compression test

In this test i . 4.19 no all ound essu e is a lied to the soil s e imen and the esults obtained i e
a measu e o the uncon ned om essi e st en th o the soil. he test is only a li able to ohesi e soils
and, althou h not as o ula as the t ia ial test, it is used he e a a id esult is e ui ed. n ele t i
moto ithin the base unit d i es the laten su o tin the s e imen u a ds and the load a ied by
the soil is e o ded by the load t ansdu e . he e ti al st ain is e o ded by a dis la ement t ansdu e
and the load–dis la ement u e is lotted on a P onne ted to the system. he load and st ain ead
in s at ailu e a e used to i e a di e t measu e o the un on ned om essi e st en th o the soil.
4.9 etermination of the shear strength parameters from triaxial testing
4.9.1 et erm ination of the total st ress paramet er c

The undrained shear test
he sim lest method to dete mine alues o the total st ess a amete u is to sub e t suitable sam les
o the soil to this test. In the test the soil sam le is e ented om d ainin du in shea and is the e o e
shea ed immediately a te the a li ation o the no mal load in the shea bo o immediately a te the
a li ation o the ell essu e in the t ia ial a a atus . sam le an be tested in 1 minutes o less,
so that the e is no time o any o e essu es de elo ed to dissi ate o to dist ibute themsel es e enly
th ou hout the sam le. easu ements o o e ate essu e a e the e o e not ossible and the esults
o the test an only be e essed in te ms o total st ess.
he un on ned om ession a a atus is only a able o a yin out an und ained test on a lay
sam le ith no adial essu e a lied. he test ta es about a minute.
Example 4.4 ic ndrained triaxial test
sam le o lay as sub e ted to an und ained t ia ial test ith a ell essu e o
100 Pa and the additional a ial st ess ne essa y to ause ailu e as ound to be
1 Pa. ssumin that φu = 0°, dete mine the alue o additional a ial st ess that ould
be e ui ed to ause ailu e o a u the sam le o the soil i it as tested und ained
ith a ell essu e o 200 Pa.
Solut ion:
he st ste is to d a the st ess i le that e esents the onditions o the st test,
i.e. σ = 100 Pa and σ1 = 1 + 100 = 2 Pa. he i le is sho n in i . 4.20 and the
st en th en elo e e esentin the ondition that φu = 0° is no d a n as a ho i ontal
line tan ential to the st ess i le. he ne t ste is to d a the st ess i le ith
σ = 200 Pa and tan ential to the st en th en elo e. Whe e this i le uts the no mal
st ess a is it i es the alue o σ1, hi h is seen to be Pa.
he additional a ial st ess e ui ed o ailu e = σ1 − σ = − 200 = 1 Pa.
It an be seen om the u e that u = 94 Pa. his alue an be obtained nume i ally,
om the esult o eithe test, i it is emembe ed that
σ1 − σ3
cu = when φu = 0°
2
Fig. 4.20 E am le 4.4.
4.9.2 et erm ination of the effecti e st ress paramet ers c′ and φ′

he e a e t o ele ant t ia ial tests.
i The drained test
o ous dis is la ed on the edestal be o e the test sam le is la ed in osition so that ate
an d ain out om the soil. he t ia ial ell is then assembled, lled ith ate and essu ised. he ell
Fig. 4.21 lte nati e a an ements o onsolidation o test sam les.
essu e eates a o e ate essu e ithin the soil sam le and the a a atus is le t until the sam le
has onsolidated, i.e. until the o e ate essu e has been dissi ated by ate see in out th ou h the
o ous dis into the o e essu e measu in de i e see i . 4.21 . his o ess usually ta es about a
day but is ui e i a o ous dis is installed beneath the loadin a and oined to the edestal dis by
onne tin st i s o e ti al lte a e la ed on the outside o the sam le but ithin the ubbe mem
b ane. u in this onsolidation sta e the o e essu e is monito ed so that the oint hen ull onsoli
dation has been ea hed an be identi ed.
n alte nati e method sometimes e e able ith a a tially satu ated soil is to allo d aina e om
one end o the sam le and to onne t a se ond o e essu e measu in de i e to the othe . When the
o e ate essu e ea hes e o the sam le is onsolidated.
When onsolidation has been om leted the sam le is shea ed by a lyin a de iato st ess at su h a
lo ate o st ain that any o e ate essu es indu ed in the sam le ha e time to dissi ate th ou h the
o ous dis s. In this test, the o e ate essu e is the e o e al ays e o and the e e ti e st esses a e
onse uently e ual to the a lied st esses.
he main d a ba o the d ained test is the len th o time it ta es, ith the attendant is o testin
e o s an a e a e test time o a lay sam le is about th ee days but ith some soils a test may last as
lon as t o ee s.
Example 4. rained triaxial test
se ies o d ained t ia ial tests e e e o med on a soil. Ea h test as ontinued until

ailu e and the e e ti e in i al st esses o the tests e e
σ 3′ σ 1′
Test no. (kPa (kPa
1 200 0
2 00
400 11 2
Plot the ele ant oh st ess i les and hen e dete mine the st en th en elo e o
the soil ith es e t to e e ti e st ess.
Shear St rengt h of Soils 1 9
Solut ion:
he oh i le dia am is sho n in i . 4.22. he i les a e d a n st and then, by
onst u tin the best ommon tan ent to these i les, the st en th en elo e is
obtained.
In this ase it is seen that the soil is ohesionless as the e is no ohesi e inte e t.
y measu ement, φ′ = 29°.
Fig. 4.22 E am le 4. .
ii The consolidated undrained test
his is the most ommon o m o t ia ial test used in soils labo ato ies to dete mine ′ and φ′. It has the
ad anta e that the shea a t o the test an be a ied out in only t o to th ee hou s.
he sam le is onsolidated e a tly as o the d ained test, but at this sta e the d aina e onne tion is
shut o and the sam le is shea ed unde und ained onditions. he a li ation o the de iato st ess
indu es o e ate essu es hi h a e measu ed , and the e e ti e de iato st ess is then sim ly the
total de iato st ess less the o e ate essu e.
lthou h the sam le is shea ed und ained, the ate o shea must be slo enou h to allo the indu ed
o e ate essu es to dist ibute themsel es e enly th ou hout the sam le. o most soils a st ain ate
o 0.0 mm min is satis a to y, hi h means that the ma o ity o sam les an be shea ed in unde th ee
hou s.
Note: With es e t to total st ess, the st en th a amete is u be ause φ = 0 hile ith es e t to

e e ti e st esses the st en th a amete s a e ′ and φ′.
Testing with bac pressures

It should be noted that, ith some soils, the edu tion o the o e ate essu e to atmos he i du in
the onsolidation sta e o a t ia ial test on a satu ated soil sam le an ause ai dissol ed in the ate
to ome out o solution. I this ha ens, the sam le is no lon e ully satu ated and this an a e t the
esults obtained du in the shea in a t o the test.
o maintain a state o o lusion in the o e ate , i.e. the state he e ai an no lon e e ist in a ee
state but only in the o m o bubbles, its essu e an be in eased by a lyin a essu e no n as a
ba essu e to the ate in the d aina e line the soil ate an still d ain om the sam le . he ba
essu e ensu es that ai does not ome out o solution and, by a lyin the same in ease in essu e
to the alue o the ell essu e, the e e ti e st ess situation is unalte ed.
he te hni ue an also be used to eate ull satu ation du in the onsolidation and shea in o a tially
satu ated natu al o emoulded soils o both the d ained and onsolidated und ained t ia ial tests. In
these ases, ba essu e alues o ten as hi h as 0 Pa a e ne essa y in o de to a hie e ull
satu ation.
Example 4. Consolidated ndrained triaxial test i
he ollo in esults e e obtained om a se ies o onsolidated und ained t ia ial tests

a ied out on undistu bed sam les o a om a ted soil
ell ressure (kPa it ional a ial loa at ailure (
200 42
400
00 4
Ea h sam le, o i inally mm lon and mm in diamete , e e ien ed a e ti al

de o mation o .1 mm.
a the st en th en elo e and dete mine the oulomb e uation o the shea
st en th o the soil.
Solut ion:
π
Volume of sample = × 382 × 76 = 86 193 mm3
4
86 193
Therefore cross-sectional area at failure = = 1216 mm2.
76 − 5.1
a or rin i al
ell ressure σ 3 (kPa e iat or st ress (σ 1 − σ 3 (kPa st ress σ 1 (kPa
0.342 × 106
200 = 281 4 1
1216
0.388 × 106
400 = 319 19
1216
0.465 × 106
00 = 382 9 2
1216
he oh i les and the st en th en elo e a e sho n in i . 4.2 . om the dia am

φ′ = ° ′ = 100 Pa.
oulomb’s e uation is
c′ + σ tan φ′ = 100 + σ tan 7° = 100 + 0.123 σ kPa
Shear St rengt h of Soils 111
Fig. 4.23 E am le 4. .
Example 4. Effecti e and total stress tests on same soil
se ies o undistu bed sam les om a no mally onsolidated lay as sub e ted to
onsolidated und ained tests.
he esults e e
e iat or st ress Pore at er ressure

ell ressure (kPa at ailure (kPa at ailure (kPa
200 11 110
400 240 220
00 2 20
Plot the st en th en elo e o the soil a ith es e t to total st esses and b ith
es e t to e e ti e st esses.
Solut ion:
a Effective stress:
1 σ3′ = 200 − 110 = 90 kPa; σ1′ = 118 + 90 = 208 kPa
2 σ3′ = 400 − 220 = 180 kPa; σ1′ = 240 + 180 = 420 kPa
σ3′ = 600 − 320 = 280 kPa; σ1′ = 352 + 280 = 632 kPa
b Total stress:
1 σ = 200 Pa σ1 = 200 + 11 = 1 Pa
2 σ = 400 Pa σ1 = 400 + 240 = 40 Pa
σ = 00 Pa σ1 = 00 + 2 = 9 2 Pa
he t o oh i le dia ams a e sho n in i . 4.24. he total st ess i les a e sho n
in li hte olou .
he alue o φ′ an be obtained om i . 4.24 by di e t measu ement.
lte nati ely, no in that the e e ti e st ess st en th en elo e oes th ou h the
o i in, the alue an be obtained om the oh – oulomb e uation. onside the
oh st ess i le eated hen the ell essu e, σ3′ = 200 kPa
σ1′ − σ3′ 118
sin φ′ = = = 0.396, i.e. φ′ = 23.3°
σ1′ + σ3′ 90 + 208
Fig. 4.24 E am le 4. .
4.1 The pore press re coef cients and
hese oe ients e e o osed by S em ton in 19 4 and a e no almost uni e sally a e ted. he

ele ant theo y is set out belo .
Change in volume − ∆ V
Volumetric strain = =
Original volume V
Δ is ne ati e hen dealin ith om essi e st esses as is the ene al ase in soil me hani s.
onside an elemental ube o unit dimensions and a ted u on by om essi e in i al st esses σ1,
σ2 and σ i . 4.2 .
n ho i ontal lane 2,
σ1
Compressive strain =
E
µσ2 µσ3
Lateral strain from stresses σ2 and σ3 = − +
E E
Fig. 4.25 om essi e in i al st esses.

he e μ = Poisson’s atio.
σ1 µ
i.e. total strain on this plane = − (σ2 + σ3 ).
E E
Simila ly, st ains on the othe t o lanes a e
σ2 µ
− (σ3 + σ1)
E E
σ3 µ
− (σ1 + σ2 )
E E
o it an be sho n that, no matte hat the st esses on the a es o the ube, the olumet i st ain is
e ual to the sum o the st ains on ea h a e.
∆ V (σ1 + σ2 + σ3 ) 2µ
− = − (σ1 + σ2 + σ3 )
V E E
i.e.
∆ V 1− 2µ
− = (σ1 + σ2 + σ3 )
V E
om essibility o a mate ial is the olumet i st ain e unit essu e, i.e. o a soil s eleton,
∆V
Cc = per unit pressure increase
V
1
Average pressure increase = (σ1 + σ2 + σ3 ). he e o e, o a e e tly elasti soil
3
3(1− 2µ ) (σ1 + σ2 + σ3 ) 3(1− 2µ )

Cc = =
E (σ1 + σ2 + σ3 ) E
onside a sam le o satu ated soil sub e ted to an und ained t ia ial test. he a lied st ess system
o this test has al eady been dis ussed i . 4.1 . he o e ate essu e, u, odu ed du in the test
ill be made u o t o a ts o es ondin to the a li ation o the ell essu e and the de iato st ess.
Let
ua = oe essu e due to σ
ud = oe essu e due to σ1 − σ .
I e onside the e e ts o small total essu e in ements Δ σ and Δ σ1 then Δ σ ill ause a o e es
su e han e Δ ua and Δ σ1 − Δ σ ill ause a o e essu e han e Δ ud.
Effect of Δ σ
When an all a ound essu e is a lied to a satu ated soil and d aina e is e ented, the o o tions
o the a lied st ess a ied by the o e ate and by the soil s eleton de end u on thei elati e
om essibilities
−∆ V
Compressibility of the soil CC =
V∆ σ3
− ∆ Vv
Compressibility of the pore water = C v =
Vv∆ ua
onside a satu ated soil o initial olume .

hen olume o o e ate = n he e n = o osity.
ssume a han e in total ambient st ess = Δ σ .
ssume that the han e in e e ti e st ess aused by this total st ess in ement is ∆ σ′ and that the
o es ondin han e in o e ate essu e is Δ ua. hen,
Decrease in volume of soil skeleton = Cc V∆ σ3′
and
Decrease in volume of pore water = CvnV∆ ua
With no d aina e these han es must be e ual

i.e.
Cc V∆ σ3′ = CvnV∆ ua
nCv
⇒ ∆ σ3′ = ∆ ua
Cc
∆ σ3′ = ∆ σ3 − ∆ ua
nC v
⇒ ∆ ua = ∆ σ3 − ∆ ua
Cc
nCv
∆ ua 1+ = ∆ σ3
Cc
∆ σ3
⇒ ∆ ua =
nC v
1+
Cc
i.e.
1
∆ ua = B∆ σ3 where B =
nC v
1+
Cc
he om essibility o ate is o the o de o 1. × 10− Pa.

y i al esults om soil tests a e i en in able 4.1 and sho that, o all satu ated soils, an be ta en
as e ual to 1.0 o a ti al u oses.
Effect of Δ σ − Δ σ
In ease in e e ti e st esses
∆ σ1′ = (∆ σ1 − ∆ σ3 ) − ∆ ud
∆ σ2′ = ∆ σ3′ = − ∆ ud
Ta le 4.1 om ession o satu ated soils.
Soil t e So t la St i la om a t silt oose san ense san
n 0 4 4
m2 4. 9 × 10− 4 . × 10− 9. × 10− 2. × 10− 1.44 × 10−
0.999 0.99 2 0.9994 0.99 0.99 1
Change in volume of soil skeleton, ∆ Vc = − Cc V (∆ σ1′ + 2∆ σ3′ )
i.e.
Cc
∆ Vc = − V [(∆ σ1 − ∆ σ3 ) − 3∆ ud ]
3
∆ Vv = − Cvn∆ ud V and ∆ Vc must equal ∆ Vv

1
⇒ Cc (∆ σ1 − ∆ σ3 ) − Cc∆ ud = Cvn∆ ud
3
∆ ud (Cc + nCv ) = Cc (∆ σ1 − ∆ σ3 )
1 1
⇒ ∆ ud = (∆ σ1 − ∆ σ3 )
nCv 3
1+
Cc
1
= B× (∆ σ1 − ∆ σ3 )
3
∆ u = ∆ ua + ∆ ud
1
⇒ ∆ u = B ∆ σ3 + (∆ σ1 − ∆ σ3 )
3
ene ally a soil is not e e tly elasti and the abo e e ession must be itten in the o m
∆ u = B[∆ σ3 + A (∆ σ1 − ∆ σ3 )]
he e is a oe ient dete mined e e imentally.

he e ession is o ten itten in the o m
∆ u = B∆ σ3 + A (∆ σ1 − ∆ σ3 ) where A = AB
A and an be obtained di e tly om the und ained t ia ial test. s has been sho n, o a satu ated soil
= 1.0 and the abo e e ession must be.
∆ u = ∆ σ3 + A (∆ σ1 − ∆ σ3 )
Fig. 4.26 E e ts o o e onsolidation on the o e essu e oe ient .
4.1 .1 al es of
o a i en soil, a ies ith both the st ess alue and the ate o st ain, due mainly to the a iation o
Δ ud ith the de iato st ess. he alue o Δ ud unde a a ti ula st ess system de ends u on su h a to s
as the de ee o satu ation and hethe the soil is no mally onsolidated o o e onsolidated. he alue
o must be uoted o some s e i oint, e. . at ma imum de iato st ess o at ma imum e e ti e
st ess atio (σ1′ / σ3′ ) at ma imum de iato st ess it an a y om 1. o a hi hly sensiti e lay to − 0. o
a hea ily o e onsolidated lay .
4.1 .2 ariation of
n im o tant e e t o o e onsolidation is its e e t on the o e essu e a amete . With a no mally
onsolidated lay the alue o at ma imum de iato st ess, , is i tually the same in a onsolidated
und ained test no matte hat ell essu e is used, but ith an o e onsolidated lay the alue o alls
o a idly ith in easin o e onsolidation atio i . 4.2 .
e onsolidation atio is the atio o e onsolidation essu e di ided by the ell essu e used in
the test. When the o e onsolidation atio is 1.0 the soil is no mally onsolidated.
Example 4. Consolidated ndrained triaxial test ii
se ies o onsolidated und ained t ia ial tests e e a ied out on undistu bed sam les
o an o e onsolidated lay.
esults e e
e iat or st ress Pore at er ressure

ell ressure (kPa at ailure (kPa at ailure (kPa
100 410 −
200 20 − 10
400 20 0
00 9 0 1 0
i Plot the st en th en elo e o the soil ith es e t to e e ti e st esses.

ii I the e onsolidation to hi h the lay had been sub e ted as 00 Pa, lot the
a iation o the o e essu e a amete ith the o e onsolidation atio.
Solut ion:
he oh i le dia ams a e sho n in i . 4.2 a. When a o e essu e is ne ati e the
in i le o e e ti e st ess still a lies, i.e. σ′ = σ − u o a ell essu e o 100 Pa,
σ1 = 10 and u = − , so that
σ3′ = 100 − (− 65) = 165 kPa and σ1′ = 510 − (− 65) = 575 kPa
te onsolidation in a onsolidated und ained test i.e. hen shea ommen es the
soil is satu ated, = 1, and hen e the o e essu e oe ient A = .
he esults a e sho n lotted in i . 4.2 b.
Δ ud
σ3 o rat io A=
Δ σ 1 − Δ σ3
100 − 410 = − 0.14

200 4 − 0.02
400 2 0.111
00 1. 0.1
Fig. 4.27 E am le 4. .
Example 4.9 ore press re coef cients
he ollo in esults e e obtained om an und ained t ia ial test on a om a ted soil

sam le usin a ell essu e o 00 Pa. e o e the a li ation o the ell essu e the
o e ate essu e ithin the sam le as e o.
St rain ( σ 1 (kPa u (kPa
0.0 00 120
2. 00 1 0
.0 20 1 0
. 920 120
10.0 10 0 0
1 .0 1200 10
20.0 12 0 − 0
i ete mine the alue o the o e essu e oe ient and state hethe o not the
soil as satu ated.
ii Plot the a iation o de iato st ess ith st ain.
iii Plot the a iation o the o e essu e oe ient ith st ain.
Solut ion:
i
∆ ua 120
B= = = 0 .4
∆ σ3 300
he soil as a tially satu ated as as less than 1.0.
A
St rain ( Δu (Δ σ 1 − Δ σ 3 A A
B
30
2. 0 200 = 0.15 0.
200
.0 0 420 0.0 1 0.1
. 0 20 0 0
10.0 − 40 0 − 0.0 − 0.1 2
1 .0 − 110 900 − 0.122 − 0. 04
20.0 −1 0 9 0 − 0.1 − 0.4 0
Fig. 4.28 E am le 4.9.
4.11 The triaxial extension test
In the no mal t ia ial test the soil sam le is sub e ted to an all a ound ate essu e and ails unde an
in easin a ial load. his is no n as a om ession test in hi h σ1 > σ2 = σ .
When the ohesi e inte e t, ′, is e ual to e o, as is the ase o d ained anula soils, silts and
no mally onsolidated lays, then the ele ant o m o the oh – oulomb e uation is
σ1′ − σ3′ = σ1′ sin φ′ + σ3′ sin φ′

Fig. 4.29 oh i le dia am o t ia ial om ession and tension tests.
i.e.
1+ sin φ′
σ1′f (max) = σ3′ f
1− sin φ′
he e σ1f′ and σ3f′ a e the es e ti e st esses at ailu e.

It is ossible to ail the sam le in a ial tension by st sub e tin it to e ual essu es σ1′ and σ′ and
then adually edu in σ1′ belo the alue o σ′ until ailu e o u s. his test is no n as an e tension
test and the oh – oulomb e ession be omes
1− sin φ′
σ1′f (min) = σ3′ f where σ1′ < σ2′ = σ3′
1+ sin φ′
he oh i le dia am sho in the ma imum and minimum alues o σ1′ o a ed alue o σ′ is

sho n in i . 4.29. In the t ia ial om ession test the st ess state is σ1′ > σ2′ = σ3′ , and in the t ia ial e ten
sion test the st ess state is σ1′ < σ2′ = σ3′ .
he symbols used in i . 4.29 mi ht be on usin to a asual obse e . St i tly s ea in , o the e ten
sion test, σ1f′ (min) should eally be i en the symbol σ3f′ and its a om anyin σ3f′ i en the symbol σ1f′ . In
o de to a oid this so t o on usion bet een ma o and mino in i al st esses it has be ome standa d
a ti e to desi nate the a ial e e ti e st ess as σa′ and the adial e e ti e st ess as σ′ .
om ehensi e su ey o te hni ues used in the t ia ial test as e a ed by isho and en el
19 2 . o the standa d t ia ial tests dis ussed in this ha te , ulle des i tions an be ound in S 1 ,
and a e i en by ead 1992 .
4.12 eha io r of soils nder shear
We sa in Se tion 4. .2 that the beha iou o anula soil unde shea de ends on the initial density o
the soil. e o e ontinuin the sub e t, it is use ul to int odu e the ollo in de nitions.
● Overburden he o e bu den essu e at a oint in a soil mass is sim ly the ei ht o the mate ial
abo e it. he e e ti e o e bu den is the essu e om this mate ial less the o e ate essu e due
to the hei ht o ate e tendin om the oint u to the ate table.
● Normall consolidated cla lay hi h, at no time in its histo y, has been sub e ted to essu es eate
than its e istin o e bu den essu e.
● Overconsolidated cla lay hi h, du in its histo y, has been sub e ted to essu es eate than its
e istin o e bu den essu e. ne ause o o e onsolidation is the e osion o mate ial that on e
e isted abo e the lay laye . oulde lays a e o e onsolidated, as the many tons o essu e e e ted
by the mass o i e abo e them has been emo ed.
● reconsolidation pressure he ma imum alue o essu e e e ted on an o e onsolidated lay be o e
the essu e as elie ed.
● Overconsolidation ratio he atio o the alue o the e e ti e e onsolidation essu e to the alue
o the esently e istin e e ti e o e bu den essu e. no mally onsolidated lay has an = 1.0
hilst an o e onsolidated lay has an > 1.0.
4.12.1 ndrained shear

he shea st en th o a soil, i e essed in te ms o total st ess, o es onds to oulomb’s La , i.e.
τ f = cu + σ tan φu
he e
u = unit ohesion o the soil, ith es e t to total st ess

φu = an le o shea in esistan e o soil, ith es e t to total st ess = 0
σ = total no mal st ess on lane o ailu e.
o satu ated ohesi e soils tested in und ained shea it is ene ally ound that τ has a onstant alue
bein inde endent o the alue o the ell essu e σ see i . 4. 0 . he main e e tion to this ndin
is a ssu ed lay.
en e, e an say that φu = 0 hen a satu ated ohesi e soil is sub e ted to und ained shea . en e
1
τ = cu = (σ1 − σ3 )
2
e ause o this, the te m u is e e ed to as the undrained shear strength o the soil. s ill be seen
late , the alue o u is used in slo e stability analyses hen it an be assumed that φu = 0 and the alue
o u an be obtained on site by the sim le and e onomi al un on ned om ession set.
Fig. 4.30 St en th en elo e o a satu ated ohesi e soil sub e ted to an und ained shea test.
I the esults o an und ained test a e to be uanti ed in te ms o e e ti e st ess, the natu e o the test
must be onside ed. In the standa d om ession und ained t ia ial test, the soil sam le is la ed in the
t ia ial ell, the d aina e onne tion is emo ed, the ell essu e is a lied and the sam le is immediately
shea ed by in easin the a ial st ess. ny o e ate essu es ene ated th ou hout the test a e not
allo ed to dissi ate.
I , o a a ti ula und ained shea test a ied out at a ell essu e , the o e ate essu e ene
ated at ailu e is u, then the e e ti e st esses at ailu e a e
σ1′ = σ1 − u; σ3′ = σ3 − u = p c − u
emembe in that, in a satu ated soil, the o e essu e a amete = 1.0, it is seen that i the test
is e eated usin a ell essu e o + Δ , the alue o the und ained st en th o the soil ill be e a tly
as that obtained om the st test, be ause the in ease in the ell essu e, Δ , ill indu e an in ease
in o e ate essu e, Δ u, o the same ma nitude Δ u = Δ . he e e ti e st ess i le at ailu e ill
the e o e be the same as o the st test i . 4. 0 , the soil a tin as i it e e u ely ohesi e. It is
the e o e seen that the e an only be one e e ti e st ess i le at ailu e, inde endent o the ell essu e
alue, in an und ained shea test on a satu ated soil.
4.12.2 rained and consolidated ndrained shear

he t ia ial o ms o these shea tests ha e al eady been des ibed. It is ene ally a e ted that, o all
a ti al u oses, the alues obtained o the d ained a amete s, ′ and φ′, om eithe test a e i tually
the same.
he ′ alue o no mally onsolidated lays is ne li ible and an be ta en as e o in i tually e e y situ
ation. no mally onsolidated lay the e o e, has an e e ti e st ess st en th en elo e simila to that
sho n in i . 4. 1 and, unde d ained onditions, ill beha e as i it e e a i tional mate ial.
he e e ti e st ess en elo e o an o e onsolidated lay is sho n in i . 4. 2. nless unusually hi h
ell essu es a e used in the t ia ial test, the soil ill be shea ed ith a ell essu e less than its e on
solidation essu e alue. he esultin st en th en elo e is sli htly u ed ith a ohesi e inte e t ′.
s the u atu e is e y sli ht it is a o imated to a st ai ht line in lined at φ′ to the no mal st ess a is.
In i . 4. 2, the oint e esents the alue o ell essu e that is e ual to the e onsolidation es
su e. t ell essu es hi he than this, the st en th en elo e is the same as o a no mally onsolidated
lay, the alue o φ′ bein in eased sli htly. I this line is o e ted ba a ds it ill ass th ou h the
o i in.
in to the emo al o st esses du in sam lin , e en no mally onsolidated lays ill ha e a sli ht
de ee o o e onsolidation and may i e a small ′ alue, usually so small that it is di ult to measu e
and has little im o tan e.
he shea in ha a te isti s o silts a e simila to those o no mally onsolidated lays.
he beha iou o satu ated no mally onsolidated and o e onsolidated lays in und ained shea is
illust ated in i . 4. hi h illust ates the a iations o both de iato st ess and o e ate essu e
du in shea .
Fig. 4.31 St en th en elo e o a no mally onsolidated lay sub e ted to a d ained shea test.
Fig. 4.32 St en th en elo e o an o e onsolidated soil sub e ted to a d ained shea test.
Fig. 4.33 y i al esults om onsolidated und ained shea tests on satu ated lays.
n o e onsolidated lay is onside ably st on e at a i en essu e than it ould be i no mally on

solidated, and also tends to dilate du in shea he eas a no mally onsolidated lay ill onsolidate.
en e, hen an o e onsolidated lay is shea ed unde und ained onditions ne ati e o e ate es
su es a e indu ed, the e e ti e st ess is in eased, and the und ained st en th is mu h hi he than the
d ained st en th – the e a t o osite to a no mally onsolidated lay.
I an e a ation is made th ou h o e onsolidated lay the ne ati e essu es set u i e an e t emely
hi h und ained st en th, but these o e essu es adually dissi ate and the st en th alls by as mu h
as 0 o 0 to the d ained st en th. ell no n e am le o o e onsolidated lay is London lay,
hi h hen st ut, ill stand i tually unsu o ted to a hei ht o . m. It does not emain stable o
lon , and so eat is the loss in st en th that the e ha e been ases o etainin alls built to su o t it
bein ushed o e .
Se e al ase histo ies o etainin all ailu es o this ty e a e i en in layton 199 .
4.13 perati e strengths of soils
o the solution o most soil me hani s oblems, the ea st en th a amete s an be used, i.e. the
alues o es ondin to ma imum de iato st ess. he a tual soil st en th that a lies in situ is de end
ent u on the ty e o soil, its e ious st ess histo y, the d aina e onditions, the o m o onst u tion and
the o m o loadin . b iously the shea tests hosen to dete mine the soil st en th a amete s to be
used in a desi n should e¦ e t the onditions that ill a tually e ail du in and a te the onst u tion
e iod.
he a iations o st en th o e ties o di e ent soils a e des ibed belo .
Sand and gravels

hese soils ha e hi h alues o e meability, and any e ess o e ate essu es ene ated ithin them
a e immediately dissi ated. o all a ti al u oses these soils o e ate in the d ained state. he a o
iate st en th a amete is the e o e φ′, ith ′ = 0.
In anula soils the alue o φ′ is hi hly de endent u on the density o the soil and, as it is di ult to
obtain ine ensi e undistu bed soil sam les, its alue is ene ally estimated om the esults o the in situ
tests.
In the , the standa d enet ation test see ha te is the one most used and a e y a o imate
elationshi bet een the blo ount and the an le o inte nal i tion φ′ is sho n in i . 4. 4. It should
be noted that the o e ted alue o , i.e. 1 0 des ibed in ha te , an be used in on un tion
ith i . 4. 4, and that the alue obtained a o imates to φt , the ea t ia ial an le obtained om
d ained tests.
the a to s, besides the alue o , su h as the ty e o mine als, the e e ti e si e, the adin
and the sha e o the a ti les a e a no led ed to ha e an e e t on the alue o φ′, but in ie o
the ou h and eady method used to dete mine the alue o , any attem t at e nement seems
un ealisti .
Silts
hese soils a ely o u in a u e o m in the and a e ene ally mi ed ith eithe sand o lay. It is
the e o e usually ossible to lassi y silty soils as bein eithe anula o layey. When the e is a eason
able amount o lay mate ial ithin the soil the e should be little di ulty in obtainin undistu bed sam les
o st en th e aluation. With sandy silts, estimated alues o φ′ an be obtained om the esults o the
standa d enet ation test.
Fig. 4.34 elationshi bet een and φ′.

lays
in to the lo e meability o these soils, any e ess o e ate essu es ene ated ithin them ill
not dissi ate immediately. he st ste in any desi n o is to dete mine hethe the lay is no mally
onsolidated o o e onsolidated.
Soft or normally consolidated clay

lay ith an und ained shea st en th, u, o not mo e than 40 Pa is lassi ed as a so t lay and ill be
no mally onsolidated o li htly o e onsolidated . Su h lays, hen sub e ted to und ained shea , tend
to de elo ositi e o e ate essu es i . 4. , so that du in and immediately a te onst u tion,
the st en th o the soil is at its minimum alue.
te om letion o the onst u tion, o e a e iod o time, the soil ill a hie e its d ained ondition
and ill then be at its eatest st en th.
verconsolidated clay
With these soils any o e ate essu es ene ated du in shea ill be ne ati e. his means sim ly
that the lay is at its st on est du in and immediately a te onst u tion. he ea est st en th alue
ill o u on e the soil a hie es its ully d ained state, the o e ati e st en th a amete s then bein ′
and φ′.
4.14 The critical state
iti al state soil me hani s is a s e ialised to i and i a dee unde standin o the sub e t is to be
ained, e e en e to s e ialised te ts is e ui ed. his se tion o the boo me ely o e s a sim listi and
sho t int odu tion to the to i o the iti al state. eade s inte ested in de elo in a tho ou h no led e
o the sub e t a e e e ed to the te ts by ui Wood 1991 and t inson 200 .
In Se tion 4. .2 e sa that du in a d ained test, the oid atio o a soil han es du in shea . I se e al
sam les o the same soil a e tested at di e ent initial densities it is ound that, i the ate o shea in is
onstant, the sam les all ail at the same oid atio see i 4.14d . I the de o mation is allo ed to on
tinue the sam le ill emain at the same oid atio and only de o m by shea disto tion. his ondition is
e e ed to as the critical state.
I a satu ated, emoulded lay is sub e ted to a loadin that eates a onstant and lo ate o in eas
in st ain, the lay ill ea h, and ass th ou h, a ailu e oint ithout olla se and ill then ontinue to
su e de o mation as both the oid atio and the ele ant st ess aths ollo a yield su a e until a iti al
oid atio alue is a hie ed.
t this iti al oid atio alue, the alues o the oid atio, the o e ate essu e and the st esses
ithin the soil emain onstant, e en ith u the de o mations, o ided that the ate o st ain is not
han ed.
his im o tant on e t has led to the theo y o iti al state, an attem t to eate a soil model that
b in s to ethe the elationshi s bet een its shea st en th and its oid atio, and hi h an be a lied
to any ty e o soil. he theo y has been established as a esea h tool o se e al yea s and is no idely
used in eote hni al limit state desi n.
iti al state theo y uses th ee a amete s , , and , to des ibe the me hani al beha io s du in
shea and om ession.
and a e de ned as
1
p= (σ1 + 2σ3 ) 1
3
q = (σ1 − σ3 ) 2
Simila e essions a ly o e e ti e st ess
1
p′ = (σ1′ + 2σ3′ )
3
q ′ = (σ1′ − σ3′ ) 4
he s e i olume, as de ned in ha te 1 and is the total olume o soil that ontains a unit olume
o solids
v = (1+ e)
he ad anta e o the and a amete s is thei asso iation ith the st ains that they ause. han es
in ′ a e asso iated ith olumet i st ains and han es in ith shea st ains.
o the ene al th ee dimensional state, E uations 1 to 4 ha e the o m
1
p= (σ1 + σ2 + σ3 )
3
1
q= [(σ1 − σ2 )2 + (σ2 − σ3 )2 + (σ3 − σ1)2 ]
2
4.14.1 Stress paths in three dimensional st ress space

We ha e onside ed t o dimensional st ess aths and e must no e amine the o m o these aths i
they e e lotted in th ee dimensional s a e de ned by ′, and .
ndrained tests
I e onside the lane – ′ then e an lot the e e ti e st ess aths o und ained shea in a manne
simila to the e ious t o dimensional st ess aths. emembe that = σ1 − σ and that
σ1 + 2σ3
p′ =
3
he esultin dia am is sho n in i . 4. a. he oints 1, 2 and lie on the isot o i no mal on

solidation line and thei es e ti e st ess aths ea h the ailu e bounda y at oints 1, 2 and . s the
tests a e und ained, the alues o oid atio at oints 1, 2, a e the same as they e e hen the soil
as at the st ess states 1, 2 and es e ti ely. no in the e alues e an dete mine the alues o
s e i olume and e a e the o es ondin lot on the – ′ lane i . 4. b .
It is seen that the ailu e oints 1, 2 and lie on a st ai ht line in the – ′ lane and on a u e,
simila to the no mal onsolidation u e, in the – ′ lane.
Drained t ests
he e e ti e st ess aths o d ained shea a e sho n in i . 4. . o the – ′ lane the lot onsists
o st ai ht lines hi h a e in lined to the ho i ontal at tan− 1 . he eason hy is illust ated in i . 4. .
he oints 1, 2 and e esent the ailu e oints a te d ained shea , so the oid atio alues at
these oints a e less than those at the o es ondin oints.
he st ess aths in the – ′ lane a e illust ated in i . 4. b. s ith the und ained ase, the ailu e
oints 1, 2 and lie on a u ed line simila to the no mal onsolidation line.
Fig. 4.35 St ess aths o und ained shea .
Fig. 4.36 St ess aths o d ained shea .

Shear St rengt h of Soils 12
Ta le 4.2 esults o t ia ial om ession tests on no mally onsolidated lay sam les a te
Pa y, 19 0 .
n raine t est s
σ r (kPa σ a − σ r (kPa u (kPa ( p r′ (kPa)
10 .4 . 0. 2 .1 .9 1.
20 .9 119. 11 . 2 .0 1 2.9 1. 1
10. 1 2.4 1 1. 21. 19 .1 1.
41 . 224. 22 . 20. 2 1.1 1. 4
2 .4 4 .9 4 . 1 . 2 .2 1.49
raine t est s
σ r′ (kPa) σ af′ − σ r′ (kPa) ( p ′f (kPa)
10 .4 114. 2 .0 141. 1. 1
20 .9 244. 20.4 2 . 1. 4
10. 4 .2 19. 42 .4 1. 1
41 . 4 1. 1 . 4.1 1.49
2 .4 9 0. 1 .1 11 .0 1.4
4.14.2 The critical st ate line

Pa y 19 0 ublished a om ehensi e set o esults obtained om d ained and und ained t ia ial tests
a ied out on no mally and o e onsolidated sam les o Weald lay. e o his esults o tests on
no mally onsolidated sam les a e e odu ed in the st ou olumns o able 4.2 on e ted into SI
units . With this in o mation and ta in s = 2. , the tabulated alues o , ′ and e e al ulated.
he ′, oints obtained om ea h o the test esults a e lotted in i . 4. a and the ′, oints a e
lotted in i . 4. b.
We an dedu e om these dia ams that the e must be a sin le line o ailu e oints ithin the ′– –
s a e hi h o e ts as a st ai ht line on to the – ′ lane and o e ts as a u ed line, lose to the
no mal onsolidation line, on to the – ′ lane. his line is no n as the iti al state line and its osition
is illust ated in i . 4. .
The e uation of t he crit ical st ate line

he line’s o e tion on to the – ′ lane is a st ai ht line ith the e uation = ′, he e is the
slo e o the line.
he o e tion o the iti al state line on to the – ′ lane is un o tunately u ed but i e onside
the o e tion on to the ln ′ lane e obtain a st ai ht line ith a slo e that an be assumed to be
e ual to the slo e o the no mal onsolidation line.
he alues o p ′f a e tabulated in able 4.2 and it is a sim le matte to obtain a set o ln p ′f
alues so that a –ln p ′f lot an be obtained. i u e 4. 9 sho s the –ln p ′f lot o Pa y’s esults om
able 4.2.
I e use the symbol Γ to e esent the alue o hi h o es onds to a ln ′ = 0 i.e. a ′ alue o
unity, usually ta en as 1.0 Pa then the e uation o the st ai ht line o e tion is
v = Γ − λ ln p ′
Fig. 4.37 P o e tion o the iti al state line.
Fig. 4.38 Position o the iti al state line.

Fig. 4.39 –ln p r′ o the alues tabulated in able 4.2.
hi h an be itten as
Γ− v
= ln p ′
λ
Γ− v
⇒ p ′ = exp
λ
en e, the iti al state line is that line hi h satis es the t o e uations
Γ− v
q = Mp ′ and p ′ = exp
λ
Loo in ahead to Se tion 11. he e the sub e t o isot o i onsolidation is des ibed, it is seen that
λ is the slo e o the no mal onsolidation line and is the s e i olume at ln ′ = 0. he alues o ,
, Γ and λ a y ith the ty e o soil. om i s 4. and 4. 9 e see that the alues o emoulded Weald
lay a e a o imately = 0. = 2.1 Γ = 2.09 and λ = 0.10.
4.14.3 esid al and critical strengt h st ates

he st ess onditions that a ly at the iti al state line e esent the ultimate st en th o the soil i.e. its
iti al state st en th and this is the lo est st en th that the soil ill ea h o ided that the st ains ithin
it a e easonably uni o m and not e essi e in ma nitude. he esidual st en th o a soil o e ates, in the
ase o lays, only a te the soil has been sub e ted to onside able st ains ith laye s o soil slidin o e
othe laye s.
It is im o tant that the di e en e bet een these t o st en ths is a e iated. S em ton 19 4 sho ed
that t he esidual an le o i tion o London lay, φ , an be less than 10° he eas S ho eld and W oth
19 e o ted that the same soil at iti al state onditions has an an le o i tion φ o 22.5°.
4.1 Sensiti it of cla s
I the st en th o an undistu bed sam le o lay is measu ed and it is then e tested at an identi al ate
ontent, but a te it has been emoulded to the same d y density, a edu tion in st en th is o ten obse ed.
Ta le 4.3 Sensiti ity lassi ation.
St lassi at ion
1 insensiti e
1–2 lo
2–4 medium
4– sensiti e
–1 e t a sensiti e
>1 ui an be u to 1 0
Undisturbed , undrained strength

Sensitivity = St =
Remoulded, und rained strength
o mally onsolidated lays tend to ha e sensiti ity alues a yin om to 10 but e tain lays in
anada and S andina ia ha e sensiti ities as hi h as 100 and a e e e ed to as ui lays. Sensiti ity an
a y, sli htly, de endin u on the ate ontent o the lay. ene ally, o e onsolidated lays ha e ne
li ible sensiti ity, but some ui lays ha e been ound to be o e onsolidated. lassi ation o sen
siti ity a ea s in able 4. .
Thixotropy
Some lays, i e t at a onstant ate ontent, e ain a o tion o thei o i inal st en th a te emouldin
ith time S em ton and o they, 19 2 . his o e ty is no n as thi ot o y.
Li uidity index L
he de nition o this inde has al eady been i en in ha te 1

w − wp
IL =
Ip
he e is the in situ ate ontent.

his inde obably mo e use ully e¦ e ts the o e ties o lasti soil than the ene ally used onsist
en y limits P and L. Li uid and lasti limit tests a e a ied out on emoulded soil in the labo ato y,
but the same soil, in its in situ state i.e. undistu bed , may e hibit a di e ent onsisten y at the same
ate ontent as the labo ato y s e imen, due to sensiti ity e e ts. It does not ne essa ily mean, the e
o e, that a soil ound to ha e a li uid limit o 0 ill be in the li uid state i its in situ ate ontent
is also 0 .
I is eate than the test alue o L then IL is > 1.0 and it is ob ious that i the soil e e emoulded
it ould be t ans o med into a slu y. In su h a ase the soil is obably an un onsolidated sediment ith
an und ained shea st en th, u, in the o de o 1 – 0 Pa.
ost ohesi e soil de osits ha e IL alues ithin the an e 1.0–0.0. he lo e the alue o , the eate
the amount o om ession that must ha e ta en la e and the nea e IL ill be to e o.
I is less than the test alue o the lasti limit then IL < 0.0 and the soil annot be emoulded as it
is outside the lasti an e . In this ase the soil is most li ely a om essed sediment. Soil in this state
ill ha e a u alue a yin om 0 to 2 0 Pa.
4.1 esid al strength of soil
In an in esti ation on e nin the stability o a lay slo e, the no mal o edu e is to ta e e esentati e
sam les, ondu t shea tests, establish the st en th a amete s ′ and φ′ om the ea alues o the
tests, and ondu t an e e ti e st ess analysis. o this analysis the shea st en th o the soil, as e ha e
al eady seen, an be e essed by the e uation
τ p = c ′ + σ′ tan φ′
he e ha e been many ases o sli s in lay slo es hi h ha e a o ded a means o he in this o
edu e. no in the mass o mate ial in ol ed and the lo ation o the sli lane, it is ossible to dedu e
the alue o the a e a e shea st ess on the sli lane, τ , at the time ailu e o u ed. It has o ten been
ound that τ is onside ably less than τ es e ially ith slo es that ha e been in e isten e o some yea s.
i u e 4.40a sho s a ty i al st ess to st ain elationshi obtained in a d ained shea test on a lay.
o mal a ti e is to sto the test as soon as the ea st en th has been ea hed, but i the test is on
tinued it is ound that as the st ain in eases the shea st en th de eases and nally le els out. his
onstant st ess alue is te med the iti al, o onstant olume, st en th, τ , o the lay. I the st ain
in eases si ni antly, the lay ill ea h a state o lo est st en th no n as the esidual st en th. he
st en th en elo es om the th ee sets o st en th alues a e sho n in i . 4.40b.
esidual st en th tests an be a ied out in the in shea a a atus, hi h as de elo ed in the
19 0s. thin annula soil s e imen is shea ed by lam in it bet een t o metal dis s, hi h a e then
otated in o osite di e tions. he a a atus did not be ome o ula , mainly be ause o the on ent a
tion at the time on the study o ea alues, so eadily obtained om the t ia ial test, but obably also
be ause the in shea a a atus as om li ated and it too a lon time to a y out a test.
s a esult o S em ton’s o in the 19 0’s, inte est in the dete mination o soil st en th a te la e
dis la ement as e established and, in 19 1, isho et al. ede elo ed the in shea a a atus
i . 4.41 , hi h is no onside ed as the most eliable means o dete minin esidual st en ths o
ohesi e soils.
Peak strength Peak strength

φ′ peak
Shear stress
Shear stress
Critical strength
Critical strength
φ′ cv
Residual Residual
strength φ′ R strength
Strain Effective normal stress

(a) (b)
Fig. 4.40 he ea , iti al and esidual st en ths o lays.
Fig. 4.41 in shea test sam le a te isho et al., 19 1 .

Residual strength of clays

he edu tion om ea to esidual st en th in lays is onside ed to esult ima ily om the o mation
o e t emely thin laye s o ne a ti les o ientated in the di e tion o shea these a ti les ould o i inally
ha e been in a andom state o o ientation and must the e o e ha e had a eate esistan e to shea
than hen they be ame a allel to ea h othe in the shea di e tion.
he de elo ment o esidual st en th in a soil is a ontinuous o ess. I at a a ti ula oint the soil
is st essed beyond its ea st en th, its st en th ill de ease and additional st ess ill be t ansmitted
to othe oints in the soil these li e ise be omin o e st essed and de easin in st en th, the ailu e
o ess ontinues on e it has sta ted unless the slo e sli s , until the st en th at e e y oint alon the
otential sli su a e has been edu ed to esidual st en th.
lays, es e ially o e onsolidated de osits, ontain ssu es, su h as those in London lay hi h o u
some 1 0–200 mm a a t these ssu es a e al eady established oints o ea ness, the st en th bet een
thei onta t su a es obably bein about esidual. n im o tant eatu e o ssu es is that they an tend
to a t as st ess on ent ato s at thei ed es, leadin to o e st essin beyond the ea st en th and hen e
to a o essi e st en th de ease.
ests a ied out by S em ton indi ate that the esidual st en th o lay unde a a ti ula e e ti e
st ess is the same, hethe the lay as no mally o o e onsolidated. en e in any lay laye , o ided
the a ti les a e the same, the alue o φ′ ill be onstant.
Residual strength of silt s and silty clays

om a study o ase e o ds, S em ton sho ed that the alue o φ′ de eases ith in easin lay e
enta e. Sand si ed a ti les, bein ou hly s he i al in sha e, annot o ientate themsel es in the same
ay as ¦ a ey lay a ti les and hen they a e esent in silts o lays the esidual st en th be omes
eate as the e enta e o sand in eases.
Residual strength of sands

Shea tests on sand indi ate that the st ess–dis la ement u e o the loose and dense states a e
as sho n in i . 4.42. he esidual st en th is seen to o es ond to the ea st en th o the loose
density and is usually ea hed ai ly ui ly in one t a el o the shea bo , su eedin e e sals ha in
little e e t.
Fig. 4.42 St ess dis la ement ha a te isti s o sands.

Exercises
Exercise 4.1
soil sam le is tested to ailu e in a d ained t ia ial test usin a ell essu e o
200 Pa. he e e ti e st ess a amete s o the soil a e no n to be φ′ = 29° and
′ = 0.
ete mine the in lination o the lane o ailu e, ith es e t to the di e tion o
the ma o in i al st ess, and the ma nitudes o the st esses that ill a t on this
lane. What is the ma imum alue o shea st ess that ill be indu ed in the soil
Ans er ailu e lane in lined at 0. ° to ma o in i al st ess.

E e ti e no mal st ess on ailu e lane = 29 Pa.
Shea st ess on ailu e lane = 1 1 Pa.
a imum shea st ess = 1 4 Pa.
Exercise 4.2
soil has an e e ti e an le o shea in esistan e, φ′, o 20° and an e e ti e ohe

sion, ′, o 20 Pa. What ould you e e t the alue o the e ti al st ess to be at
ailu e i the soil is sub e ted to
a a d ained t ia ial e tension test ith a ell essu e o 2 0 Pa

b a d ained t ia ial om ession test ith the same ell essu e
Ans er a 9 Pa, b Pa
Exercise 4.3
he eadin s belo e e ta en du in t o shea bo tests a ied out on sam les

o the same sand. In both ases the no mal st ess as 200 Pa.
S ear st ress (kPa

ori ont al
is la ement (mm Test 1 Test 2
0 0 0
0. 9
1.0 11
1. 91 14
2.0 99 1 0
2. 10 149
.0 111 1 9
. 11 1
4.0 114 12
4. 11 122
.0 11 120
a the shea st ess dis la ement u es o the t o tests, and dete mine the ea
and onsant olume alues o an le o shea in esistan e.
Ans er φ′ = °, φ′ = 0°
Exercise 4.4
he ollo in esults e e obtained om a d ained t ia ial test on a soil
ell ressure (kPa it ional e e t i e a ial st ress at ailure (kPa
200 200
400 0
00 40
ete mine the ohesion and an le o i tion o the soil ith es e t to e e ti e

st esses.
Ans er φ′ = 1 °, ′ = 10 Pa
Exercise 4.
ndistu bed sam les e e ta en om a om a ted ll mate ial and sub e ted to
onsolidated und ained t ia ial tests. esults e e
it ional a ial Pore at er ressure

ell ressure (kPa st ress at ailure (kPa at ailure (kPa
200 140 0
400 2 12
00 0 200
ete mine the shea st en th a amete s o the soil.
Ans er ′ = 0, φ′ = 19°
Exercise 4.
n und ained t ia ial test a ied out on a om a ted soil a e the ollo in esults
St rain ( e iat or st ress (kPa Pore at er ressure (kPa
0 0 240
1 240 2
2 4 0 00
40 2 0
4 40 200
9 0 1 0
. 1100 110
10.0 11 0
12. 11 0
1 .0 11 0 0
he ell essu e as 400 Pa, and be o e its a li ation the o e ate essu e
in the sam le as e o.
i ete mine the alue o the o e essu e oe ient .

ii Plot de iato st ess total a ainst st ain.
iii Plot o e ate essu e a ainst st ain.

i Plot the a iation o the o e essu e oe ient ith st ain.
Ans er i 0.
Exercise 4.
he ollo in esults e e obtained om a shea bo test a ied out on a set o

soil sam les. he a a atus made use o a o in in to measu e the shea o es.
ormal loa (k 0.2 0.4 0.6
Pro ing ring ial gauge

St rain ( rea ings (no. o i isions
1 . 1 . 2 .0
2 1 .0 2 .0 9.0
22. 4.9 4 .
4 2 . 9.9 2.
1. 4 .0 .
.4 4 .0 9.
.4 4 . 1.
.4 4 . 2.
9 4 . 2.
10 2.
he oss se tional a ea o the bo as 00 mm2 and one di ision o the o in

in dial au e e ualled 0.01 mm. he alib ation o the o in in as 0.01 mm
de¦ e tion e ualled .4 .
ete mine the st en th a amete s o the soil.
Ans er φ′ = 2° ′= 4 Pa
Ch a p t e r 5
Eurocode 7
5.1 Introduction to the Structural Eurocodes
5.1.1 The Eurocode Programm e

he Eu o ode P o amme as initiated to establish a set o ha monised te hni al ules o the desi n o
buildin and i il en inee in o s a oss Eu o e. he ules a e no n olle ti ely as the St u tu al
Eu o odes hi h om ise o a se ies o 10 Eu o ean Standa ds, E 1990 – E 1999, o idin a ommon
a oa h o the desi n o buildin s and othe i il en inee in o s and onst u tion odu ts. Eu o
ode E 199 is the do ument that on e ns eote hni al desi n and e ill loo at the use o this
Eu o ode th ou hout the ollo in ha te s o this boo .
It is the Eu o ean ommission’s intention that the Eu o odes be ome the e ommended means o the
st u tu al desi n o o s th ou hout the Eu o ean nion E and the Eu o ean ee ade sso iation
E . hey establish in i les and e ui ements o a hie in sa ety, se i eability and du ability o
st u tu es and thei ado tion is leadin to mo e ommon a ti e in st u tu al and eote hni al desi n
a oss Eu o e.
he Eu o odes a e ublished by the Comité Européen de Normalisation E – the Eu o ean om
mittee o Standa disation – and ha e been unde de elo ment by E sin e 19 9. he Eu o ode o
amme a tually sta ted in 19 ollo in a de ision o the then ommission o the Eu o ean ommunity,
but it as only hen the o as assed to E that si ni ant o ess be an. a t e sions o the
odes no n as Euronorm Vornorms E e e odu ed th ou hout the 1990s and ubli ation o the
nal e sions Euronorms E ommen ed in 2002. y 2010, all the Eu o odes had been ublished and
these a e no used in all membe states. he Eu o odes timeline is de i ted in i . .1.
5.1.2 Scope of the Eurocodes

Sin e ubli ation, the Eu o odes ha e be ome the e e en e desi n odes th ou hout the Eu o ean
membe states and the st u tu al desi ns o all ubli se to o s must no be Eu o ode om liant.
he Eu o odes o e the basis o st u tu al desi n, a tions on st u tu es, desi n ith ea h o the main
st u tu al mate ials, eote hni al desi n and desi n o st u tu es o ea th ua e esistan e. he ten
Eu o odes a e
E 1990 Eu o ode asis o st u tu al desi n

E 1991 Eu o ode 1 tions on st u tu es
E 1992 Eu o ode 2 esi n o on ete st u tu es
E 199 Eu o ode esi n o steel st u tu es
E 1994 Eu o ode 4 esi n o om osite steel and on ete st u tu es
E 199 Eu o ode esi n o timbe st u tu es
E 199 Eu o ode esi n o mason y st u tu es

136
Eurocode 7 137
1975 1985 1990 1995 2000 2005 2010
1989 1999 200

March
2010
Pro ra e 2002 Na o a
passed o EN A e es FULL
ENs s ar s ar IMPLEMENTATION
1975 o appear o appear
1989 – 1999
EE ae
ENVs produced
Fig. 5.1 Eu o odes timeline.
Structural safety, serviceability,

EN 1990
durability and robustness
EN 1991 ctions on structures
EN 1992 EN 1993 EN 1994

esi n and detailin
EN 1995 EN 1996 EN 1999
EN 1997 EN 1998 eotec nical and seis ic desi n
Fig. 5.2 he lin s bet een the Eu o odes.
E 199 Eu o ode eote hni al desi n

E 199 Eu o ode esi n o st u tu es o ea th ua e esistan e
E 1999 Eu o ode 9 esi n o aluminium st u tu es
he lin s bet een the Eu o odes a e sho n in i . .2.
5.1.3 Eurocode Parts and National nne es

With the e e tion o E 1990, ea h Eu o ode onsists o a numbe o Pa ts that o e a ti ula te hni
al as e ts. Eu o ode om ises t o a ts as des ibed in the ollo in Se tion. o ensu e that the
sa ety o a desi n emains a national and not a Eu o ean es onsibility, ea h ount y has ublished a
National Annex o ea h Pa t o the 10 Eu o odes. he ational nne is a do ument ontainin
ount y s e i in o mation, ules and a amete s and must be used alon side the main Eu o ode do u
ment. he ount y s e i a amete s de la ed in a ational nne a e e e ed to as nationally dete
mined a amete s Ps .
5.2 Introduction to Eurocode 7
5.2.1 esign philosoph

Eurocode 7 – Geotechnical design is ublished in t o a ts in the by the itish Standa ds Institution as
● SE 199 1 2004 Pa t 1 ene al ules

● SE 199 2 200 Pa t 2 ound in esti ation and testin
he desi n hiloso hy ado ted in Eu o ode is the same as that ado ted in all the Eu o odes and
ad o ates the use o limit state desi n to ensu e that the se i eability limit states a e not e eeded.
Ser icea ilit limit states a e those states that, i e eeded, ende the st u tu e unsa e e en thou h no
olla se situation is ea hed, su h as e essi e de e tion, settlement o otation. In ont ast to the t a
ditional method o the use o lum ed a to s o sa ety, the Standa d omotes the use o partial factors
of safet and thus e e ts a si ni ant shi t om t aditional eote hni al desi n a ti e. Whe e on e
the desi n methods t eated mate ial o e ties and loads in an unmodi ed state and a lied a a to o
Sa ety at the end o the desi n o ess to allo o the un e tainty in the unmodi ed alues, Eu o ode
uides the desi ne to modi y ea h a amete ea ly in the desi n by use o the a tial a to o sa ety.
his a oa h sees the representati e o characteristic alue o the a amete s e. . loads, soil st en th
a amete s, et . on e ted to the desi n alue by ombinin it ith the a ti ula a tial a to o sa ety
o that a amete . Wo ed e am les in the ollo in ha te s ill hel the student to ollo this a oa h
to desi n. dditional e lanation on the use o Eu o ode is i en by i ht and obe ts 2004 , an
et al 2004 , &L 200 , ond and a is 200 and Sim son 2011 . tho ou h e ie o ho
Eu o ode has a e ted eote hni al desi n is i en by 2012 .
5.2.2 ontent s of Eurocode 7

he ontents o both a ts o Eu o ode a e sho n in i . . . t st lan e it a ea s that Pa t 1
o e s mo e sub e t a ea and, hilst it a uably does, it is im o tant to a e iate that Pa t 2 is a si ni
antly lon e do ument.
s the titles o the t o do uments indi ate, Pa t 1 o e s the ene al ules o desi n hilst Pa t 2
o e s ound in esti ation a ti e. he t o do uments ely on ea h othe o use and it ould be e y
a e that one a t is used in isolation om the othe . he use o Pa t 2 is des ibed in ha te .
Part 1 – General rules Part 2 – Ground investigation and testing
Foreword Foreword
1. General 1. General
2. Basis of Geotechnical design 2. lanning of ground investigation
3. Geotechnical data 3. Soil and roc sampling and
4. Supervision of construction, groundwater measurements
monitoring and maintenance 4. Field tests in soil and roc
5. Fill, dewatering, ground 5. a orator tests on soil and roc
improvement and reinforcement . Ground investigation report
. Spread foundations nne es –
. ile foundations 196 pages
. nchorages
. etaining structures
1 . draulic failure
11. verall sta ilit
12. m an ments
nne es –
167 pages
Fig. 5.3 ontents o Eu o ode E 199 Pa ts 1 and 2.

Eurocode 7 13
SO EN Standards or
identi ication classi ication
Eurocodes
Test Standards and Technical EN 199 asis o Structural esign
S ecs or ground ro erties EN 1991 ctions on Structures
Geotechnical esign
Eurocode Parts 1 N s
Euro ean Standards or
Other structural Eurocodes
the E ecution o S ecial
e.g. EN 1998, EN 1993-5
Geotechnical or s
Geotechnical Projects
Fig. 5.4 Eu o ean eote hni al odes a te &L , 200 .
It is im o tant to ealise that by itsel Eu o ode ill not be the only Eu o ean standa d that ill be
used on a eote hni al o e t. the Eu o odes most notably E 1990, E 1991 and E 199 ill be
in ol ed as ill IS testin and e e ution standa ds as sho n in i . .4.
5.3 sing Eurocode 7 asis of geotechnical design
he lauses th ou hout Eu o ode a e onside ed as eithe rinciples identi ed by the lette P imme
diately e edin the lause o Application ules. P in i les a e uni ue statements o de nitions that
must be ado ted. li ation ules o e e am les o ho to ensu e that the P in i les a e adhe ed to
and thus o e uidan e to the desi ne in ollo in the P in i les.
Se tion 2 o E 199 1 des ibes the basis o eote hni al desi n and the ode states that the limit
states should be e i ed by one o ou means by 1 calculation, 2 prescripti e measures, experi
mental models and load tests, o 4 an o ser ational method. In this boo e shall on ent ate solely on
eote hni al desi n by al ulation see Se tion .4 althou h a es i ti e measu e o the dete mination
o esumed allo able bea in alues is tou hed u on in ha te 9.
o a ilitate an a o iate desi n, o e ts a e onside ed as allin into one o th ee Geotechnical
Categories, based on the om le ity o the eote hni al desi n to ethe ith the asso iated is s. Cat
egor is o small o e ts ith ne li ible is , Categor is o on entional st u tu es e. . oundations,
etainin alls, emban ments and Categor is o st u tu es not o e ed by ate o ies 1 and 2. It is
ob ious that most outine eote hni al desi n o ill all into eote hni al ate o y 2.
5. eotechnical design calculation
o enable the limit states to be he ed, the design alues o the eote hni al a amete s, the ound
esistan e and the a tions e. . o es o loads , must be dete mined. he ea te , a eote hni al analysis
is em loyed to sho that the a ti ula limit bein he ed ill not be e eeded. ty i al se uen e o
the o esses in ol ed in the desi n al ulations is sho n in i . . .
1 Smit h’s Element s of Soil echanics
Establish design values of actions

and geometrical data
Establish design values of ground

properties and resistances
Define limit that must not be

exceeded (e.g. bearing resistance)
Perform relevant geotechnical analysis
Show, by calculation, that limit will not

be exceeded
Fig. 5.5 P o esses in ol ed in eote hni al desi n by al ulation.
Eurocode 7 Geotech ca es –
Part 2 Grou d est at o a d test
EN ISO 22476 CEN ISO/TS 17892 EN ISO 14688 EN ISO 22475

Field Testing Laboratory tests EN ISO 14689 Sampling and
Parts 1 – 13 Parts 1 – 12 Identification and groundwater
classification of soil and rock measurements
Fig. 5.6 IS Inte national and e hni al Standa ds.
he desi n alues o a tions d a e de i ed by multi lyin the representati e alues e by the a o

iate a tial a to o sa ety, γ . he desi n alues o eote hni al a amete s d a e de i ed by di idin
the characteristic alues by the a o iate a tial a to o sa ety, γ . he esistan e is de i ed
om the desi n alues o a tions and ound a amete s. he desi n esistan e d an eithe be ta en
as e ual to o as e ual to a edu ed alue o , hi h is de i ed by di idin by an additional a tial
a to o sa ety, γ . he hoi e o hi h a tial a to o sa ety to use is o e ned by the natu e o the
a tion and by the design approach see Se tion . bein used. tions a e lassi ed as e manent
eithe fa oura le o unfa oura le , a iable , a idental o seismi E . he ‘e e ts’ o a tions a e
also onside ed in the desi n.
5. .1 haracteristic alues of geot echnical parameters

i u e .4 illust ates that a numbe o odes and standa ds a e used hen desi nin a eote hni al
o e t. lthou h the bul o desi n o ill in ol e ollo in the ules o Eu o ode Pa t 1, the desi ne
must also use Pa t 2 and othe do uments, as a o iate.
he S o e o Eu o ode , Pa t 2 states that Pa t 2 is intended to be used in on un tion ith Pa t 1
and o ides ules su lementa y to Pa t 1 elated to site in esti ation and the testin e ui ed to estab
lish eote hni al a amete s. Eu o ode Pa t 2 does not o e the standa disation o labo ato y and eld
tests themsel es. en e se e al Inte national Standa ds anisation IS Inte national and e hni al
Standa ds also lay a a t in the desi n o ess as indi ated in i . .
Eurocode 7 1 1
Type of test (Field, Lab) 1 2 1 2
C C
Correlations
Information from other
Test results and sources on the site, the soils
derived values 1 2 and roc s and the pro ect
EN 1997-2
EN 1997-1
Cautious selection
Geotechnical model and characteristic

value of geotechnical parameters
Application of partial
factors
esign value of geotechnical

parameters
Fig. 5.7 ene al ame o o the sele tion o de i ed alues o eote hni al o e ties based on E
199 2, i u e 1.1 .
E 1990 2002 o ides a statisti al o edu e o establishin a ha a te isti mate ial o e ty om a

set o the mate ial’s o e ty alues. Su h a o edu e o s ell o man made mate ials but is not
a li able o use on soils.
e nin the ha a te isti alues o eote hni al a amete s is the e o e hallen in and E 199 1
states that these must be based on esults om labo ato y and eld tests, om lemented by ell
established e e ien e. u the , add essin the a t that the statisti al o edu e is not eadily a li able
to soil e. . sin e only a small numbe o test esults ill li ely e ist o a sin le soil o e ty , the ode
states that the ha a te isti alue should be ta en as a cautious estimate o the alue a e tin the o u
en e o the limit state.
It is a o iate to loo at the issues a e tin the sele tion o a cautious estimate o a eote hni al
a amete . i u e . i u e 1.1 in Eu o ode Pa t 2 indi ates the ene al ame o o the sele tion
o de i ed alues o eote hni al o e ties om hi h the autious estimate an be made.
he to a t o i . . abo e the dashed line de i ts the o esses lin ed to Eu o ode Pa t 2 he e
the alues o the eote hni al a amete a e de i ed by lab o eld testin eithe di e tly o th ou h
some so t o o elation o ess. he lo e a t o the u e illust ates the o esses des ibed in
Eu o ode Pa t 1, he e the autious estimate o the de i ed alues is made to de ne the ha a te isti
alue, hi h is subse uently used to de i e the desi n alue o the a amete .
hus the o edu e in ol ed in dete minin the desi n alues o eote hni al a amete s om test
esults may be onside ed as om isin sta es
1. eld and labo ato y test measu ements a e inte eted usin any e ui ed o elation to de i e a test esult
2. all test esults, to ethe ith additional ele ant site in o mation, a e assessed so that a autious esti
mate o the eote hni al a amete alue a e tin the a ti ula limit state may be made the ha
a te isti alue
. the ha a te isti alue is di ided by the a o iate a tial a to o sa ety to yield the desi n alue.
1 2 Smith’s Elements of Soil echanics
ond and a is 200 i e uidan e on establishin a autious estimate o a eote hni al a amete
hilst illust atin the a iation in alues that an esult. dd essin the same issue, Sim son 2011 adds
inte etation to the Eu o ode te t to aid use s o the ode to unde stand the o esses in ol ed. It an
be a ued that only a s illed and e e ien ed eote hni al en inee an inte et test esults and othe
a to s i o ously enou h to establish a eliable autious estimate. o hel add ess this, ond 2011 has
de elo ed a o edu e o dete minin the ha a te isti alue based on sim le statisti al methods hi h
oes some ay in hel in desi ne s o e ome the hallen es in establishin the autious estimate. u
the mo e, S hneide and S hneide 201 esent a sim li ed statisti al a oa h based on the mean
and standa d de iation o oe ient o a ian e o a soil o e ty, ombined ith onside ation o the
e ti al e tent o the in uen in ailu e me hanism, to dete mine the ha a te isti alue.
lso hel ul is an illust ation by i s 201 on the otential use o the andom nite element method
in dete minin ha a te isti alues by usin it to uanti y the ombined e e ts o s atial a e a in
soil o e ties alon a ailu e lane, ith the a t that ailu e lanes tend to ollo the ath o least
esistan e.
In o e in alte nati es to the autious estimate a oa h, Eu o ode Pa t 1 states that both statisti al
methods and standa d tables o ha a te isti alues an be used i su ient eote hni al measu ements
esults e ist. o e e , as stated abo e, the li elihood o la e enou h data sets o eote hni al test
esults e istin is small.
5. .2 Partial factors of safet and design alues

he al ulation method es ibed in Eu o ode Pa t 1 is the limit state desi n a oa h used in on
un tion ith a a tial a to method. he use o a tial a to s o sa ety, ensu e that the eliability o the
a ious om onents o the desi n a e assessed indi idually, athe than assessin the o e all sa ety o the
system as is the a ti e ith a lobal a to o sa ety a oa h. his means that a tial a to s o sa ety
a e a lied to all a tions, mate ial o e ties and esistan es o ea h limit state bein he ed. he e
a e thus many a tial a to s o sa ety that ha e to be onside ed.
Pa tial a to s a e denoted by the ene al symbol, γ.

Note this s m ol is of course alread used geotechnical engineers to represent ‘unit eight’
no n as eight densit in Eurocode 7 and thus a it of care ma e needed initiall hen using this
Gree letter gamma to represent the partial factor
Pa tial a to s on a tions a e denoted by the symbol, γ
Pa tial a to s on mate ial o e ties a e denoted by the symbol, γ .
Pa tial a to s on esistan es a e denoted by the symbol, γ .
Pa tial a to s o s e i a amete s a e identi ed by the subs i t e. . a tial a to o sa ety on oe
ient o shea in esistan e, tan φ is denoted by γφ.
he a tial a to s to be used o the di e ent limit states a e o ided in nne o E 199 1 2004.
he ational nne an o e national hoi e o ea h a tial a to .
he e i ation o any limit state in ol es an assessment o the e e t o the design a tions a ainst the
ma nitude o the design esistan e bein o e ed by the st u tu e o the ound. hese desi n alues a e
obtained by ombinin the ha a te isti alues ith a o iate a tial a to s o sa ety. n e the desi n
alues ha e been established, the eote hni al analysis is e o med to he that the e e ts o the
desi n a tions do not e eed the desi n esistan e.
5. .3 esign alues of actions

he se uen e o ta in a ha a te isti alue o an a tion th ou h to the desi n e e t o the a tion
in ol es multi lyin the ha a te isti alue by a o elation a to ψ in a o dan e ith E 1990 2002
then multi lyin the esultin e esentati e alue e by a a tial a to o sa ety γ to yield the desi n
Eurocode 7 1 3
alue o the a tion d . he desi n e e ts o the a tion then de end on the limit state unde onside a
tion but ould be, o e am le, a slidin o e o a moment.
he se uen e is thus
Characteristic action representative action design action design effects of action

(Fk) (Frep) (Fd) (Ed)
Correlation Partial factor

factor, ψ of safety, γF
i.e.
Frep = Fk × ψ (ψ ≤ 1.0; ψ = 1.0 for persistent actions)

Fd = Frep × γF
ote 1 ha a te isti sel ei hts a e al ulated om ha a te isti ei ht density alues e. . see

E am le . .
ote 2 In eote hni al desi n o an assum tion may be made that any st u tu al a tion has al eady
been ombined ith the o elation a to , ψ. his ma es sense as a st u tu al a tion omin onto a
eote hni al st u tu e ill almost e tainly be the esult o a st u tu al desi n o ess.
E ample 5.1 esign alue of action
e esentati e a tion has ma nitude 200 . onside in a a tial a to o sa ety,

γ = 1. , dete mine the desi n alue o the a tion.
Solut ion:
Fd = Frep × γF = 200 × 1.35 = 270 kN
5. . esign alues of geot echnical parameters

e nin ha a te isti alues o eote hni al a amete s has al eady been dis ussed in Se tion .4.1. o
ea h the desi n alue o the eote hni al a amete , the ha a te isti alue is di ided by the a o i
ate a tial a to o sa ety.
Characteristic geotechnical Design geotechnical

parameter parameter
(Mk) (Md)
Partial factor
of safety, γM
i.e.
k
d =
γ
E ample 5.2 esign alue of geotechnical parameters
ete mine the desi n alues o the ollo in ha a te isti soil st en th o e ties,
usin the a tial a to s o sa ety o ided
cu;k = 40 kPa; ck′ = 5 kPa; φk′ = 27°.
γ cu = 1.4; γ c′ = 1.25; γ φ′ = 1.25.
Solut ion:
40 40
cu;d = = = 28.5 kPa
γ cu 1.4
5 5
c′d = = = 4 kPa
γ c ′ 1.25
tan φ′ tan 27°
φd′ = tan− 1 = tan− 1 = 22..2°
γ φ′ 1.25
5. .5 esign alues of geometrical data

he a tion and mate ial a tial a to s in lude an allo an e o mino a iations in eomet i al data and,
in ases he e mino a iation in the eomet i al data ill not a e t the st u tu al eliability, no u the
sa ety ma in on the eomet i al data should be e ui ed. o e e , in ases he e de iations in the
eomet i al data mi ht ha e a si ni ant e e t on the eliability o a st u tu e e. . in the ase o
“ un lanned utu e e a ations” in ont o a etainin st u tu e, see E am les . and .4 the desi n
eomet i al alue an be ad usted by a nominal amount, ollo in uidan e o ided in E 199 1.
5. .6 esign ef fects of actions

When assessin the stability o st en th esistan e o the st u tu e, it is the “ e e ts o a tions” that a e
onside ed. hese e e ts in lude the inte nal o es, moments, st esses and st ains ithin the st u tu al
membe s, lus any de e tion o otation o the st u tu e as a hole.
i u in the e i ation o eote hni al st en th he e the E limit state see Se tion . is used
some e e ts o the a tions ill de end on the st en th o the ound in addition to the ma nitude o
the a lied a tion and the dimensions o the st u tu e. hus, the e e t o an a tion in the E limit
state is a un tion o the a tion, the mate ial o e ties and the eomet i al dimensions.
i.e.
Ed = E{ Fd ; Xd ; ad }
he e
Ed is the desi n e e t o the a tion, and
d is the desi n a tion d is the desi n mate ial o e ty ad is the desi n dimension,
and he e
E . . . indi ates that the e e t, E is a un tion o the te ms in the a enthesis.
ii Simila ly, du in the e i ation o stati e uilib ium he e the E limit state see Se tion . is
used some e e ts o the a tions both destabilisin and stabilisin ill de end on the st en th o the
ound in addition to the ma nitude o the a lied a tion and the dimensions o the st u tu e. hus,
Eurocode 7 1 5
the e e t o an a tion in the E limit state, hethe it is a stabilisin o a destabilisin a tion, is a

un tion o the a tion, the mate ial o e ties and the eomet i al dimensions.
i.e.
Edst ;d = E{ Fd ; Xd ; ad } dst
he e
Edst d is the desi n e e t o the destabilisin a tion, and
Estb ;d = E{ Fd ; Xd ; ad } stb
he e
Estb d is the desi n e e t o the stabilisin a tion.
5. .7 esign resistances
E uation . in E 1990 2002 indi ates that the desi n esistan e de ends on mate ial o e ties and
the st u tu al dimension. o e e , in eote hni al desi n, many esistan es de end on the ma nitude
o the a tions and so E 199 1 ede nes E uation . to in lude the ont ibution made by the desi n
a tion. he lause a tually o e s th ee methods o establishin the desi n esistan e, d
R{ Fd ; X k ; ad } R{ Fd ; X d ; ad }
Rd = R{ Fd ; X d ; ad } or Rd = or Rd =
γR γR
nne o Eu o ode Pa t 1 o e s uidan e on hi h o the o mulae abo e to use o ea h design

approach see Se tion . .
5.5 ltimate limit states
Eu o ode lists e limit states to be onside ed in the desi n o ess
EQU the loss o e uilib ium o the st u tu e o the su o tin ound hen onside ed as a i id body
and he e the inte nal st en ths o the st u tu e and the ound do not o ide esistan e e. . i .
. a . his limit state is satis ed i the sum o the desi n alues o the e e ts o destabilisin a tions
Edst d is less than o e ual to the sum o the desi n alues o the e e ts o the stabilisin a tions
Estb d to ethe ith any ont ibution th ou h the esistan e o the ound a ound the st u tu e d ,
i.e. Edst d ≤ Estb d + d. In most ases, the ont ibution to stability om the esistan e o the ound
a ound the st u tu e ill be minimal so d ill be ta en as e o.
GEO ailu e o e essi e de o mation o the ound, he e the soil o o is si ni ant in o idin
esistan e e. . i s . b, . , . d and . e . his limit state is satis ed i the desi n e e t o the
a tions Ed is less than o e ual to the desi n esistan e d , i.e. Ed ≤ d.
STR ailu e o e essi e de o mation o the st u tu e, he e the st en th o the st u tu al mate ial is
si ni ant in o idin esistan e e. . i . . . s ith the E limit state, the S is satis ed i the
desi n e e t o the a tions Ed is less than o e ual to the desi n esistan e d , i.e. Ed ≤ d .
UPL the loss o e uilib ium o the st u tu e o the su o tin ound by e ti al u li t due to ate es
su es buoyan y o othe a tions e. . i . .9a . his limit state is e i ed by he in that the sum o
the desi n e manent and a iable destabilisin e ti al a tions dst d is less than o e ual to the sum
o the desi n stabilisin e manent e ti al a tion stb d and any additional esistan e to u li t d
su h as the i tion o e d sho n in i . .9a, i.e. dst d ≤ stb d + d.
HYD hyd auli hea e, inte nal e osion and i in in the ound as mi ht be e e ien ed, o e am le,
at the base o a b a ed e a ation. his limit state is e i ed by he in that the desi n total o e
ate essu e udst d o see a e o e Sdst d at the base o the soil olumn unde in esti ation is less
1 6 Smit h’s Element s of Soil echanics
(a) Overturning; rigid foundation (b) Overturning; soil foundation (c) Bearing failure
(EQ limit state) (GEO limit state) (GEO limit state)
(d) Forward sliding (e) Ground failure (f) Structural failure

(GEO limit state) (GEO limit state) (STR limit state)
Fig. 5.8 Limit states o ea th etainin st u tu es.
Gstb;d
Td Td
udst;d
Fig. 5.9 (a) li t o a bu ied hollo st u tu e based on E 199 1, i u e 10.1 .
Fig. 5.9 (b) E am le he e hea e may o u based on E 199 1, i u e 10.2 .

Eurocode 7 1 7
than o e ual to the total e ti al st ess σstb d at the bottom o the olumn, o the subme ed unit
ei ht (G′stb ;d ) o the same olumn, i.e. udst ;d ≤ σstb ;d or Sdst ;d ≤ G′stb ;d e. . i .9b and E am le 2. .
he E , E and S limit states a e the most li ely ones to be onside ed o outine desi n. u the
mo e, in the desi n o etainin alls and oundations it is li ely that limit state E ill be the e alent
state o dete minin the si e o the st u tu al elements.
5.6 The E limit state
o he this limit state, the e uilib ium o the st u tu e hen onside ed as a i id body is assessed. he
o edu e is sho n in i . .10. he e a e t o sides o the analysis to onside e esented by the la e
shaded a eas desta ilising a tions and e e ts and sta ilising a tions and e e ts.
o both the destabilisin and the stabilisin as e ts, the e esentati e a tions a e ombined ith the
a o iate a tial a to s o sa ety to yield the desi n alues. he analysis ty i ally a moment e uilib ium
analysis o the E state is then e o med and the ma nitudes o the e e ts o the a tions a e om
a ed to assess stability.
n e am le o this limit state is the o e tu nin o a a ity etainin all estin on a i id laye , ith
no ont ibution to stability om any ad a ent soil. In the ase o su h a all e. . i . . a , the desta ilis
ing actions a e the o es tendin to ush the all o e e. . the a ti e th ust behind all and the sta ilis
ing actions a e the o es esistin the o e tu nin i.e. the sel ei ht o the all . he e e ts o the
a tions both the stabilisin and the destabilisin a e the moments eated by the a tions. hus, e i a
tion that the limit state e ui ement a ainst o e tu nin is satis ed e ui es that the o e tu nin moment
Edst d is less than o e ual to the esto in moment Estb d .
i.e. Edst ;d ≤ Estb ;d
he a tial a to s o use in the E limit state a e listed in Eu o ode Pa t 1 nne , and a e

e odu ed in able .1. It is im o tant to emembe that the ational nne an o ide alte nati e
alues to those ublished in nne and indeed the ational nne ublishes di e ent mate ial
a tial a to s o the E limit state to S E 199 1 2004 .
Destabilising actions and effects Stabilising actions and effects
Representative destabilising Representative stabilising

actions, Fdst; rep actions, Fstb; rep
Partial factors, Partial factors,

γF dst γF stb
Design destabilising Design stabilising

actions, Fdst;d actions, Fstb;d
GEOTECHNICAL ANALYSIS
Design effect of Design effect of

destabilising actions, Edst;d stabilising actions, Estb;d
Verify Edst;d ≤ Estb;d
Fig. 5.10 ei ation o E limit state o stability.

1
Table 5.1 Pa tial a to sets o E , E and S limit states.

Smit h’s Element s of Soil
ST – Part ial a t or et
Paramet er S mbol 1 2 1 2 1 2 3
echanics
Pe manent a tion n a ou able γ dst γ un a 1.1 1. 1.0

a ou able γ stb γ a 0.9 1.0 1.0
a iable a tion n a ou able γ 1. 1. 1.
a ou able – – – –
idental a tion n a ou able γ 1.0 1.0 1.0
a ou able – – – –
oe ient o shea in esistan e tan φ′ γ φ′ 1.2 1.0 1.2
E e ti e ohesion ′ γ′ 1.2 1.0 1.2
nd ained shea st en th u γu 1.4 1.0 1.4
n on ned om essi e st en th u γu 1.4 1.0 1.4
Wei ht density γ γγ 1.0 1.0 1.0
ea in esistan e γ 1.0 1.4 1.0
Slidin esistan e h γh 1.0 1.1 1.0
Ea th esistan e e γe 1.0 1.4 1.0
ote ei ht density ≡ unit ei ht.

Eurocode 7 1
E ample 5.3 E limit state
onside a sim le ein o ed on ete a ity etainin all ei ht density, γ = 2

m o idth 2 m etainin a homo eneous anula ll to a hei ht o 4 m as sho n in
i . .11. he esultant a ti e th ust due to the etained soil is e ual to . and the
late al th ust om the su ha e is e ual to 1 .1 . he the sa ety o the all a ainst
the E limit state o Eu o ode . ssume an ine’s onditions e ail and that the
all ests on a sti laye .
Solut ion:
he st ste is to onside hi h a tial a to s o sa ety e need om able .1. In
this e am le e e ui e a to s o i the destabilisin a tions both e manent and
tem o a y and ii the stabilisin a tions, i.e. γ dst , γ and γ stb.
he a tions a tin a e
Pa, P – destabilisin a tions
Wei ht o all, W – stabilisin a tion
esign actions
Pa;d = 66.5 × γ G;dst = 66.5 × 1.1 = 73.2 kN
Pq ;d = 15.1× γ Q = 15.1× 1.5 = 22.7 kN
Wd = 2× 4 × 25 × γ G;stb = 200 × 0.9 = 180 kN
Stability is assessed by onside in the moment e uilib ium about oint .
esign effect of actions
estabilisin moment, dst d
= (73.2 × 4 3) + (22.7× 2)
= 143 kNm
Stabilisin moment, stb d
= 180 × 1.0
= 180 kNm
Sin e stb d ≥ dst d the E limit state e ui ement is satis ed.
2.0 m q
Pq = 15.1 kN
4.0 m
A
Pa = 66.5 kN
Fig. 5.11 E am le . .
E am le . illust ates the athe a e ase o a etainin all la ed onto a i id base, su h as o

head, ith no si ni ant esistan e omin om any soil esent. ost ommonly ho e e , the ad a ent
ound onditions ould ont ibute to the stability o the all and in these ases the sa ety must be
assessed by usin the E limit state instead.
5.7 The E limit state and design approaches
o he this limit state, the st en th o the ound is assessed to ensu e ound ailu e ill not o u .
he o edu e is sho n in i . .12.
he e a e t o sides o the analysis to onside e esented by the la e shaded a eas actions and
effects and material properties and resistance. he e esentati e a tions a e ombined ith the a o i
ate a tial a to s o sa ety to yield the desi n alues. he mate ial o e ties a e then ombined ith
thei a tial a to s o sa ety to yield the desi n mate ial o e ties. he analysis is then e o med and
the desi n e e t o the a tions is om a ed to the desi n esistan e to assess sa ety.
n e am le o this limit state is the o a d slidin o a a ity etainin all. In the ase o su h a all
e. . i . . d , the desi n effects of the actions i.e. the o a d slidin aused by the a ti e th ust behind
all and the desi n resistance i.e. the o e esistin slidin alon the base o the all a e established.
e i ation that the limit state e ui ement a ainst slidin is satis ed e ui es that the e e t o the a tions
Ed is less than o e ual to the ound esistan e d .
i.e. Ed ≤ Rd
5.7.1 esign approaches

When he in the E and S limit state e ui ements, one o th ee desi n a oa hes is used esign
Approach , esign Approach o esign Approach . his hoi e o th ee a oa hes e e ts the
Actions and effects Material properties and

resistance
Representative Characteristic material
actions, Frep properties, Xk
Partial factors, γF Partial factors, γM
Design actions, Design material

Fd properties, Xd
GEOTECHNICAL ANALYSIS
Design effect of
Design resistance, Rd
actions, Ed
Verify Ed ≤ Rd
Fig. 5.12 ei ation o E limit state o st en th.

Eurocode 7 151
Eu o e ide ado tion o the Standa d and o e s desi ne s in di e ent nations an a oa h most ele ant
to thei needs. he ational nne to E 199 1 states that esi n oa h 1 is to be used in the
and o ed e am les in the ollo in ha te s illust ate the use o this method.
s mentioned ea lie , the hoi e o a tial a to s to be used is de endent on the desi n a oa h bein
ollo ed o the E and S limit states . o ea h desi n a oa h, a di e ent ombination o a tial
a to sets is used to e i y the limit state. o esi n oa h 1 o etainin alls and shallo ootin s ,
t o ombinations a e a ailable and the desi ne ould no mally he the limit state usin ea h ombina
tion, e e t on o asions he e it is ob ious that one ombination ill o e n the desi n the ombination
o a tial a to sets o esi n oa h 1 is di e ent o ile oundations – see ha te 10 .
esi n oa h 1 ombination 1 1 + 1 + 1
ombination 2 2 + 2 + 1
esi n oa h 2 1+ 1+ 2
esi n oa h + 2+
Note. use set 1 on st u tu al a tions, set 2 on eote hni al a tions .
he sets o a tions denoted by , mate ial o e ties denoted by and ound esistan e denoted
by o ea h desi n a oa h a e i en in able .1. lso i en in the table a e the a tial a to s o
the E limit state.
E ample 5. esign approaches design actions
on ete oundation is to be ast into a soil de osit as sho n in i . .1 . he

oundation has a e esentati e sel ei ht, W o 0 .
u in a he o bea in esistan e see ha te 9 , the e ti al e esentati e
a tions and a e onside ed as unfa oura le. ete mine the desi n alues o
ea h a tion, o ea h esi n oa h.
Solut ion:
he desi n alues o the a tions a e a hie ed by multi lyin the e esentati e a tions
by the a o iate a tial a to s o sa ety om able .1.
e. . esi n oa h 1, ombination 1 11
Gd = Gk × γ G = 600 × 1.35 = 810 kN
( ) ( ) ( )
1–1 γ = 1. 10 22 .
γ = 1.
1–2 γ = 1.0 00 19 0
γ = 1.
2 γ = 1. 10 22 .
γ = 1.
3 γ = 1. 10 22 .
γ = 1.
VG;k = 600 kN
VQ;k = 150 kN
Fig. 5.13 E am le .4.
E ample 5.5 esign approaches design geotechnical

parameters
he ound beneath the oundation sho n in i . .1 has the ollo in ha a te isti

alues u = 40 Pa ck′ = 5 kPa φk′ = 25°.
ete mine the desi n alues o ea h o e ty, o ea h esi n oa h.
Solut ion:
he desi n alues o the eote hni al o e ties a e a hie ed by di idin the ha a
te isti alues by the a o iate a tial a to s o sa ety om able .1.
e. . esi n oa h 1, ombination 2 12
tan φ′ tan 25°
φd′ = tan− 1 = tan− 1 = 20..5°
γ φ′ 1.25
u ( Pa) cd′ (kPa) φ ′ (′′ )
1–1 γ u = 1.0 40 2
γ c′ = 1.0
γ φ′ = 1.0
1–2 γ u = 1.4 2 . 4 20.
γ c′ = 1.25
γ φ′ = 1.25
2 γ u = 1.0 40 2
γ c′ = 1.0
γ φ′ = 1.0
3 γ u = 1.4 2 . 4 20.
γ c′ = 1.25
γ φ′ = 1.25
Eurocode 7 153
5.7.2 The o er design factor and the degree of ut ilisation

When he in the ultimate limit state o any o the e ultimate limit states it may be hel ul to e
esent the de ee o sa ety o the system by eithe the o er design factor o the degree of utilisation.
hese e essions a e uite sim ly the atio o the desi n esistan e to the e e ts o the a tions
and its e i o al o .
i.e.
Rd
Over-design factor, Γ =
Ed
Ed
Degree of utilisation, ∆ =
Rd
E ample 5.6 E limit state for ard sliding
etu n to the etainin all o E am le . . ssume no that the all is ounded u on

a lay o ha a te isti und ained st en th Pa. he the sa ety o the all a ainst
o a d slidin by he in the E limit state o Eu o ode o all th ee desi n
a oa hes.
Solut ion:
a esi n oa h 1
1. Com ination A + M +
i esign Material roperties
75 75
cu;d = = = 75 kPa
γ cu 1
ii esign Actions and effect of actions
he a ti e and su ha e th usts a e un a ou able.
ti e h ust Pa d = . × γ = . × 1. = 9. m
Su ha e h ust P d = 1 .1 × γ = 1 .1 × 1. = 22. m
otal Slidin o e, Ed = 9. + 22. = 112. m
iii esign esistance
Rd = cu;d × B = 75 × 2 = 150 kN/ m (since γRh = 1.0, see Table 5.1)
150
Γ= = 1.33
112.5
1
∆ = = 75%
1.33
2. Com ination A + M +
75 75
cu;d = = = 53.6 kPa
γ cu 1.4
Pa;d = 66.5 × γ G = 66.5 × 1.0 = 66.5 kN/ m
Pq:d = 15.1× γ Q = 15.1× 1.3 = 19.6 kN/m
Total Sliding force, Ed = 66.5 + 19.6 = 86.1 kN/m

Rd = cu;d × B = 53.6 × 2 = 107.2 kN/ m (again γRh = 1.0 )
107.2
Γ= = 1.25
86.1
1
∆ = = 80%
1.25
In on lusion, the E limit state e ui ement is satis ed sin e d ≥ Ed in both
ombinations. ombination 2 is mo e iti al and thus ‘ o e ns’ the desi n.
b esi n oa h 2 1 + 1 + 2
75 75
cu;d = = = 75 kPa
γ cu 1
Pa;d = 66.5 × γ G = 66.5× 1.35 = 89.8 kN/ m

Pq:d = 15.1× γ Q = 15.1× 1.5 = 22.7 kN/ m
Ed = 89.8 + 22.7 = 112.5 kN/m
cu;d × B 75 × 2
Rd = = = 136.4 kN/ m
γRh 1 .1
136.4
Γ= = 1.21
112.5
1
∆ = = 83%
1.21
i.e. limit state e ui ement o
esi n oa h + 2+
use 1 on st u tu al a tions, 2 on eote hni al a tions
75 75
cu;d = = = 53.6 kPa
γ cu 1.4
Pa;d = 66.5 × γ G = 66.5× 1.0 = 66.5 kN/m
Pq:d = 15.1× γ Q = 15.1× 1.3 = 19.6 kN/m
Total Sliding force, Ed = 66.5 + 19.6 = 86.1 kN/ m
Rd = cu;d × B = 53.6 × 2 = 107.2 kN/ m (since γRh = 1.0)
107.2
Γ= = 1.25
86.1
1
∆ = = 80%
1.25
i.e. limit state e ui ement o
Eurocode 7 155
5. Ser icea ilit limit states
Se i eability limit states a e those that esult in e essi e settlement, hea e o ound ib ation and,
hilst the st u tu e at su h a state is unli ely to olla se i.e. ea h the ultimate limit state , the st u tu e
ill nonetheless be onside ed unsa e.
nly b ie uidan e is i en in Eu o ode Pa t 1 on the he in o se i eability limit states. It is
stated that e i ation o se i eability limit states e ui es that the e e ts o the a tions Ed is less than
o e ual to the limitin alues o the e e ts d ,
i .e. Ed ≤ Cd
he e e ts o the a tions Ed in lude de o mations, settlements, ound hea e and ib ations et .

he alues o a tial a to s o se i eability limit states should no mally be ta en e ual to 1.0 thou h
the ational nne an set di e ent alues. he limitin alue o a a ti ula se i eability de o mation
su h as settlement must be a eed du in the desi n o the su o ted st u tu e and E 199 1 nne
o ides b ie uidan e on limitin alues o st u tu al de o mation and oundation mo ement.
5. eotechnical design report
t the end o the desi n o ess, all the al ulations, d a in s and ound in esti ation data a e om iled
to ethe into the eote hni al desi n e o t. uidan e on the ontents o this do ument is i en in
Se tion . .
Ch a p t e r 6
Site Investigation
site in esti ation is an essential a t o the elimina y desi n o on any im o tant eote hni al
st u tu e. Its u ose is to obtain in o mation about the o osed site that an be used by the en inee
to a hie e a sa e and e onomi al desi n. In o mation et ie ed du in a site in esti ation an be e y
di e se and an in lude in o mation about the ast histo y o the site and ound in o mation su h as the
se uen es o st ata and the de th o the ound ate le el. u in the ound in esti ation hase,
sam les o soil and o an be ta en o identi ation and labo ato y testin , and in situ testin may be
e o med.
he ima y ob e ti es o a site in esti ation a e listed in S 9 0 Code of practice for site investiga-
tions SI, 1999
i to assess the ene al suitability o the site o the o osed o s

ii to enable an ade uate and e onomi desi n to be e a ed
iii to o esee and o ide a ainst di ulties that may a ise du in onst u tion due to ound and othe
lo al onditions
i to edi t any ad e se e e t o the o osed onst u tion on nei hbou in st u tu es.
In addition a site in esti ation is o ten ne essa y to assess the sa ety o an e istin st u tu e o to in es
ti ate a ase he e ailu e has o u ed.
6.1 EN 1997-2:2007 – Ground investigation and testing
s e sa in ha te , Pa t 2 o Eu o ode E 199 2 200 is the a t that deals ith ound in es

ti ation and testin . he ontents o this do ument a e sho n in i . . . P io to the ubli ation o E
199 2, site in esti ation a ti e in the ollo ed the uidelines o e ed in S 9 0 Code of practice
for site investigations. lthou h S 9 0 emains in u ent use, the o edu es o E 199 2, to ethe
ith the uidan e o ided in the many testin standa ds that a e used in on un tion ith it, a e no in
o e. Some o these ele ant testin standa ds, ublished by E and ited th ou hout E 199 2, a e
listed belo
E IS 14 Geotechnical investigation and testing – Identi cation and classi cation of soil 2 a ts
E IS 14 9 Geotechnical investigation and testing – Identi cation and classi cation of rock 1 a t
E IS 1 92 Geotechnical investigation and testing – La orator testing of soil 12 a ts
E IS 222 2 Geotechnical investigation and testing – Geoh draulic testing a ts
E IS 224 Geotechnical investigation and testing – Sampling and ground ater measurement a ts
E IS 224 Geotechnical investigation and testing – ield testing 1 a ts
E IS 224 Geotechnical investigation and testing – esting of geotechnical structures 1 a t, to date

156
Site Investigation 157
In a o dan e ith the ational nne to E 199 2 200 , in the , S1 1990 emains the
standa d o all labo ato y testin o soils, ith the e e tion o the all one test, hi h is o e ed instead
by E IS 1 92 2004
he a ti es ado ted in site in esti ations ha e been a ound o many yea s and hilst E 199 2
does o e a di e ent st ate y o the a yin out o ound in esti ation and testin o , the estab
lished e ui ment and o edu es in use ill not han e si ni antly. he est o this ha te is a an ed
to ali n ith the st u tu e o E 199 2.
6.2 Planning o ground investigations
he most si ni ant and the most e ensi e a t o a site in esti ation is the ound in esti ation i.e.
that sta e he e the ound o le and ound ate le els a e established and he e sam les o soil
and o a e ta en o identi ation and testin . In o de to ma imise the alue and ele an e o the
in o mation and data leaned du in the ound in esti ation, it is iti al that the in esti ation is ell
lanned. a e ul lannin ensu es that a ost e ient in esti ation is a hie ed and that all the in o ma
tion e ui ed o the eote hni al desi n is obtained. his a e ul lannin is a hie ed by e o min
se e al e ound in esti ation in o mation sea hes, assessments and analyses.
6.2.1 es stud
he des study is ene ally the st sta e in a site in esti ation. he si e and e tent o the study ill a y
a o din to the natu e o the o e t and the anti i ated ound onditions. It in ol es olle tin and
ollatin ublished in o mation about the site unde in esti ation and ullin it all to ethe to build a
on e tual model o the site. his model an then be used to uide the est o the in esti ation, es e ially
the ound in esti ation. u h o the in o mation athe ed at the des study sta e is ontained in ma s,
ublished e o ts, ae ial hoto a hs and e sonal e olle tion.
Sources of inf ormat ion

he sou es o in o mation a ailable to the en inee in lude eolo i al ma s, to o a hi al ma s d
nan e Su ey ma s , soil su ey ma s, ae ial hoto a hs, minin e o ds, ound ate in o mation,
e istin site in esti ation e o ts, lo al histo y lite atu e, meteo olo i al e o ds and i e and oastal
in o mation. etails o a e o these a e o ided belo but a tho ou h des i tion o the sou es o
des study in o mation is i en by layton et al. 199 .
Geological maps
eolo i al ma s o ide in o mation on the e tent o o and soil de osits at a a ti ula site. he si ni
an e o the eolo i al in o mation must be o e tly inte eted by the en inee to assist in the u the
lannin o the site in esti ation. eolo i al ma s a e odu ed by the itish eolo i al Su ey S.
Topographical maps
dnan e Su ey ma s o ide in o mation on, o e am le, the elie o the land, site a essibility, and the
land o ms esent. study o the se uen e o ma s o the same lo ation odu ed at di e ent e iods
in time, an e eal eatu es hi h a e no on ealed and identi y eatu es hi h a e e e ien in han e.
Soil survey maps

edolo i al soil su ey in ol es the lassi ation, ma in and des i tion o the su a e soils in the
a ea and is ene ally o main inte est to a i ultu ists. he soil studied is the to 1–1. m, hi h is the
15 S it ’s Ele ents o Soil e ani s
a t o the o le that is si ni antly a e ted by e etation and the elements. he ma s odu ed i e a

ood indi ation o the su a e soil ty e and its d aina e o e ties. he su a e soil ty e an o ten be elated
to the a ent soil lyin beneath, and so soil ty es belo 1. m an o ten be inte eted om the ma s.
Aerial photographs
With a e ul inte etation o ae ial hoto a hs it is ossible to dedu e in o mation on land o ms, to o
a hy, land use, histo i al land use, and eote hni al beha iou . he hoto a hs allo a isual ins e tion
o a site hen a ess to the site is est i ted. eely a essible satellite ima e y is no a mu h used sou e
o ae ial hoto a hy.
Existing site invest igation reports

hese an o ten be the most aluable sou e o eote hni al in o mation. I a site in esti ation has been
e o med in the i inity in the ast, then in o mation may al eady e ist on the o and soil ty es, d ain
a e, a ess, et . he e o t may also ontain details o the o e ties o the soils and test esults.
6.2.2 Sit e re onnaissan e

al o e the site an o ten hel to i e an idea o the o that ill be e ui ed. i e en es in e eta
tion o ten indi ate han es in subsoil onditions, and any uttin , ua y o i e on o nea the site should
be e amined. Site a ess, o e head est i tions and si ns o slo e instability a e u the e am les o
as e ts that an be obse ed du in the al o e su ey. he in o mation obse ed du in the su ey is
used to om lement the des study in o mation so that the ound in esti ation an be ell lanned.
6.2. Planning eld invest igat ions and la tests

In o de to obtain uantitati e data on the soil and o ty es and o e ties, the ound in esti ation
is e o med. his hase in ol es the sam lin o the ound usin e o nised sam lin o edu es and
s e ialist e ui ment. he e tent o the sam lin , and subse uent testin , de ends mainly on the si e
and natu e o the o osed st u tu e, but is also in£uen ed by the de ee o a iability o the soils on
the site. In esti ation oints a e lo ations on the site he e o lin and sam lin o the ound o u s.
he ound is in esti ated and sam led by usin a ious methods as des ibed in the ollo in se tion.
uidan e on the s a in and de th o the in esti ation oints is i en in E 199 2 and a e summa
ised in able .1 and able .2. s an be seen, the natu e o the o e t in£uen es si ni antly the
e ommended e tent and numbe o in esti ation oints.
he de th o in esti ations an be edu ed to a = 2 m he e the oundations in able .2 a e on
st u ted on om etent st ata ith distin t eolo y.
Table 6.1 uidan e alues o s a in and atte n o in esti ation oints.
St ruct ure Spacing Layout
i h ise and indust ial st u tu es 1 –40 m id atte n

La e a ea ≤ 0m id atte n
Linea st u tu es e. . oads, ail ays, 20 m–200 m Linea
alls et .
S e ial st u tu es e. . b id es, 2– in esti ation oints e
sta s, ma hine y, oundations oundation
ams and ei s 2 m– m lon ele ant se tions
Site Investigat ion 159
Table 6.2 uidan e alues o de th a o in esti ation oints.
Foundat ion t ype Dept h crit eria*
Shallo oundations o hi h ise and i il he greater of

en inee in o e ts a≥ m
a ≥ .0 b
b = see i . .1
a t oundation a ≥ 1. b
b = see i . .1
Linea st u tu es oads and ai elds a ≥ 2m
Linea st u tu es anals and i elines he greater of
a ≥ 2m
a ≥ 1. b h
b h = see i .1
Pile oundations a≥ m
a≥ 1.0 b
a ≥ .0
b , = see i .1
he depths are measured from the reference levels sho n in ig
Bf za
bB za
(a) Shallow foundation. (b) Raft foundation.
za bAh
za
za
(c) Roads and trenches. DF
bg
(d) Piles and pile groups.
Fig. 6.1 e th a o in esti ation oints o a ious st u tu es.

160 S it ’s Ele ent s o Soil e ani s
6. Site e loration et ods
6. .1 rial its
t ial it is sim ly a hole e a ated in the ound that is la e enou h i ne essa y o a ladde to be
inse ted, thus e mittin a lose e amination o the e osed sides. he it is eated by emo in su
essi e laye s o soil usin a hyd auli e a ato until the e ui ed de th is ea hed. P o ession by uts
o de th about 400 mm is uite ommon. he e a ated soil is usually la ed beside the it to enable
easy ba llin on e the it is eady to be losed u a ain. he sides o the t ial it a e ne e assumed
to be stable and, i e sonnel a e to ente the it to e o m lose ins e tion o the soil, to ta e sam les
o to e o m in situ testin , the sides o the it must be ully su o ted.
ound ate onditions an be a u ately established om a t ial it and undistu bed blo soil sam les
a e obtainable elati ely easily. In addition, undistu bed sam les an be obtained usin ylind i al steel
sam lin tubes ently ushed in to the soil by the e a ato bu et.
elo a de th o about 4 m, the hallen es o side su o t and the emo al o e a ated mate ial
be ome in easin ly im o tant and the ost o t ial its in eases a idly. In e a ations belo ound
ate le el the e ense may be ohibiti e. ial its should not be made at lo ations he e ad ounda
tions mi ht be ast late in the o e t.
6. .2 and e avat ed ore oles

hand au e an be used in so t and loose soils o eatin a bo ehole o u to about m usin e ten
sion ods and is use ul o site e lo ation o in onne tion ith oads. hoi e o au e ty es e ist,
ea h o hi h is used o a s e i ty e o soil. In lay soils a lay au e as sho n in i . .2a is used,
he eas in sands and a els, the a el au e i . .2b is used. he au e is onne ted to d ill ods
and to a oss ba at the to to enable the au e to be tu ned by hand and ad an ed into the soil.
ota y en ine a an ement no adays is mo e ommon la e than the oss ba .
and e a ated bo eholes a e use ul o hea , a id sam lin and assessment o ound onditions
he e only 1 o 2 lo ations on a site a e o inte est. o la e s ale in esti ations, the bo eholes ill
in a iably be eated usin ull s ale d illin e ui ment. ll sam les o soil et ie ed om hand e a ated
bo eholes a e lassi ed as distur ed. o e e , mm diamete undistur ed sam les an be obtained
om the undistu bed soil belo the bottom o the bo ehole see Se tion .4.1 usin the sam lin tube
sho n in i . .2 .
38 mm 200 mm
(a) (b) (c)
Fig. 6.2 and au e s a lay au e b a el au e mm undistu bed sam le tube.

6. . ore oles
In most ound in esti ations, se e al bo eholes a e e ui ed and these a e o ten ta en do n to many
met es in de th. hus, s e ialist d illin e ui ment is e ui ed to o m these. In the the o e ation is
usually a ied out d y he eas in the S ash bo in te hni ues a e mo e ommon.
o main methods o o min bo eholes e ist ca le percussion oring and rotar drilling.
Cable percussion boring

his method is sometimes e e ed to as the shell and auger method. he e ui ment is sho n in i . . .
he in i le o o e ation is
● the ame hi h is t ans o ted to site in its olla sed state, to ed by a 4 heel d i e ehi le is
e e ted at the lo ation o the bo ehole and stabilised
● the in h, o e ed by the o table diesel ene ato , li ts the uttin tool i . .4 to a ds the to
o the ame. In lay soils, the cla -cutter is used in mo e sandy and a elly soils the shell is used
● the in h b a e is eleased and the tool is allo ed to all eely into the soil
Tripod
assembly
Diesel engine powered

direct drive free-fall winch
Cutting
Fig. 6.3 able e ussion bo in .

140 or
18 194 mm
30
mm
cutting shoe clack
Clay cutter Shell, with clack fitted Chisel
Fig. 6.4 able e ussion uttin tools and sam le s.
● the uttin tool d i es into the soil and the bo ehole soil is o ed inside the tool
● the in h aises the tool om the ound, the soil inside the tool is leaned out and sam led i a o
iate and the no lea tool is aised on e a ain to the e ui ed ee all hei ht and the o ess
e eated o e and o e
● as the bo ehole is ad an ed, the sides o the bo ehole a e su o ted by se uentially installed tube
se tions o steel no n as the bo ehole casing. hese se tions a e ad an ed as the bo ehole itsel is
ad an ed
● undistu bed sam les o soils a e et ie ed in steel o lasti sam lin tubes see Se tion .4
● the d ille o e atin the e ui ment e o ds a lo o the o ess o the bo ehole and ma es any obse
ations su h as soil ty es, obst u tions, ound ate le el et .
his is an e t emely e satile and elati ely ine ensi e means o o min a bo ehole. s seen, it an be
used in di e ent soil ty es and this is essential o any bo ehole o min e ui ment. I boulde s o obbles
a e en ounte ed, these an be b o en do n usin a hea y hisel in la e o the uttin tool until the
obst u tion is lea , then o ess an ontinue.
In lay soils, the soil is sim ly ed ed inside the lay utte and is emo ed by hand om inside usin
steel ba s ushed th ou h the side slots. In anula soils the mate ial is et ie ed by means o the shell.
his uttin tool is tted ith a la a hin ed lid that loses as the shell is ithd a n and etains the
loose a ti les inside. he soil is emo ed and sam led by o enin the la on e the shell is at ound
le el.
Rotary drilling
ota y d illin in ol es usin a hi h o e ed, t u mounted moto to otate d illin ods onne ted to
a d ill bit into the ound as sho n in i . . he te hni ue as t aditionally used mainly o bo in and
sam lin o , althou h the te hni ue is be omin in easin ly used in soils o too. he hea y duty
d ill bit inte han eable ty es e ist o hethe bo in o sam lin is ta in la e is atta hed at the end
o the d illin ods and otates at hi h s eeds to ut into the ound and mo e do n a d.
he d illin ods a e hollo so that a ate based oolant mi tu e an be um ed do n them and out
th ou h the holes in the d ill bit into the su oundin s a e ithin the bo ehole. his £uid has se e al
un tions it a ts as both a oolant and as a lub i ant to aid the uttin o ess, it o ides essu e
balan e du in d illin to esist in£o o ound ate to the bo ehole and it o ides the means by hi h
the uttin s o soil and o a e um ed u a ound the d illin ods to the su a e o emo al.
Pulley
Safety cage
High power motor unit
Drill rod
Fig. 6.5 ota y d illin i .
Sonic drilling
e ent de elo ment in d illin te hnolo y is soni d illin . his o ess in ol es the use o a soni d ill
head at the ound su a e that is ib ated at a ious hi h e uen ies ont olled by the o e ato , de end
in on the a ti ula ound onditions bein en ounte ed. he e ui ment is the same as used o ota y
d illin e e t o the soni d ill head addition.
he head ontains the on entional ota y d illin o in me hanism and is tted ith an os illato . he
os illato sends hi h e uen y ib ations, ene ally bet een 0–1 0 , do n the d ill ods and sam le
ba el. his means that du in o e ation the d ill bit is otated, ad an ed and no also ib ated into the
ound. hese th ee om onents o the d illin ene y allo the d ill to o eed a idly th ou h the
ound in ludin d illin th ou h boulde s and most ty es o o . In hysi al te ms, the esonan e o
the ib ations in eases the am litude o the d ill bit that enables a id ad an ement o the bo ehole
to be made. Indeed soni d illin an ad an e a bo ehole u to times aste than on entional ota y
d illin . Soni d illin is also use ul o et ie in ontinuous, elati ely undistu bed, soil sam les and
o o es.
6. Soil and ro sa ling
Soil and o sam les a e ta en e ula ly du in the ound in esti ation so that s e i ound o e
ties e ui ed in the eote hni al desi n an be established.
6. .1 Soil sa ling
o ty es o soil sam le an be obtained distu bed sam le and undistu bed sam le.
Disturbed samples
he soil e a ated om a t ial it, o the soil om the lay utte o the shell om a bo ehole, an be
olle ted as distu bed sam les. Su h soil has been emoulded and is o no use o shea st en th tests
but is use ul o identi ation, lassi ation and hemi al tests su h as li uid and lasti limit dete mina
tion, a ti le si e dist ibution and sul hate testin . istu bed sam les a e usually olle ted in lasti
sam lin ba s o ai ti ht tins o a s, and a e labelled to i e the bo ehole o t ial it numbe , the de th
and a des i tion o the ontents.
Undisturbed samples cohesive soil

ndistu bed sam les an be a hie ed usin di e ent e ui ment and te hni ues in di e ent situations.
he e ill al ays be an element o distu ban e to any sam le o soil ta en om the ound, but that
distu ban e an be minimal i a e and a o iate methods a e used.
i rial pits
In a t ial it sam les an be ut out by hand i a e is ta en. Su h a sam le is la ed in an ai ti ht
ontaine and as a u the measu e to a oid han e in ate ontent, it may be sealed in a a n a .
ii and e cavated oreholes
In a hand e a ated bo ehole, the hand au e an be used to obtain use ul sam les o un on ned
om ession tests and em loys mm sam lin tubes ith a len th o 200 mm i . .2 . he au e
is st emo ed om the ods and the tube tted in its la e, a te hi h the tube is d i en into the
soil at the bottom o the bo ehole, i en a hal tu n, and ithd a n. inally, the ends o the tube
a e sealed ith end a s.
iii otar core drilling
u in the ad an ement o the bo ehole, the uttin tool is used i . . a . his o ess is no n
as o en hole d illin . he soil uttin s a e too distu bed and mi ed ith d illin £uid to be o any
use o sam lin so the method is eally only used to a idly ad an e the bo ehole to the e ui ed
de th o sam lin to ommen e.
o ta e sam les o soil o o , the uttin tool is e la ed by the o in tool atta hed to a o e
ba el i . . b . Indust ial diamonds a e ast into the tun sten a bide uttin tool a e to enable
the uttin shoe to ut th ou h e en the ha dest o o s. he o e o soil o o that is ut du in
this o in o ess is olle ted in the o e ba el and an be b ou ht to the su a e o labellin and
identi ation and t ans o ted to the eote hni al labo ato y o testin . he o e ba el an a tually
ta e one o th ee o ms sin le tube, double tube o t i le tube.
sin le tube ba el has the same diamete as the d illin ods and is onne ted di e tly to the
uttin shoe. Sam les et ie ed in a sin le tube o e ba el e e ien e a ai de ee o distu ban e,
so double and t i le tube ba els a e o ten used in e e en e.
s su ested by the name, a double tube ba el om ises t o tubes an oute one hi h is
atta hed to the o in bit and otated by the d ill ods, and a non otatin inne one into hi h the
o e sam le asses as the uttin bit is ad an ed as sho n in i . . b. n e tension o the double
tube a an ement is to in lude a sam le line ithin the inne tube. his is no n as a t i le tube
o e ba el.
outer tube
inner tube
core lifter
cutting bit
(a) (b)
Fig. 6.6 ota y d illin bits a uttin bit b double tube o e ba el.
Steel “U100”
sampling tube
Plastic liner inside steel tube
Taper angle α
Cutting shoe
Cutting shoe
D1
D1
D1 = 104 mm D2 D1 = 102 mm
D2
D2 = 11 mm D2 = 124 mm
a Standard s stem b Plastic liner s stem
Fig. 6.7 able e ussion e ui ment to obtain undistu bed sam les a standa d system b lasti line
system.
i Ca le percussion orehole
With the able e ussion bo in i , 100 mm diamete undistu bed sam les, ommonly e e ed to
as 100 sam les, a e olle ted in a steel sam lin tube tted ith a uttin shoe, d i en into the
soil unde the e ussi e a tion o the allin ei ht assembly. o a oa hes to et ie in the
sam le e ist a standa d system usin a steel sam lin tube and uttin shoe as sho n in i . . a
and a lasti line system he e the line ts inside a la e steel tube and uttin shoe assembly,
i . . b. he de ee o distu ban e see Se tion .4.2 is di e ent bet een both systems.
u in d i in any ent a ed ate , ai o slush an es a e th ou h a non etu n al e tted in
the d i in head at the to o the tube. te olle tion, the sam le is sealed ith end a s at both
ends. I the sam le is to be sto ed o a lon time, a a a n a oatin an be a lied to ea h
end o the soil in the tube to e ent lon te m han es in ate ontent.
es ite thei o ula ity in the , ith the im lementation o E IS 224 1 200 International
Standard for Geotechnical Investigation and esting – Sampling and ground ater measurements ,
100 sam les a e li ely to be ome less used in the site in esti ation indust y in the omin yea s.
his standa d e o nises that 100 sam les a e not holly a o iate o use o e tain eote hni
al tests see Se tion .4. and sho s that othe methods o soil sam lin et ie e bette uality
sam les.
hin- alled tu e sampler
o soils su h as so t lays and silts that a e sensiti e to distu ban e, a thin alled sam lin tube an
be used. e ause o the so tness o the soil to be olle ted, the tube is sim ly ma hined at its end
to o m a uttin ed e and does not ha e a se a ate uttin shoe. he thin alled sam le is simila
in a ea an e to the sam le tube sho n in i . . a but an ha e an inte nal diamete o u to
about 200 mm.
hese sam lin te hni ues in ol e the emo al o the bo in ods om the hole, the e la ement
o the uttin ed e ith the sam le , the einse tion o the ods, the olle tion o the sam le, the
emo al o the ods, the e la ement o the sam le ith the uttin ed e and, nally, the einse tion
o the ods so that bo in may o eed. his is a most time onsumin o e ation and o dee bo es,
su h as those that o u in site in esti ations o o sho e st u tu es, te hni ues ha e been de elo ed
to enable sam le s to be inse ted do n th ou h the d ill ods so that soil sam les an be olle ted
mu h mo e ui ly.
i iston sampler
iston sam le is a s e i thin alled sam le o use in ea soils su h as so t lays and slu y
mate ials. hyd auli ally o e ed iston sits neatly ithin the sam lin tube and the assembly, ith
the iston lo ed in la e at the uttin end o the tube, is a e ully lo e ed to the bottom o the
al eady o med bo ehole. he iston is onne ted by iston ods hi h ass th ou h a slidin oint
in the sam le head assembly so that the sam le tube and the iston an mo e e ti ally inde end
ently o ea h othe i . . .
he sam le is ta en om the undistu bed one o soil beneath the bo ehole by eleasin the lo
bet een iston and tube and ushin the sam lin tube into the ound. he iston emains still
du in this o e ation.
n e the tube is ully d i en into the soil, the undistu bed sam le ully o u ies the sam lin tube
and the assembly is otated sli htly to shea the sam le om the ound. he tube and iston a e
then lo ed to ethe a ain and aised to the su a e. su tion essu e is im a ted ithin the
sam lin tube, hi h ensu es that the sam le is deli ately held inta t.
ii Continuous sampler
In some ases, a ti ula ly he e the soil onsists o laye s o lay, se a ated by thin bands o sand
and silt and e en eat, it may be ne essa y to obtain a ontinuous o e o the soil de osits o lose
e amination in the labo ato y. Su h sam lin te hni ues a e hi hly s e ialised and e ui e the elimi
nation o i tion bet een the soil sam le and the alls o the sam le . sam le hi h edu es
side i tion by the use o thin st i s o metal oil la ed bet een the soil and the tube as de elo ed
by ellman et al. 19 0 and is a able o olle tin a o e mm in diamete and u to 2 m in
len th.
iii indo sampler
Windo sam le tubes, about 1 m in len th, a e d i en into the ound usin the e ussi e o a in
methods des ibed ea lie . he sam le ossesses a slot, o indo , ut on one side th ou h hi h
the soil an be ins e ted and sam led.
Sit e Invest igation 167
drill rod locking device

above ground
casing
sample tube
vent
sealing ring
piston
disturbed soil
Fig. 6. hin alled stationa y iston sam le .
Undisturbed samples sands

I a e is ta en it may be ossible to e t a t a sand sam le by uttin om the bottom o sides o a t ial
it. In a bo ehole, abo e ound ate le el, sand is dam and the e is enou h tem o a y ohesion to
allo sam les to be olle ted in sam lin tubes, but belo ound ate le el tube sam lin is not os
sible. a ious te hni ues em loyin hemi als o tem o a ily ee in the ound ate ha e been t ied,
but they a e e ensi e and not e y satis a to y the use o om essed ai in on un tion ith the sam le
e ol ed by isho 194 , ho e e , enables a easonably undistu bed sam le to be obtained.
in to the a t that sand is easily distu bed du in t ans o tation any tests on the soil in the undis
tu bed state should be a ied out on the site, the usual a ti e bein to use the esults o enet ation
tests see Se tion . instead o sam lin .
6. .2 egree o sa le distur an e
o matte ho a e ul the te hni ue em loyed, the e ill ine itably be some distu ban e o the soil
du in its olle tion as an ‘undistu bed’ sam le, the least distu ban e o u in in sam les ut om the
£oo o sides o a t ial it. With sam le tubes, a in is e e able to hamme in althou h i the blo s
a e a lied in a e ula atte n the e is little di e en e bet een the t o.
he e a e a ious measu es that an be used to assess the de ee o sam le distu ban e based on the
dimensions o the sam lin tube S E IS 224 1 200 , SI 200 but the most ommonly used is
the a ea atio, a
D22 − D12
Ca = 2
× 100
1
he e 2 and 1 a e the e te nal and inte nal diamete s o the uttin shoe es e ti ely as sho n in
i . . .
It is ene ally a eed that, o ood undistu bed 100 mm diamete sam les, the a ea atio should not
e eed 2 , but in a t most uttin heads ha e a ea atios about 2 . o mm sam les the a ea atio
should not e eed 20 . hin alled sam le tubes, o any diamete , ha e an a ea atio o about 10 .
E a le 6.1: rea ratio
ete mine the a ea atios o the t o 100 sam lin systems sho n in i . . .
Solut ion
a standa d system
D 22 − D12 1192 − 104.52
Ca = 2
× 100 = = 29.7%
D1 104.52
b lasti line system
D 22 − D12 1242 − 1022
Ca = 2
× 100 = = 47.8%
D1 1022
6. . at egories o sa ling et ods and la orat or ualit lasses o sa les

ma o onside ation du in sam lin a a ti ula st atum is to ensu e that the sam le ta en is a o i
ate o the tests e ui ed and that the esults obtained om the testin a e then ele ant to the a tual
onditions in the eld. o ensu e a u ate and eliable test esults, the uality o the sam le must the e o e
be a o iate o that a ti ula test. o e am le, a sam le o soil ta en o shea st en th dete mina
tion by t ia ial testin must be undistu bed, he eas a sam le o a ti le si e dist ibution an be a dis
tu bed sam le.
E 199 2 200 o e s uidan e hi h is used, alon side E IS 224 1 200 the International
Standard for Geotechnical Investigation and esting – Sampling methods and ground ater measure-
ments , to identi y the ty e o labo ato y tests that an be e o med om di e ent uality lasses o
sam le, hi h in tu n a e a hie able om the di e ent sam lin methods a ailable.
i e lasses o sam les a e onside ed, ith lass 1 bein the hi hest uality least distu bed, most
e esentati e o a tual in situ onditions and a o iate o use in shea st en th and om essibility
testin and lass bein the lo est uality i.e. om letely distu bed and only o use in identi yin the
se uen e o laye s in the ound .
h ee ate o ies o sam lin methods ate o ies , and a e onside ed. hey a e elated to the
best obtainable labo ato y uality lass o soil sam les as sho n in able . .
Table 6.3 uality lasses o soil sam les o labo ato y testin and sam lin
ate o ies to be used a te S E 199 2 200 .
ualit y cla o
a ple
Soil propert ie 1 2 3 4 5
n han ed soil o e ties

a ti le si e
ate ontent
density, density inde , e meability
om essibility, shea st en th
P o e ties that an be dete mined
se uen e o laye s
bounda ies o st ata – b oad
bounda ies o st ata – ne
tte be limits, a ti le density, o ani ontent
ate ontent
density, density inde , o osity, e meability
om essibility, shea st en th
Sa pling cat egory according t o S 22475 1
om able . it is seen that
● Sam le uality lasses 1 to an be a hie ed om ate o y sam lin methods.

● Sam le uality lasses to an be a hie ed om ate o y sam lin methods.
● Sam le uality lass an be a hie ed om ate o y sam lin methods.
uidan e on hi h sam lin te hni ues all into ea h ate o y o di e ent ound onditions a e i en
in E IS 224 1 200 . hese a e summa ised in able .4.
Table 6.4 Sam lin ate o ies o di e ent soil ty es.
Soil t ype
Sa pling et hod lay Silt Sand ra el rganic
ota y o e d illin Sin le tube

ouble o t i le tube – –
u e in
ollo stem au e in
hin alled o en tube sam le s Pushed –
Pe ussion – – – –
hi alled o en tube sam le s Pe ussion –
Piston sam le s – – –
Pushed – – –
La e sam le s – – –
Sam lin om t ial it
Sam lin om bo ehole bottom – – – –
ey , – the ate o y in b a ets is only a hie able in a ou able onditions, else the st ate o y a lies.
6. . o sa ling
he most ommon o m o ta in o sam les is th ou h ota y o in , as des ibed in Se tion .4.1. s
ith soils, th ee ate o ies o sam lin methods ate o ies , and a e onside ed, de endin on
the uality o the o sam le. ate o y sam les a e those hi h a e mo e o less om letely inta t
om hi h measu ements o st en th, de o mation, density and e meability elate di e tly to the in situ
ondition. ate o y sam les in lude those that om ise b o en se ments o o e he e test esults
om the se ments ould not ne essa ily elate di e tly to the state in the undistu bed o mass. ate o y
sam les a e those he e the st u tu e and onstituents o the o a e so distu bed that only a limited
set o identi ation and hemi al tests an be e o med on them.
he uality o the o sam le an be assessed by dete minin th ee o o e uanti ation a am
ete s total o e e o e y , o uality desi nation and solid o e e o e y S , ea h o
hi h is dete mined as a atio o s e i len ths o the di e ent se ments o the o e sam le to the total
len th o the sam le. etails a e i en in E IS 224 1 200 .
6.5 Ground ater easure ents
It is not ossible to dete mine a u ate ound ate onditions du in the bo in and sam lin o e a
tions, e e t ossibly in anula soils. he e o e the dete mination o the ound ate onditions is made
se a ately by installin open o closed ound ate measu in systems into the ound. en systems
a e methods that measu e the ate head ia an obse ation ell and o en stand i e. losed systems
measu e the ate essu e at a e tain lo ation ia a measu ement de i e inse ted into the soil.
6.5.1 en s ste s
In lays and silts it ta es some time o ate to ll in a bo ehole, and the no mal o edu e o obtainin
the ound ate le el is to inse t an o en ended tube, usually 0 mm in diamete and e o ated at its
end, into the bo ehole i . .9a . lte to e ent the in£o o soil a ti les is la ed a ound the
cover cover
backfill backfill
clay seal bentonite seal

sand filter
sand or gravel standpipe piezometer tip
bentonite seal
(a) standpipe (b) Casagrande type standpipe piezometer
Fig. 6. ound ate le el obse ation in a bo ehole a stand i e b asa ande ty e stand i e
ie omete .
e o ated end. he tube is a ed a ound ith a el and sealed in osition ith uddle lay and the
bo ehole is then ba lled and sealed at the ound su a e to e ent in ess o ain ate . he a an e
ment is sim ly no n as a stand i e. bse ations should be ta en o se e al ee s until e uilib ium is
a hie ed.
y inse tin mo e than one tube, di e ent st ata an be ut o by uddled lay and the a ious ate
heads obtained se a ately. When a ene al ate le el is to be obtained, the a el is usually e tended
to ithin a sho t distan e o the to o the bo ehole and then sealed ith the uddle lay.
en ended tubes tend to e hibit a slo es onse to a id o e ate essu e han es that an be
aused, o e am le, by tidal a iations o han es in oundation loadin s. asa ande ty e stand i e
ie omete s a e mo e ommonly used. hey ha e a o ous inta e lte and a e sealed into the soil abo e
and belo the inta e end ith eithe bentonite lu s o ith a bentonite ement out seal i . .9b .
6.5.2 losed s st e s
o soils o medium to lo e meability, o en stand i es annot be used be ause o the la e time la
in ol ed. When a aste es onse is ne essa y a losed ie omete system, su h as a hyd auli , a neumati
o an ele t i al system, is used instead o an o en one. he systems a e illust ated in i . .10.
ydraulic system
In a hyd auli system, a e ami lte unit is onne ted by t in, na o nylon tubin to a essu e t ans
du e housed in a essu e eadout unit at the ound su a e. he tubes and lte a e lled ith de ai ed
ate . han es in o e ate essu e in the ound ause a han e in the £o o ate ithin the e ui
ment hi h in tu n is dete ted by the essu e t ansdu e . he essu e is ead di e tly om, and e o ded
by, the eade .
neum at ic system
neumati ie omete ontains a £e ible dia h a m housed ithin a ote ti e asin and onne ted
to a senso at the ound su a e ia t in neumati tubes. he oute as e t o the dia h a m is in
water filled tubes air filled tubes cable
diaphragm connected to
diaphragm electrical transducer
(a) (b) (c)
Fig. 6.1 losed ie omete systems a hyd auli system b neumati system ele t i al system.
onta t ith the satu ated soil and is ushed in a ds ithin the housin as a esult o the o e ate
essu e a tin on it. £o o d y om essed ai is assed om the senso to the inne as e t o the
dia h a m until the oint that the dia h a m is o ed ba out a ds. t this oint the as essu e is
e ual to the o e ate essu e and this alue is sim ly ead om the senso unit.
Electrical system
he ele t i al ie omete also in o o ates a dia h a m ithin a ote ti e housin o e ated ithin a
bo ehole. he dia h a m is onne ted to a t ansdu e and the ate essu e a tin on the dia h a m
auses a measu able es onse. he si nal om the t ansdu e is t ansmitted to a eadout de i e at the
su a e and then on e ted to dis lay the o e ate essu e.
he ad anta es o the ele t i al system a e that i essu e is measu ed at the ti so that ie omet i
le els belo the au e house le el an be e o ded, ii the an illa y e ui ment is om a t, and iii the
time es onse o these inst uments to o e essu e han es is ai ly a id. isad anta es in lude the
a t that the eadin s om an ele t i ti de end u on an initial alib ation that annot be he ed on e
the ti has been installed, and the is o alib ation d i t es e ially i the ti is to be in o e ation o
some time .
Inst umentation in eote hni al en inee in is dealt ith in detail by unni li 199 and a e ie o
ie omete s ithin bo eholes has been o ided by i elsen and een 200 .
6.6 ield tests in soil and ro
u in a ound in esti ation, eld tests an be ondu ted to o ide additional ound st ati ation
in o mation and to obtain eote hni al a amete s o the desi n. he tests a e a an ed su h that the
data they e eal om lement the soil and o sam lin so that all the in o mation et ie ed om the
ound in esti ation is lin ed.
an e o tests e ist, ea h o hi h is used to ain s e i in o mation, and the ollo in tests a e
e o nised in E 199 2 200 and IS 224 the International Standard for Geotechnical Investigation
and esting – ield testing
● one enet ation test

● essu emete and dilatomete tests
● standa d enet ation test
● dynami obin
● ei ht soundin test
● eld ane test
● £at dilatomete test
● late loadin test.
Some o these tests a e mo e ommonly used than othe s. Some o the most ommon in the ae
des ibed belo .
6.6.1 one enet ration test P

his test, sometimes e e ed to as the ut h one enet omete as it as o i inally de elo ed in he
ethe lands, is des ibed ully in E IS 224 1 2012 and in ol es a one enet omete at the end o
a se ies o sti ylind i al ods bein ushed e ti ally into the ound at a onstant ate o enet ation.
e o d o the esistan e to the mo ement o the one a ainst de th is ta en so that han es in soil
st ata and othe soil st en th onside ations an be identi ed. he mo ement o the one is esisted by
both the ound ahead o the one as it ad an es th ou h the soil, lus the i tion a tin on the side o
the one as it is ushed into the ound.
he one has an a e an le o 0°and diamete o . mm, i in an end a ea o 1000 mm2. he one

is o ed do n a ds at a steady ate 1 –2 mm s th ou h the soil by means o a load om a ehi le
mounted hyd auli a t ansmitted to solid ush ods.
he enet omete is a so histi ated de i e and ontains senso s o measu in the o e esistin the
one, the side i tion la ed on the unit no n as slee e i tion and, he e e ui ed, the o e essu e
a tin on the one enet omete . Whe e o e ate essu es a e e o ded, the test is no n as ie o
one enet ation P testin . o ensu e the inst ument is t a ellin e ti ally into the ound, an
inte nal in linomete is also in luded. his de i e e o ds the an le o the inst ument om the e ti al.
he esults obtained om the P P tests a e e o ded as lots o the measu ed alue one esist
an e, slee e i tion, o e essu e e sus de th. hese lots an then be used to isually and a idly
assess the st en th o the ound o le. E am le lots a e sho n in i . .11.
ull des i tion o one enet ation testin and its a li ation in eote hni al and eo en i onmental
en inee in is i en by Lunne et al. 199 .
6.6.2 Standard enet ration test SP

his test is ene ally used to dete mine the bea in a a ity o sands o a els and is ondu ted ith a
s lit s oon sam le a sam le tube hi h an be s lit o en lon itudinally a te sam lin ith inte nal
and e te nal diamete s o and 0 mm es e ti ely i . .12 . ull uide on the methods and use o
the SP is i en by layton 199 and the test s e i ation is i en in E IS 224 200 .
Fig. 6.11 Plots o one esistan e, slee e i tion and o e essu e ith de th om P test.
600 mm 75 mm
drill rod cutting head

tube split longitudinally
30°
Cone fixture for gravels
Fig. 6.12 Standa d enet ation test sam le .

he sam le , onne ted to a se uen e o d i e ods, is lo e ed do n the bo ehole until it ests on the
laye o ohesionless soil to be tested. It is then d i en into the soil o a len th o 4 0 mm by means o
a . hamme ee allin 0 mm o ea h blo . he numbe o blo s e ui ed to d i e the last
00 mm is e o ded and this u e is desi nated as the alue o the enet ation esistan e o the soil
laye . he st 1 0 mm o d i in is i no ed be ause o ossible loose soil in the bottom o the bo ehole
om the bo in o e ations. te the tube has been emo ed om the bo ehole it an be o ened and
its ontents e amined.
In a elly sand dama e an o u to the uttin head o the sam le and a 0° solid one an be tted
in its la e. In su h a ase the test is e o ded as SP . he alue de i ed om su h soils a ea s to
be o the same o de as that obtained hen the uttin head is used in ne soils.
Correction fact ors t o t he measured value

he alue obse ed om the test is a e ted by di e ent eatu es o the testin o edu e and ound
onditions. o ta e these into onside ation, a numbe o o e tion a to s an be a lied to a hie e a
mo e a o iate alue. he most si ni ant a to s add ess ene y losses deli e ed by the hamme
assembly and the e e t o o e bu den essu e a tin on the soil unde test. E IS 224 200 , nne
o e s the ollo in o e tions
i Energ delivered to the drive rods

n ene y atio, E, measu in the atio o the ene y a lied to the d i in ods to the theo eti al
ene y a ailable om the hamme , an be used to assess the ene y loss in the hamme system. he
alue is ad usted to a e e en e ene y atio o 0 th ou h the ollo in e ession
Er
N60 = N
60
he e 0 denotes the alue o e ted o ene y losses o a system o e atin ith an ene y
atio E.
ii Effect of over urden pressure in sands
n im o tant eatu e o the standa d enet ation test is the in£uen e o the e e ti e o e bu den
essu e on the alue. Sand an e hibit di e ent alues at di e ent de ths e en thou h its density
inde is onstant. he e e t o the o e bu den essu e an be ta en into a ount by ombinin the
alue by the ele ant o e tion a to , listed in able . .
he 0 alue an no be o e ted a ainst a no malised e e ti e e ti al st ess σv′ = 100 kPa
Er × N × CN
(N1)60 =
60
Table 6.5 o e tion a to s o o e bu den e e ti e e ti al st ess, σv′ (kPa).
Type o con olidat ion Den it y inde D orrect ion act or
200
o mally onsolidated 40– 0
100 + σv′
300
0– 0
200 + σv′
170
e onsolidated –
70 + σv′
Table 6.6 o e tion a to s o od len th in sands.
od lengt h orrect ion act or λ
> 10 1.0
–10 0.9
4– 0.
–4 0.
he e 1 0 denotes the alue o e ted o ene y losses and no malised o e e ti e e ti al

o e bu den st ess.
iii Energ losses due to the length of the rods
Whe e ods o len th less than 10 m a e used, a o e tion an be a lied to the blo ount o sands
to allo o ene y losses. he o e tion a to s a e i en able . .
he 1 0 e ession an no be e tended to allo o the ene y losses in the ods
Er × N × CN × λ
(N1)60 =
60
E a le 6.2: Standard Penetration est
silty sand o density inde , I = 0 as sub e ted to standa d enet ation tests at
a de th o m. ound ate le el o u ed at a de th o 1. m belo the su a e o
the soil hi h as satu ated th ou hout and had a unit ei ht o 19. m . he
a ea e ount as 1 .
u in alib ation o the test e ui ment, the ene y a lied to the to o the d i in
ods as measu ed as 0 Joules.
ete mine the 1 0 alue o the soil.
Solut ion
Theoretical energy of hammer = m× g × h = 63.5 × 9.81× 0.76 = 473 J
350
Energy ratio , Er = = 74%
473
Effective overburden pressure = 3 × 19.3 − 1.5 × 9.81 = 43 kPa
200 200
From Table 6.5, correction factor , CN = = = 1 .4 0
100 + σv′ 100 + 43
Er × N × CN 74 × 15× 1.4
(N1)60 = = = 26
60 60
Correlations bet een blo count and density index

e a hi and Pe 194 e ol ed a ualitati e elationshi bet een the density inde o no mally on
solidated sand and the alue and, late , ibbs and olt 19 ut u es to this elationshi . o e
e ent o has ad usted the u es to the no malised blo ount 1 0 and these a e ublished in E
199 2 200 , nne and e odu ed in able . .
Table 6.7 o elation bet een o malised blo

ount 1 0 and density inde I .
St at e o den it y 1 6 Den it y nde D
e y loose 0– 0–1
loose – 1 –
medium –2 –
dense 2 –42 –
e y dense 42– –100
6.6. na i ro ing test

In this test, a one o steel o a e an le 90° and mm diamete is ad an ed into the ound om a
ee allin hamme st i in e tension ods at a d i in ate o 1 – 0 blo s e minute. he hei ht o
ee all is 00 mm and the hamme an ha e mass 10 , 0 o 0 de endin on hethe a light,
medium o heav test is bein unde ta en. he numbe o blo s e ui ed to ad an e the one o mul
ti les o 100 mm is e o ded. he test is edominantly used o the a id establishment o the soil o le
th ou h a e o ded lot o numbe o blo s e sus de th. o e details on the test o edu e a e i en
in E IS 224 2 200 and in E 199 2 200 , nne .
6.6. Pressure eter test

his test utilises a ylind i al obe ontainin an in£atable, £e ible memb ane o e atin ithin a bo e
hole. he obe is lo e ed into the bo ehole to the e ui ed de th and the memb ane is e anded unde
essu e so that it lls the oid bet een the obe and the bo ehole sides i . .1 . easu ements o
essu e and memb ane olumet i e ansion a e e o ded until the ma imum e ansion is ea hed. he
test esults an then be used to de i e the st en th and de o mation a amete s o the ound.
he e ui ment des ibed abo e is no n as the éna d essu emete , named a te Louis éna d
ho de elo ed the test in the 19 0s. the ty es o essu emete e ist, in ludin self- oring and full-
displacement essu emete s. he a ious essu emete test o edu es a e des ibed in di e ent a ts
o E IS 224 4, all o hi h a e u ently only 201 in a t o m.
he esults om the éna d essu emete test a e used to establish the essu emete modulus, E ,
and limit essu e, L hi h an be used to dete mine the bea in esistan e and the settlements o
s ead oundations. E am les o methods o doin this a e i en in E 199 2 200 , nne E.
6.6.5 Plat e loading test P

Plate loadin tests an be a ied out at ound le el o at the base o an e a ation. hei u ose is
to et ie e data hi h an be used to al ulate the settlement o s ead oundations in a sand. hey an
also be used to dete mine the und ained shea st en th o e ties o a ohesi e soil. he data obtained
om a PL is a e o d o the load settlement beha iou o the late as it is loaded in su essi e in ements
and allo ed to settle be o e the ne t load is a lied.
ene ally t o tests a e a ied out as a he on ea h othe , di e ent si ed lates o the same sha e
bein used in anula soils so that the settlement o the o osed oundation an be e ol ed om the
elationshi bet een the t o lates. s stated, the loadin is a lied in in ements usually one th o
the o osed bea in essu e and is in eased u to t o o th ee times the o osed loadin . dditional
in ements should only be added hen the e has been no dete table settlement in the e edin 24
hou s. easu ements a e usually ta en to 0.01 mm, and he e the e is no de nite ailu e oint the ultimate
bea in a a ity see ha te 9 is assumed to be the essu e ausin a settlement e ual to 20 o the
late idth. he test o edu e is des ibed in E IS 224 1 currentl in raft form and in
gas supply
pressure control unit

air filled tube
water filled tube
upper guard cell
central measuring
zone of soil under test
probe
lower guard cell
Fig. 6.13 P essu emete test.
S1 9 1990, and e am les on the dete mination o und ained shea st en th and the settlement o
s ead oundations in a sand a e i en in E 199 2 200 , nne .
6.6.6 ield vane test

In so t sensiti e lays it is di ult to obtain sam les that ha e only a sli ht de ee o distu ban e, and in
situ shea tests a e usually a ied out by means o the ane test i . .14 . he a a atus onsists o a
mm diamete ane, ith ou small blades 1 0 mm lon . o sti soils a smalle ane, 0 mm diamete
and 100 mm hi h, may be used. he anes a e ushed into the lay a distan e o not less than th ee times
the diamete o the bo ehole ahead o the bo in to eliminate distu ban e e e ts, and the und ained
st en th o the lay is obtained om the elationshi ith the to ue ne essa y to tu n the ane. he ate
o tu nin the ods, th ou hout the test, is e t ithin the an e –12° e minute. te the soil has
shea ed, its emoulded st en th an be dete mined by notin the minimum to ue hen the ane is
otated a idly.
i u e .14 indi ates that the to ue head is mounted at the to o the ods. his is standa d a ti e
o most site in esti ation o but, o dee bo es, it is ossible to use a a atus in hi h the to ue
moto is mounted do n nea to the ane, in o de to emo e the hi in the ods.
Fig. 6.14 ield ane test.
e ause o this de elo ment the ane has la ely su e seded the standa d enet ation test, o dee
testin . he latte test has the disad anta e that the load must al ays be a lied at the to o the ods
so that some o the ene y om a blo must be dissi ated in them. his ene y loss be omes mo e
si ni ant the dee e the bo e, so that the test esults be ome mo e sus e t.
he a tual st ess dist ibution ene ated by a ylinde o soil bein otated by the blades o a ane hi h
has been eithe a ed o hamme ed into it, is a matte o on e tu e. S 1 9 1990 has ado ted the
sim li yin assum tion that the soil’s esistan e to shea is e ui alent to a uni o m shea st ess, e ual to
the und ained st en th o the soil, u, a tin on both the e imete and the ends o the ylinde see i .
.14 .
o e uilib ium, the a lied to ue, is e ual to the moment o esistan e o the ane blades. he
to ue due to the ends an be obtained by onside in an elemental annulus and inte atin o e the
hole a ea
D/ 2
r
r3 πD 3
End torque = 2 × cu ∫ 0
2πrdr × r = 2cu 2π
3 0
= cu
6
D πD2H
Side torque = cuπDH× = cu
2 2
πD2H D
T = cu 1+
2 3H
he e
= measu ed idth o ane

= measu ed hei ht o ane.
Sit e Invest igation 179
E a le 6. : ield vane test
ane, used to test a de osit o so t allu ial lay, e ui ed a to ue o . m.

he dimensions o the ane e e = mm = 1 0 mm.
ete mine a alue o the und ained shea st en th o the lay.
Solut ion
πD 2H D
T = cu 1+
2 3H
i.e.
0.0752 × 0.15 0.075
67.5 = cu π× 1+ × 1000 kPa
2 0.45
⇒ cu = 44 kPa
s mentioned abo e, the test o edu e is des ibed in S 1 9 1990 and is also to be esented in
E IS 224 9 currentl in raft form .
6.6.7 esting o geote ni al st ru tures

In addition to the tests des ibed be o e, testin is o ten e o med on eote hni al st u tu es to assess
thei e o man e a ainst desi n e ui ements. he testin o eote hni al st u tu es, su h as ein o ed
soil, ile oundations and ound an ho a e systems, in ol es so histi ated and s e ialised o esses
e o med by s e ialist ont a to s. S e i ations o the testin o esses a e o e ed in E IS 224
currentl in raft form .
6.7 Geote ni al re orts
ll o the in o mation et ie ed du in a site in esti ation must be om iled in itten e o ts and sub
mitted to the lient. he e o ts a e the end odu t o all the in esti ation o and o ide the lient
and thei e esentati e onsultants ith the in o mation ele ant to enable an e ient oundation desi n
and onst u tion lan to be e ol ed.
Eu o ode sti ulates the e ui ements o t o e o ts
● Geotechnical esign eport , des ibed in Eu o ode Pa t 1

● Ground Investigation eport I , des ibed in Eu o ode Pa t 2
he ound in esti ation e o t is the nal odu t o the e lo ation o amme en om assin all o
the sub e t a eas des ibed th ou hout this ha te . It om ises an a ount o the des study, the se ies
o labo ato y testin e o ts, the eld in esti ation, sam lin and measu ement e o ts, the eld testin
e o ts and any othe ele ant e o ts, to ethe ith an inte etation o the ound onditions a oss
the site. he e o t ill also in lude any limitations and onst aints o the a ious test esults so that the
desi ne an assess the ele an e o the test esults to the eote hni al desi n. he e o t an also in lude
any de i ed alues o eote hni al o e ties see Se tion .4.1 .
he eote hni al desi n e o t ontains the I alon ith the esults om the al ulations e o med
to e i y the sa ety and se i eability du in the eote hni al desi n see ha te . lon ith the
1 0 S it ’s Ele ent s o Soil e ani s
al ulations, ele ant d a in s and oundation desi n e ommendations a e in luded, as is a lan o

su e ision and monito in o the site.
he I is ene ally e a ed in se tions, and ty i ally ill in lude the ollo in
reamble
his int odu to y se tion onsists o a b ie summa y hi h i es the lo ation o the site, the date o the
in esti ation and name o the lient, the ty es o bo es ut do n and the e ui ment used.
Description of site
e e a ene al des i tion o the site is i en hethe it is an o en eld o a ede elo ment o a site
he e old oundations, ella s and alls, et ., emain. Some mention is made o the ene al eolo y o
the a ea, hethe the e a e old mine al o in s at de th and, i so, hethe the e o t has onside ed
thei ossible e e ts o not. ma , sho in the site lo ation and the ositions o any in esti ation oints,
is usually in luded in the e o t.
Description of subsoil conditions encount ered

his se tion should onsist o a sho t, and eadable, des i tion o the ene al subsoil onditions o e
the site ith e e en e to the bo ehole lo s. he ele an e and si ni an e o any in situ testin a ied
out is also in luded.
e ti al se tions soil o les a e ene ally e a ed, sho in to s ale the se uen e and thi ness o
the st ata. esi n en inee s a e mainly inte ested in the mate ials belo the subsoil, and ith st ati ed
sedimenta y de osits onditions may be mo e o less homo eneous. la ial lay de osits an also be
homo eneous althou h unst ati ed, but they o ten ha e an e ati st u tu e in hi h o ets o di e ent
soils a e s atte ed th ou h the main de osit and ma e it di ult to obtain an a e a e alue o the
de osit’s ha a te isti s. u the mo e, the lay itsel may a y onside ably, and at e tain le els it an
e en de ease in st en th ith in easin de th.
esides the ima y st u tu e o st ati ation, many lays ontain a se onda y st u tu e o hai a s,
oints and sli ensides. he a s o ten e e ed to as ma os o i ssu es and oints ene ally o u ed
ith sh in a e hen at some sta e in its de elo ment the de osit as e osed to the atmos he e and
d ied out. Sli ensides a e smooth, hi hly olished su a es obably aused by mo ement alon the
oints. I the e e t o these ssu es is i no ed in the testin o amme the st en th ha a te isti s
obtained may bea little elationshi to the o e ties o the lay mass.
With the a li ation o a oundation load the e is little han e o the ssu es o enin u , but in uttin s
due to the e ansion aused by st ess elie some ssu es may o en and allo the in ess o ain ate
hi h ill e entually so ten the u e e ion o the de osit and lead to lo al sli s. issu es a e mo e
e alent in o e onsolidated lays, he e st ess elie o u s, than in no mally onsolidated lays, but
any e iden e o ssu in should be e o ted in the bo in e o d.
orehole logs
bo ehole lo is a list o all the mate ials en ounte ed du in the bo in . lo is best sho n in se tional
o m so that the de ths at hi h the a ious mate ials e e met an be easily seen. ty i al bo ehole
lo is sho n in i . .1 . It should in lude a note o all the in o mation that as ound ound ate
onditions, numbe s and ty es o sam les ta en, list o in situ tests, time ta en by bo in , et .
aborat ory soil t ests result s

his is a list o the tests a ied out to ethe ith a set o labo ato y sheets sho in all tests esults, e. .
a ti le si e dist ibution u es, li uid limit lots, oh i le lots, et .
Site Investigation 1 1
Fig. 6.15 o ehole lo .

1 2 S it ’s Ele ents o Soil e ani s
Evaluat ion of geotechnical inform ation

It is in this se tion that m e ommendations as to ossible oundation ty es and modes o onst u tion
should be i en. nless s e i ed othe ise, it is the es onsibility o the a hite t o onsultant to de ide
on the a tual st u tu e and the onst u tion. o this eason the I should endea ou to list ossible
alte nati es hethe st i oundations a e ossible, i ilin is a sensible o osition, et . In the a om
anyin , desi n al ulations o ea h ty e o oundation a e esented. I o elations e e used to
de i e eote hni al a amete s o oe ients, the o elations and thei a li ability a e also e o ded.
I the in esti ation has been limited by s e i ation o nan e and the ound inte etation has been
based on limited in o mation, it is im o tant that this is e o ded.
Ch a p t e r 7
Lateral Earth Pressure
7.1 Earth pressure at rest
onside an element o soil at some de th, belo ound su a e. We sa in ha te that the e ti al

total st ess, σ1 a tin at that oint is aused by the total ei ht a tin abo e. In the ase o a homo enous
soil ith no su a e su ha e, σ1 is due to the ei ht o the mate ial abo e = γ as sho n in
i . .1.
late al st ess, σ a ts at the oint and is e ual to t he e ti al st ess multi lied by the coef cient
of eart h pressure, . In this ase t he oe ient is the coef cient of earth pressure at rest, denot ed
by 0.
It has been sho n e e imentally that, o anula soils and no mally onsolidated lays, 0 ≈ 1 − sin φ′
Ja y, 1944 .
Eu o ode a tually elates 0 to the o e onsolidation atio and states that K0 = (1− sin φ′ )× OCR o
soils ith not e y hi h alues o o e onsolidation atio and a ho i ontal ound su a e.
7.2 Active and passive earth pressure
Let us onside the sim le ase o a et ainin all it h a e ti al ba det ails o all desi n and
onst u tion a e i en in ha te su o tin a ohesionless soil it h a ho i ontal su a e i . .2 .
Let t he an le o shea in esist an e o the soil be φ′ and let its unit ei ht , γ, be o a onstant alue.
hen the e ti al st ess, σ1 a tin at a oint at de th belo the ound su a e ill be e ual to γ × the
de th
ehind the all, at de th h, the e ti al st ess, σ1 = γh.

In ont o the all, at de th d, the e ti al st ess, σ1 = γd.
I the all is allo ed to yield i.e. mo e o a d sli htly , it is lea that the soil behind the all ill
e e ien e a edu tion in late al st ess it ill e and sli htly , hilst the soil in ont ill om ess sli htly
and thus e e ien e an in ease in late al st ess. his sho s that, in addition to the at rest state, soil an
e ist in t o states. In e ansion, the soil is in an active state, and in om ession, the soil is in a passive
state.
We an say the e o e in this e am le , that the soil behind the all is in an a ti e state and thus, the
essu e that the soil is e e tin on the all is active pressure. y ont ast, the soil in ont o the all is
in a assi e state and so the essu e that the soil is e e tin on the all is passive pressure.
s ith the at-rest ondition des ibed in Se tion .1, the late al ea th essu e a tin at some
de th is e ual to the e ti al st ess essu e multi lied by the a o iate oe ient o ea th essu e.
We an no int odu e the coef cient of active earth pressure, a and the coef cient of passive earth
pressure, .

183
z
σ1 = γz
σ3 = Koγz
Fig. 7.1 e ti al and late al st esses.
h
σ1 = γh
σ3 = Kaγh
d σ1 = γd
σ3 = Kpγd
slight movement (yielding)
Fig. 7.2 ti e and assi e states.
O φ' A C B F E
Active earth
pressure Kaγh
Vertical stress, γh
Passive earth pressure, Kpγh
Fig. 7.3 ti e and assi e ea th essu es.
ehind the all a ti e , σ = aγh

In ont o the all assi e , σ = γd
he a ti e ea th essu e is the minimum alue o late al essu e σ the soil an ithstand. he assi e
ea th essu e is the ma imum alue.
onside no a sin le element o soil at de th, h belo the ound su a e. he e ti al st ess σ1 at
this de th is e ual to γh. e e in to the e ious a a a h, the t o e t eme alues o σ an be
obtained om the oh i le dia am o the soil, as sho n in i . . .
om i . . it is seen that the late al essu e an edu e to a minimum alue at hi h the st ess i le
is tan ential to the st en th en elo e o the soil. his minimum alue is the a ti e ea th essu e and
e uals aγh. he late al essu e an ise to a ma imum alue ith the st ess i le a ain tan ential to
the st en th en elo e no n as the assi e ea th essu e, hi h e uals γh. om the u e, it is lea
that hen onside in a ti e essu e, the e ti al essu e due to the soil ei ht, γh, is a ma o in i al
Lateral Earth Pressure 18
st ess and that hen onside in assi e essu e, the e ti al essu e due to the soil ei ht, γh, is a
mino in i al st ess.
he t o ma o theo ies to estimate a ti e and assi e essu e alues a e those by an ine 1 and
by oulomb 1 . oth theo ies a e e y mu h in use today and both a e des ibed belo .
7.3 an ine’s theor ranular soils active earth pressure
7.3.1 ori ontal soil surface

Ima ine a smooth i.e. no i tion e ists bet een all and soil , e ti al etainin all holdin ba a
ohesionless soil ith an an le o shea in esistan e φ′. he to o the soil is ho i ontal and le el ith
the to o the all. onside a oint in the soil at a de th h belo the to o the all i . .2 , assumin
that the all has yielded su iently to satis y a ti e ea th essu e onditions.
om the oh i le dia am i . . it is seen that
DC
1−
Kaγh OA OC − AC OC − DC OC 1− sin φ′
Ka = = = = = =
γh OB OC + CB OC + DC 1+ DC 1+ sinφ′
OC
It an be sho n by t i onomet y that
1− sin φ′ φ′
= tan2 45° −
1+ sin φ′ 2
hen e
1− sin φ′ φ
Ka = = tan2 45° −
1+ sin φ′ 2
he oh i le dia am an be e tended to identi y the di e tion o the ma o in i al st ess, usin

the eomet y indi ated in i u e .4a. he an le that the ailu e lane ma es ith the ba o the all
is lea om the u e and the net o o shea lanes o med behind the all is illust ated in i . .4b.
he late al essu e a tin on the all at any de th, σ′ , is e ual to Kaσ1′ . s the e ti al e e ti e st ess
σ1′ = γh and a is a onstant, the late al essu e in eases linea ly ith de th i . .4 . his late al es
su e is o ou se the a ti e essu e. his essu e is i en the symbol a, and is de ned
p a = K aγ h
he ma nitude o the esultant th ust, Pa, a tin on the ba o the all is the a ea o the essu e
dist ibution dia am. his o e is a line load hi h a ts th ou h the ent oid o the essu e dist ibution.
In the ase o a t ian ula dist ibution, the th ust a ts at a thi d o the hei ht o the t ian le.
7.3.2 Slopin soil surface

he oblem o the ound su a e behind the all slo in at an an le β to the ho i ontal is illust ated
in i . . . he e aluation o a may be a ied out in a simila manne to the e ious ase, but the e ti
al essu e ill no lon e be a in i al st ess. he essu e on the all is assumed to a t a allel to the
su a e o the soil, i.e. at an le β to the ho i ontal.
he a ti e essu e, a, is still i en by the e ession
p a = K aγ h
18 Smith’s Element s of Soil echanics
Fig. 7.4 ti e essu e o a ohesionless soil ith a ho i ontal u e su a e.
Fig. 7.5 ti e essu e o a ohesionless soil ith its su a e slo in u a ds at an le β to the ho i ontal.
Lat eral Earth Pressure 187
he e
cos β − cos2 β − cos2 φ′

Ka = cos β
cos β + cos2 β − cos2 φ′
E ample 7.1 an ine active thrust
sin the an ine theo y, dete mine the total a ti e th ust on a e ti al etainin all
m hi h i the soil etained has a ho i ontal su a e le el ith the to o the all and
has the ollo in o e ties φ′ = ° γ = 19 m.
What is the in ease in ho i ontal th ust i the soil slo es u om the to o the all
at an an le o ° to the ho i ontal
Solut ion:
1. Solution A: Soil surface horizontal
1− sin 35°
Ka = = 0.271
1+ sin 35°
Maximum p a = 19 × 5× 0.271 = 25.75 kPa
Thrust = area of pressure diagram
25.75 × 5
= = 64 kN
2
2. Solution B: Soil sloping at 35°
In this ase, β = φ′. When this ha ens the o mula o a edu es to a = os φ′.
en e
Ka = cos 35° = 0.819
h2 52
Thrust = γKa = 0.819 × 19 × = 194.5 kN
2 2
his th ust is assumed to be a allel to the slo e, i.e. at ° to the ho i ontal.
Horizontal component = 194.5 × cos35° = 159 kN
Increase in horizontal thrust = 95 kN/m length of wall
7.3.3 Point of application of the total active thrust

We ha e seen that the total a ti e th ust, Pa, is i en by the e ession
1 2
Pa = γh Ka
2
he e a is the es e ti e alue o the oe ient o a ti e ea th essu e, h = hei ht o all and γ = unit

ei ht o etained soil.
he osition o the ent e o essu e on the ba o the all, i.e. the oint o a li ation o Pa, is
la ely indete minate. Lo ations suitable o desi n u oses a e sho n in i . . and a e based on the
an ine theo y ith its assum tion o a t ian ula dist ibution o essu e .
Fig. 7.6 Point o a li ation o total a ti e th ust an ine theo y .
E ample 7.2 an ine active thrust more than one soil
etails o the soil etained behind a smooth all a e i en in i . . . a the dia am

o the essu e dist ibution on the ba o the all and dete mine the total ho i ontal
a ti e th ust a tin on the ba o the all by the an ine theo y.
Solut ion:
ti e essu e at the to o the all, Pa0 = 0.
o Pa3
onside the u e soil laye
1− sin 30°
Ka = = 0.33
1+ sin 30°
p a3 = 0.33 × 16 × 3 = 16 kPa
onside the lo e soil laye
1− sin 20°
Ka = = 0.49
1+ sin 20°
p a3 = 0.49 × 16 × 3 = 23.5 kPa
he a ti e essu e um s om 1 to 2 . Pa at a de th o m.

Lateral Eart h Pressure 18
o Pa7.5
Pa7.5 = 0.49 × 24 × 4.5 + 23.5 = 76.4 kPa
he a ti e essu e dia am is sho n in i . . b and the alue o the total a ti e th ust
is sim ly the a ea o this dia am
3 4 .5
16 × + 23.5 × 4.5 + 52.9 × = 248.8 kN
2 2
E ample 7.3 an ine active pressure presence of round ater
e ti al etainin all m hi h is su o tin soil hi h is satu ated and has a unit

ei ht o 22. m . he an le o shea in esistan e o the soil, φ′, is ° and the
su a e o the soil is ho i ontal and le el ith the to o the all. ound ate le el
has been established ithin the soil and o u s at a le el o 2 m om the to o the
all.
sin the an ine theo y al ulate the si ni ant essu e alues and d a the
dia am o essu e dist ibution that ill o u on the ba o the all.
Solut ion:
i u e . a illust ates the oblem and i s . b and . sho the essu e dist ibution
due to the soil and the ate .
1− sin 35°
Ka = = 0.27
1+ sin 35°
lthou h the e is the same soil th ou hout, the e is a han e in unit ei ht at a de th
o 2 m as the unit ei ht o the soil belo the WL is e ual to the subme ed unit
ei ht. he oblem an the e o e be e a ded as t o laye s o di e ent soil, the u e
ha in a unit ei ht o 22. m and the lo e 22. – 9. 1 = 12. m.
onside the u e soil
At depth = 2 m: p a2 = Kaγh = 0.27× 22.5 × 2 = 12.2 kPa
2m
12.2
4m
25.9 39.2
(a) The problem (b) Earth pressure (kPa) (c) Water pressure (kPa)
Fig. 7.8 E am le . .
onside the lo e soil

At depth = 6 m: p a6 = 12.2 + (0.27× 12.7 × 4) = 25.9 kPa
ote that at the inte a e o t o ohesionless soil laye s, the essu e alues a e the
same i the φ′ alues a e e ual.
Wat er pressure
t de th = 2 m, the ate essu e = 0
t de th = m, the ate essu e = 9. 1 × 4 = 9.2 Pa
he t o essu e dia ams a e sho n in i . . b and . the esultant essu e
dia am is the sum o these t o d a in s
1 1 1
= × 12.2 × 2 + (12.2 × 4) + × 13.7× 4 + × 39.2 × 4 = 167 kPa
2 2 2
ad no ound ate table been esent and the soil emained satu ated th ou hout,
the a ti e th ust ould ha e been
1
= × 0.27× 22.5 × 62 = 109.4 kPa (i.e. a lower value)
2
E am le . illust ates the si ni ant in ease in late al essu e that the esen e o a ate table
auses on a etainin all. E e t in the ase o uay alls, a situation in hi h the e is a ate table
immediately behind a etainin all should not be allo ed to a ise. Whe e su h a ossibility is li ely an
ade uate d aina e system should be o ided see Se tion .10.1 .
o both E am le .2 and E am le . , the a ea o the esultin a ti e essu e dia am ill i e the
ma nitude o the total a ti e th ust, Pa. I e ui ed, its oint o a li ation an be obtained by ta in
moments o o es about some on enient oint on the s a e dia am. I this a oa h is not a ti al
then the assum tions o i . . should ene ally be su iently a u ate.
7.4 an ine’s theor ranular soils passive earth pressure
7.4.1 ori ontal soil surf ace

In this ase the e ti al essu e due to the ei ht o the soil, γh, is a tin as a mino in i al st ess.
i u e .9a sho s the oh i le dia am e esentin these st ess onditions and d a n in the usual
osition, i.e. ith the a is the di e tion o the ma o in i al lane ho i ontal. i u e .9b sho s
the same dia am o e tly o ientated ith the ma o in i al st ess, γh, ho i ontal and the ma o
in i al lane e ti al. he oh dia am, it ill be seen, must be otated th ou h 90°.
In the oh dia am
σ1 OB OC + DC 1+ sin φ′ φ′
= = = = tan2 45° +
σ3 OA OC − DB 1− sin φ′ 2
hen e
1+ sin φ′ φ′
Kp = = tan2 45° +
1− sin φ′ 2
s ith a ti e essu e, the e is a net o o shea lanes in lined at 4 ° − φ′ 2 to the di e tion o the
ma o in i al st ess, but this time the soil is bein om essed as o osed to e anded.
Lateral Earth Pressure 1 1
Fig. 7.9 Passi e ea th essu e o a ohesionless soil ith a ho i ontal u e su a e.
7.4.2 Slopin soil surf ace

he di e tions o the in i al st esses a e not no n, but e assume that the assi e essu e a ts a al
lel to the su a e o the slo e. he analysis i es
cos β + (cos2 β − cos2 φ′ )

Kp = cos β
cos β − (cos2 β − cos2 φ′ )
7.4.3 an ine’s assum pt ion on all friction

he amount o i tion de elo ed bet een a etainin all and the soil an be o a hi h ma nitude a
ti ula ly in the ase o assi e essu e . he an ine theo y’s assum tion o a smooth all ith no i
tional e e ts an the e o e lead to a si ni ant unde estimation u to about a hal o the t ue alue.
he theo y an ob iously lead to onse ati e desi n hi h, althou h sa e, mi ht at times be o e sa e
and lead to an une onomi st u tu e.
7. an ine’s theor cohesive soils
7. .1 Effect of cohesion on active pressure

onside t o soils o the same unit ei ht, one a tin as a u ely i tional soil ith an an le o
shea in esistan e, φ′, and the othe a tin as a ohesi e– i tional soil ith the same an le o shea in
esistan e, φ′, and an e e ti e ohesion, ′. he oh i le dia ams o the t o soils a e sho n in
i . .10.
t de th, h, both soils a e sub e ted to the same ma o in i al st ess σ1′ = γh. he mino in i al
st ess o the ohesionless soil is σ′ but o the ohesi e soil it is only σ3c
′ , the di e en e bein due to the
ohesi e st en th, ′, that is e esented by the len ths o E.
H
F
E
G
φ'
φ' 45° −
2
c' φ' A B D
σ'3c σ'3 σ'1
H
φ'
45° +
90° − φ' 2
F
φ'
45° −
2
Fig. 7.10 he e e t o ohesion on a ti e essu e.
onside t ian le
φ′ φ′
sin 45° − cos 45° −
HF HF sin(90° − φ′ ) 2 2
= = = 2
GH c ′ φ′ φ′
sin 45° + cos 45° −
2 2
o
φ′
HF = 2c′ sin 45° −
2
i e en e bet een σ′ and σ3c

′
HF
= EF =
φ′
cos 45° −
2
φ′
sin 45° −
2 φ′
= 2c′ = 2c′ tan 45° −
φ′ 2
cos 45° −
2
en e the a ti e essu e, a, at de th h in a soil e hibitin both i tional and ohesi e st en th and

ha in a ho i ontal u e su a e is i en by the e ession
φ′
p a = Kaγh − 2c′ tan 45° − = K aγh − 2c′ K a
2
Fig. 7.11 ti e essu e dia am o a soil ith both ohesi e and i tional st en th.
his e ession as o mulated by ell 191 and is o ten e e ed to as ell’s solution.

he a ti e essu e dia am o su h a soil is sho n in i . .11. he ne ati e alues o a e tendin
do n om the to o the all to a de th o h indi ate that this one o soil is in a state o su tion.
o e e , soils annot eally ithstand tensile st ess, and a s may o m ithin the soil. It is the e o e
un ise to assume that any ne ati e a ti e essu es e ist ithin the de th h .
Sin e ohesi e soils ha e lo e meability, the tension a ill li ely ll ith ate . o desi n u oses
the e o e, it is assumed that a hyd ostati ate essu e is e e ien ed in the tension one.
7. .2 epth of the tension one

In i . .11 the de th o the tension one is i en the symbol h . It is ossible o a s to de elo o e
this de th, and a alue o h is o ten e ui ed.
I a in the e ession
φ′
p a = Kaγhc − 2c′ tan 45° −
2
is ut e ual to e o e an obtain an e ession o h
2c′ φ′ 2c′ φ′
hc = tan 45° − = tan 45° +
γK a 2 γ 2
h may also be e essed
2c′
hc =
γ Ka
When φ′ = 0° i.e. in the und ained state
2cu
hc =
γ
E ample 7.4 Lateral pressure distri ution
etainin all su o ts a soil as sho n in i . .12. S et h the late al essu e dist i

bution a tin on the ba o the all.
1 4 Smit h’s Element s of Soil echanics
Solut ion:
1− sin φ′ 1− sin 25°
Ka = = = 0.41
1+ sin φ′ 1+ sin 25°
p a = Kaγh − 2c′ Ka
P essu e dist ibution
P0m = 0 − (2× 4 )× 0.41 = − 5.1 kPa
P10m = (0.41× 18 × 10) − (2× 4)× 0.41 = 68.7 kPa
ension a
2c′ φ′
hc = tan 45° + = 0.70 m
γ 2
γ = 18kN/m3
c' = 4 kPa
10m σ' = 25°
Fig. 7.12 E am le .4.
Theoretical distribution: Distribution used for design:
–5.1 kPa
hc = 0.7 m
0.7 x 9.81 = 6.9 kPa
68.7kPa 68.7 kPa
Fig. 7.13 P essu e dist ibutions not to scale .
7. .3 he occurrence of tensile crac s

tension one, and the e o e tensile a in , an only o u hen the soil e hibits ohesi e st en th.
a els, sands and most silts ene ally o e ate in a d ained state and, ha in no ohesion, do not e e i
en e tensile a in .
lays, hen und ained, an ha e substantial alues o u but, hen ully d ained, almost in a iably ha e
e e ti e ohesi e inte e ts that a e eithe e o o , ha e a small enou h alue to be onside ed
ne li ible.
It is the e o e a a ent that tensile a s an only o u in lays and a e only im o tant in und ained
onditions. he alue o h , as dete mined om the o mula de i ed abo e, is seen to be ome smalle as
the alue o the a a ent ohesion edu es. his illust ates that, as a lay ets u and its ohesi e inte
e t edu es om u to ′, any tensile a s ithin it tend to lose.
I the e is a uni o m su ha e a tin on the su a e o the etained soil su h that its e uivalent height
is he see Se tion . .1 then the de th o the tension one be omes e ual to 0 he e 0 = h − he. I ,
o ou se, the su ha e alue is su h that he is eate than h then no tension one ill e ist.
7. .4 Effect of cohesion on passive pressure

an ine’s theo y as de elo ed by ell 191 o the ase o a i tional ohesi e soil. is solution o a
soil ith a ho i ontal su a e is
φ′ φ′
p p = γh tan2 45° + + 2c′ tan 45° + = Kp γh + 2cc′ Kp
2 2
7. oulom ’s ed e theor active earth pressure
Instead o onside in the e uilib ium o an element in a st essed mass, oulomb’s theo y onside s the
soil as a hole.
7. .1 ranular soils
I a all su o tin a ohesionless a tin soil is suddenly emo ed the soil ill slum do n to its an le
o shea in esistan e, φ′, on the lane in i . .14a. It is the e o e easonable to assume that i the
all only mo ed o a d sli htly, a u tu e lane ould de elo some he e bet een and the
ed e o soil ould then mo e do n the ba o the all and alon the u tu e lane . hese
ed es do in a t e ist and ha e ailu e su a es a o imatin to lanes.
oulomb analysed this oblem analyti ally in 1 on the assum tion that the su a e o the etained
soil as a lane. e de i ed this e ession o a
2
cosec ψ sin(ψ − φ′ )
Ka =
sin(φ′ + δ)sin(φ′ − β )
sin(ψ + δ) +
sin(ψ − β )
he e
ψ = an le o ba o all to the ho i ontal

δ = an le o all i tion
Fig. 7.14 Wed e theo y o ohesionless soils.

Fig. 7.15 Symbols used in oulomb’s o mula.
β = an le o in lination o su a e o etained soil to the ho i ontal

φ′ = an le o shea in esistan e.
Total active thrust = 21 K aγH2, he e = total hei ht o the all. his th ust is assumed to a t at an le
δ to the no mal to the all see i . .1 .
It is o inte est to note that oulomb’s e ession o a edu es to the an ine o mula hen ψ = 90°
and hen δ = β, i.e.
cos β − (cos2 β − cos2 φ′ )

Ka = cos β ×
cos β + (cos2 β − cos2 φ′ )
and u the edu es to
1− sin φ′
Ka =
1+ sin φ′
hen ψ = 90° and hen δ = 0°.
E ample 7. oulom active thrust
Sol e E am le .1 usin the oulomb o mula. ssume that δ = 1

2 φ′ .
Solut ion:
oulomb’s o mula o a is
2
Ka =
sin(φ′ + δ)sin(φ′ − β )
sin(ψ + δ) +
sin(ψ − β )
Lat eral Earth Pressure 1 7
1. Solution A: Soil surface horizontal

δ = 1 . ° ψ = 90° β = 0° φ′ = °.
{ sin 107.5° + sin 52.5° sin 35° / sin 90° }

2
sin 55° / sin 90°
Ka =
={
0.976 + 0.675 }
2
0.819
= 0.246
Pa = 0.5KaγH2 = 0.5 × 0.246 × 19 × 52 = 58.43 kN

his alue is in lined at 1 . ° to the no mal to the ba o the all so that the total
ho i ontal a ti e th ust, a o din to oulomb, is .4 × os 1 . ° = . .
ote: I δ had been assumed e ual to 0°, the al ulated alue o total ho i ontal th ust
ould ha e been the same as that obtained by the an ine theo y o E am le .1.
2. Solution B: Soil surface sloping at 35°
Substitutin φ′ = °, β = °, δ = 1 . ° and ψ = 90° into the o mula i es
a = 0. 04. en e
otal a ti e th ust = 0. × 0. 04 × 19 × 2 = 1 .2
otal ho i ontal th ust = 1 .2 × os 1 . ° = 1 9.
In ease in ho i ontal th ust = 1 9. − . = 104
E ample 7. oulom active thrust more than one soil
ete mine the total ho i ontal a ti e th ust a tin on the ba o the all o E am le
.2 by the oulomb theo y. a e δ = φ′ 2.
Solut ion:
ti e essu e at the to o the all, Pa0 = 0 .
onside the u e soil laye
o φ′ = 0°, δ = φ′ 2 = 1 °, β = 0° and ψ = 90°, a = 0. 01
en e a ti e essu e at a de th o m = 0. 01 × 1 × = 14. Pa.
ut this essu e a ts at 1 ° to the ho i ontal as δ = 1 ° .
Horizontal pressure at dept h = 3 m = p a3 = 14.5 cos15° = 14.0 kPa.
onside the lo e soil laye
o φ′ = 20°, δ = φ′ 2 = 10°, β = 0° and ψ = 90°, a = 0.44
p a3 = 0.447× 16 × 3 × cos10° = 21.1 kPa
p a7.5 = [(0.447× 24 × 4.5) + 21.1] × cos10° = 68.3 kPa
hese alues a e sho n in b a ets on the essu e dia am in i . . b.
7. .2 he ulmann line const ruction

When the su a e o the etained soil is i e ula , oulomb’s analyti al solution be omes di ult to a ly
and it is ene ally sim le to ma e use o a a hi al method o osed by ulmann in 1 , no n as
1 8 Smith’s Element s of Soil echanics
the ulmann line onst u tion. esides bein able to o e ith i e ula soil su a es the method an
also deal ith i e ula ombinations o uni o m and line loads.
he o edu e is to sele t a se ies o t ial ed es and nd the one that e e ts the eatest th ust on
the all. ed e is a ted u on by th ee o es
W, the ei ht o the ed e
Pa, the ea tion om the all
, the ea tion on the lane o ailu e.
t ailu e, the ea tion on the ailu e lane ill be in lined at ma imum obli uity, φ′, to the no mal to the
lane. I the an le o all i tion is δ then the ea tion om the all ill be in lined at δ to the no mal
to the all δ annot be eate than φ′ . s a ti e essu es a e bein de elo ed the ed e is tendin
to mo e do n a ds, and both and Pa ill onse uently be on the do n a d sides o the no mals i .
.14b . W is o no n ma nitude a ea × unit ei ht and di e tion e ti al and and Pa a e both
o no n di e tion, so the t ian le o o es an be om leted and the ma nitude o Pa ound i . .14 .
he alue o the an le o all i tion, δ, an be obtained om tests, but i test alues a e not a ailable
δ is usually assumed as 0. to 0. φ′.
In i . .1 , the total th ust on the all due to ea th essu e is to be e aluated, ou t ial ed es
ha in been sele ted ith ailu e su a es , , E and . t some oint alon ea h ailu e su a e a
line no mal to it is d a n, a te hi h a se ond line is onst u ted at φ′ to the no mal. he esultin
ou lines i e the lines o a tion o the ea tions on ea h o the t ial lanes o ailu e. he di e tion o
the all ea tion is simila ly obtained by d a in a line no mal to the all and then anothe line at an le
δ to it.
he ei ht o ea h t ial sli e is ne t obtained, and sta tin at a oint , these ei hts a e set o e ti
ally u a ds as oints d 1, d 2, et . su h that d 1 e esents the ei ht o sli e 1 to some s ale, d 2
e esents the ei ht o sli e 2 + sli e 1, and so on.
se a ate t ian le o o es is no om leted o ea h o the ou ed es, the di e tions o the o
es ondin ea tion on the ailu e lane and o Pa bein obtained om the s a e dia am. he oint o
Fig. 7.16 ulmann line onst u tion o a ohesionless soil.

inte se tion o and Pa is i en the symbol e ith a su that tallies ith the ed e analysed, e. . the
oint e1 e esents the inte se tion o Pa1 and 1.
he ma imum th ust on the all is ob iously e esented by the ma imum alue o the len th ed. o
obtain this len th a smooth u e the ulmann line is d a n th ou h the oints e1, e2, e and e4.
tan ent to the ulmann line hi h is a allel to d 4 ill ut the line at oint e hen e the line ed an
be d a n on the o e dia am, and the len th ed e esents the th ust on the ba o the all due to
the soil.
I e ui ed, the osition o the a tual ailu e lane an be lotted on the s a e dia am, the an le e e2
on the o e dia am e uallin the an le E on the s a e dia am hilst the an le e e2 simila ly e uals
the an le he e = ailu e lane.
7. .3 he ef fect of cohesion
he theo y assumes that at the to o the all the e is a one o soil ithin hi h the e a e no i tion o
ohesi e e e ts alon both the ba o the all and the lane o u tu e i . .1 . he de th o the
one is ta en as 0 and, as be o e, 0 = h o 0 = h − he.
Graphical solution
he e a e no e o es a tin on the ed e
, the ea tion on lane o ailu e

W, the ei ht o hole ed e E
Pa, the esultant th ust on all
, the adhesi e o e alon len th o all =
, the ohesi e o e alon u tu e lane E = E.
he unit all adhesion, , annot be eate than the a a ent ohesion. In the absen e o tests that
indi ate that hi he alues may be used, an be ta en as e ual to the a a ent ohesion, u to a
ma imum o = 0 Pa.
he alue o W is obtained as be o e, so the e a e only t o un no n o es and Pa.
Fig. 7.17 ulmann line onst u tion ada ted to allo o ohesion.
In o de to d a the ulmann line a oly on o o es must be onst u ted. he ei hts o the a ious
ed es a e set o as be o e, e ti ally u om the oint . s the o e is ommon to all oly ons
it is d a n ne t, and the o e is then lotted. he di e tion o Pa is d a n om oint d and the di e
tion o is d a n om the end o o e these t o lines oss at the oint e on the ulmann line.
E ample 7.7 Active thrust raphical solution
ete mine the ma imum th ust on the all sho n in i . .1 a. he o e ties o the
soil a e γ = 1 .4 m , ′ = 9. Pa, δ = φ′ = 19°.
Solut ion:
2c′ φ′ 2 × 9.55
hc = tan 45° + = × tan 54.5° = 1.52 m
γ 2 17.4
Wall adhesion = . 4 − 1. 2 9. = .
ohesion on ailu e lanes
1 9.9 × 9. = 94.
2 11.11 × 9. = 10 .0
Fig. 7.18 E am le . .
12.20 × 9. = 11 .4
4 1 .2 × 9. = 12 .
Wei ht o ed es
1 22. × 1 .4 = 9
2 .1 × 1 .4 = 11
4 . × 1 .4 = 2
4 1.9 × 1 .4 = 90
S a e and o e dia ams a e i en in i s .1 b and .1 .
Maximum Pa = e2′ d ′2 = 314 kN/m
e isel and bsi 1990 ublished alues o the ho i ontal om onents o a and o a an e o alues
o φ, β, δ and ψ to ease al ulation hen usin the oulomb theo y. In addition, the s eadsheet earth
pressure coef cients ls is a ailable o do nload, hi h an be used to dete mine the ho i ontal om
onents o a and too. In this se tion e a e on e ned ith the ho i ontal om onent o a i.e. a
os δ only. he ho i ontal om onent o is i en in Se tion . .2.
he a ti e essu e a tin no mally to the all at a de th h an be de ned by
p ah = Kaγh − cKac
he e
= o e atin alue o ohesion
a = oe ient o a ti e ea th essu e.
a ious alues o a and a a e i en in able .1 o the st ai ht o a d ase o β = 0 and ψ = 90°. ote
that, he e a o iate, φ′ is the o e atin alue o the an le o shea in esistan e o the soil.
Inte mediate alues o a and a an be obtained om the s eadsheet. It should be noted that the
alues in both the s eadsheet and in able .1 a e o essu e om onents a tin in the ho i ontal
di e tion, not at an an le δ to the ho i ontal as in the o i inal oulomb theo y. he alues in the s ead
sheet a e de i ed om the ollo in idely e o nised o mulae, hi h a e su iently a u ate o most
u oses
Ka = Coulomb’ s value × cos δ

cw
Kac = 2 Ka 1+
c
Table 7.1 alues o a and a o a ohesi e soil o β = 0, ψ = 90°.
alues o φ′
alues
Coe ient alues o δ o 0° 5° 10° 15° 20° 25°
a 0 ll 1.00 0. 0. 0 0. 9 0.4 0.40

φ′ alues 1.00 0. 0. 4 0. 0 0.40 0. 2
a 0 0 2.00 1. 1. 1. 4 1.40 1.29
0 1 2. 2. 0 2. 2.1 1.9 1.
φ′ 1
2
2.4 2.10 1. 2 1. 1. 2 1.1
φ′ 1 2. 2.4 2.1 1. 1. 9 1.41
2 2 Smit h’s Elements of Soil echanics
E ample 7.8 oulom a
ete mine oulomb’s a alue o φ′ = 20°, δ = 10°, β = 0°, ψ = 90°, ′ = 10 Pa,

= 10 Pa.
Solut ion:
{ }
2
cosec 90° sin 70°
Ka = = 0.4467
sin100° + sin 30° sin 20° / sin 90°
en e the a alue o ho i ontal essu e = 0.44 × os 10° = 0.44.
10
Kac = 2 0.44 1 + = 1.88
10
In a t b o E am le .10, the alues o a and a a e obtained ia able .1. It is
inte estin to om a e the ans e s ith those ound in this e am le.
Fig. 7.19 ete mination o line o a tion .

a
7. .4 Point of applicat ion of total active thrust

When usin the ulmann line onst u tion, the ma nitude o Pa is obtained di e tly om the o e
dia am. Its oint o a li ation may be assumed to be he e a line d a n th ou h the ent oid o the
ailu e ed e, and a allel to the ailu e lane, inte se ts the ba o the all. See i . .19.
7.7 oulom ’s ed e theor passive earth pressure
7.7.1 ranular soils

With the assum tion o a lane ailu e su a e leadin to a ed e ailu e, oulomb’s e ession o
o a anula soil is
Kp =
sin(φ′ + δ)sin(φ′ + β )
sin(ψ − δ) −
sin(ψ − β )
the symbols ha in the same meanin s as e iously.

he e ession edu es to
1+ sin φ′
Kp =
1− sin φ′
hen ψ = 90°, δ = 0° and β = 0°.

With assi e essu e, un o tunately, the ailu e su a e only a o imates to a lane su a e hen the
an le o all i tion is small.
he situation a ises be ause the beha iou o the soil is not only o e ned by its ei ht but also by
the om ession o es indu ed by the all tendin to ush into the soil. hese o es, unli e the a ti e
ase, do not a t on only one lane ithin the soil, esultin in a non uni o m st ain atte n and the de el
o ment o a u ed ailu e su a e i . .20 .
It is a a ent that in most ases the assum tion o a oulomb ed e o a assi e ailu e an lead to
a se ious o e estimation o the esistan e a ailable. e a hi 194 st analysed this oblem and on
luded that, o ided the an le o i tion de elo ed bet een the soil and the all is not mo e than φ′ ,
he e φ′ is the o e ati e alue o the an le o shea in esistan e o the soil, the assum tion o a lane
ailu e su a e ene ally i es easonable esults. o alues o δ eate than φ′ , the e o s in ol ed an
be e y la e.
d usted alues o that allo o a u ed ailu e su a e a e i en in able .2. hese alues a ly
to a e ti al all and a ho i ontal soil su a e and in lude the multi lie os δ as the alues in the table
i e the om onents o essu e that ill a t no mally to the all.
Fig. 7.20 e a tu e o assi e ailu e su a e om a lane.
Table 7.2 alues o o ohesionless soils e isel

and bsi, 1990 .
alues o φ′
25° 30° 35° 40°
alues o δ alues o p
0° 2. .0 . 4.
10° .1 4.0 4. .
20° . 4.9 .0 .
0° – . . 11.4
It is seen the e o e that o a smooth all he e δ = 0° the an ine theo y an be used o the e alu
ation o assi e essu e. I all i tion is mobilised then δ ≠ 0° and the oe ients o able .2 should
be used unless δ ≤ φ′ in hi h ase the oulomb e uation an be used di e tly .
7.7.2 he ef fect of cohesion

s has been dis ussed, a lay has a non linea st ess–st ain elationshi and its shea st en th de ends
u on its e ious st ess histo y. dd to this the om li ations o non uni o m st ain atte ns ithin a
assi e esistan e one and it is ob ious that any desi n a oa h must be an em i i al a oa h based
on e e imental o .
simila e uation to that o ell an be used o assi e essu e alues hen the e e t o all i tion
and adhesion a e ta en into a ount.
he assi e essu e a tin no mally to the all at a de th o h an be de ned as
p ph = Kp γh + cKpc
he e
= o e atin alue o ohesion

= oe ient o assi e ea th essu e.
a ious alues o and a e i en in able . o the st ai ht o a d ase o β = 0, ψ = 90°. s ith

the a ti e essu e oe ients i en in able .1, they i e the alue o the essu e a tin no mally to
the all.
n alte nati e to usin the alues set out in able . is that o the o o So olo s i 19 0 , a t o
hi h is esented in able .4. his o e s a mo e ealisti set o alues than those listed in ables .2
and . .
he alues e e obtained om the a o imate elationshi
{
Kpc = 2 K p 1+
cw
c }
his elationshi has been used in the earth pressure coef cients ls s eadsheet hi h an be used to
dete mine inte mediate alues o and .
It should be noted that, in the ase o assi e ea th essu e, the amount o all mo ement ne essa y
to a hie e the ultimate alue o φ′ an be la e, a ti ula ly in the ase o a loose sand he e one annot
easonably e e t that mo e than one hal the alue o the ultimate assi e essu es ill be
de elo ed.
Table 7.3 alues o and o a ohesi e soil o β = 0 ψ = 90°.
alues o φ′
alues
Coe ient alues o δ o 0° 5° 10° 15° 20° 25°
0 ll 1.0 1.2 1.4 1. 2.1 2.

φ′ alues 1.0 1. 1. 2.2 2.9 .9
0 0 2.0 2.2 2.4 2. 2. .1
0 1
2 2.4 2. 2.9 .2 . .
0 1 2. 2.9 .2 . 4.0 4.4
φ′ 1
2 2.4 2. . . 4. .
φ′ 1 2. 2.9 .4 .9 4. .
Table 7.4 alues o and a te So olo s i, 19 0 .
alues o φ′ egrees
10° 20° 30° 40°
alues o δ alues o alues o p
0 ll 1.42 2.04 .00 4. 0

φ′ 2 alues 1. 2. 1 4.4 9.10
φ′ 1. 2. . 14.10
alues o p
0 0 2. 2. .4 4.29
φ′ 2 0 2.49 .1 4.22 .0
φ 0 2. . 4. . 1
0 0. 2.92 . 0 4.24 .2
φ′ 2 0. .0 . .1 . 9
φ 0. .1 4.14 . 9.20
0 1.0 . 4.04 4.90 .0
φ′ 2 1.0 . 2 4.4 .9 .
φ′ 1.0 . 1 4. . 10. 2
he ollo in desi n a amete s a e e ommended o δ and
o timbe , steel and e ast on ete = φ′ 2

o ast in situ on ete = 2φ′
ene ally, should be assumed to be hal o the alue o the a ti e essu e onditions.
7.8 Surchar es
he e t a loadin a ied by a etainin all is no n as a su ha e and an be a uni o m load oad ay,

sta ed oods, et . , a line load t ains unnin a allel to a all , an isolated load olumn ootin , o a
dynami load t a .
7.8.1 nif orm load

Soil surf ace horizontal
When the su a e o the soil behind the all is ho i ontal, the essu e a tin on the ba o the all due
to the su ha e, , is uni o m ith de th and has ma nitude e ual to a i . .21 .
Soil surf ace sloping at angle β to horizontal

When the su a e o the soil is not ho i ontal, the su ha e an be onside ed as e ui alent to an e t a
hei ht o soil, he la ed on to o the soil.
q sin ψ
he =
γ sin(ψ + β )
Surcharge, q
Pq
h
Pa
h
h 2
3
pa = Kaγh pq = Kaq
Fig. 7.21 E e t o uni o m su ha e on a etainin all.
he e
γ = unit ei ht o soil m
= ma nitude o su ha e Pa
ψ= an le o ba o all to ho i ontal
β= an le o in lination o etained soil.
n e a ain the essu e a tin on the ba o the all due to the su ha e is onside ed uni o m, but
this time is o ma nitude aγhe.
With the ulmann line onst u tion, the ei ht o su ha e on ea h sli e is added to the ei ht o
the sli e. he ei ht o ea h ed e lus its su ha e is lotted as d 1, d 2, et . and the o edu e is
as des ibed ea lie .
E en hen a etainin all is not intended to su o t a uni o m su ha e it should be emembe ed
that it may be sub e t to su a e loadin s due to lant mo ement du in onst u tion. It is at this time
that the all ill be at its ea est state.
E ample 7. niform surchar e i
smooth ba ed e ti al all is m hi h and etains a soil ith a bul unit ei ht o

20 m and φ′ = 20°. he to o the soil is le el ith the to o the all and its su a e
is ho i ontal and a ies a uni o mly dist ibuted load o 0 Pa. sin the an ine theo y,
dete mine the total a ti e th ust on the all linea met e o all and its oint o
a li ation.
Solut ion:
i . .22a sho s the oblem and i . .22b sho s the esultant essu e dia am.
sin the an ine theo y
1− sin 20°
Ka = = 0.49
1+ sin 20°
p a = Kaγh = 0.49 × 20 × 6 = 58.8 kPa
q = 50 kPa
Pq
6m
Pa
h
h 2
3
58.8 24.5
(a) The problem (b) Pressure distribution (kPa)
Fig. 7.22 E am le .9.
Sin e soil su a e behind all is ho i ontal,

p q = Kaq = 0.49 × 50 = 24.5 kPa
he essu e dia am is no lotted i . .22b .
1
Total thrust = Area of pressure diagram = Pa + Pq = × 58.8× 6 + ( 24.5 × 6)
2
= 176.4 + 147 = 323.4 kN
he oint o a li ation o this th ust is obtained by ta in moments o o es about
the base o the all, i.e.
6
323.4 × h = 147× 3 + 176.4 ×
3
793.8
⇒ h= = 2.45 m
323.4
esultant th ust a ts at 2.4 m abo e base o all.
E ample 7.1 niform surchar e ii
e ti al etainin all is m hi h and su o ts a soil, the su a e o hi h is ho i ontal

and le el ith the to o the all and a yin a uni o m su ha e o Pa.
he o e ties o the soil a e φ = 20° ′ = 10 Pa γ = 20 m δ = φ′ 2.
ete mine the alue o the ma imum ho i ontal th ust on the ba o the all
a by the ulmann line onst u tion
b by the aand a oe ients o able .1.
Solut ion:
c′ < 50 kPa ⇒ c w = c′ = 10 kPa
2c′
hc = tan(45° + φ′ / 2) = 1.43 m
γ
q 75
he = = = 3.75 m (since ψ = 90° and β = 0°)
γ 20
⇒ zo = hc − he = − 2.32 m, i.e. take zo = 0
a he s a e and o e dia ams o the ulmann line onst u tion a e sho n in i s
.2 a and .2 b es e ti ely.
h ee sli es ha e been hosen and the al ulations a e best tabulated.
γ × area C = × base
2
Sli e rea ΣW
1 100 1 0 2 0
2 10 200 00 00 4
1 00 4 0 0 9
ohesi e o e on ba o all, = × = 10 × = 0 .
om the o e dia am, ma imum Pa = 190 m un o all, a tin at δ to the no mal
to the all.
⇒ Maximum horizontal thrust on back of wall = 190 cos10° = 187 kN / m run of wall.
b oe ients a and a able .1 an be obtained by linea inte olation
For c w / c′ = 1.0 and φ′ = 20°; K a = 0.48 for δ = 0°
For c w / c′ = 1.0 and φ′ = 20°; Ka = 0.40 for δ = φ′ ⇒ Ka = 0.44
For c w / c′ = 1.0 and φ′ = 20°; K ac = 1.96 for δ = 0°
1.96 + 1.59
For c w / c′ = 1.0 and φ′ = 20°; K ac = 1.59 for δ = φ′ ⇒ Kac = = 1 .7 8
2
Fig. 7.23 E am le .10.

ti e essu e at to o all,
Pa0 = γheKa − c′ Kac = (20 × 3.75 × 0.44) − (10 × 1.78) = 15.2 kPa
ti e essu e at base o all,
Pa5 = γ(H + he )Ka − c′ Kac = 20(5 + 3.75)0.44 − 17.8 = 59.2 kPa
he essu e dia am on the ba o the all is sho n in i . .2 . emembe in
that these a e the alues o essu e a tin no mal to the all, the ma imum ho i ontal
th ust ill be the a ea o the dia am.
15.2 + 59.2
Maximum horizontal thrust = × 5 = 186 kN/ m run of wall.
2
7.8.2 Line load

he late al th ust a tin on the ba o the all as a esult o a line load su ha e is best estimated by
lasti analysis.
It is ossible to use a oussines analysis see ha te to dete mine the e ti al st ess in ements
due to the su a e load and then to use these alues in the lasti analysis ombined ith the desi n
alue o a see ha te .
With the ulmann line onst u tion the ei ht o the line load, WL is sim ly added to the t ial ed es
a e ted by it i . .24 . he ulmann line is st onst u ted as be o e, i no in the line load. n this
basis the ailu e lane ould be and Pa ould ha e a alue ‘ed’ to some o e s ale.
Sli o u in on 1 and all lanes u the om the all ill be due to the ed e ei ht lus W L. o
lane 1, set o W 1 + W L om to d1′ and ontinue the onst u tion o the ulmann line as be o e
i.e. o e e y t ial ed e to the i ht o lane 1, add WL to its ei ht . he ulmann line um s om
e1 to e1′ and then ontinues to ollo a simila u e.
he all th ust is a ain dete mined om the ma imum ed alue by d a in a tan ent, the ma imum
alue o ed bein in this ase e1′d1′ I WL is lo ated a enou h ba om the all it may be that ed is still
eate than e1′d1′ in this ase WL is ta en as ha in no e e t on the all.
Fig. 7.24 ulmann line onst u tion o a line load.

7.8.3 ompact ion ef fects

u in the onst u tion o a ity etainin alls, laye s o ll a e om a ted behind the all, and this
om a tion o ess indu es late al st esses ithin the ll hi h an a t a ainst the ba o the all. I
the st esses a e hi h enou h they an lead to mo ement o de o mation o the all, and so the e e t o
the om a tion is ta en into a ount du in the desi n o the all. uidan e on the e e ts o the om
a tion o ba ll is i en by oms 19 1 and by layton and Symons 1992 .
7. hoice of method for determination of active pressure
he main iti ism o the an ine theo y is that it assumes onditions that a e un ealisti in soils. he e
ill in a iably be i tion and o adhesion de elo ed bet een the soil and the all as it ill ha e some
de ee o ou hness and ill ne e be e e tly smooth. en e, in many ases, the an ine assum tion
that no shea o es de elo on the ba o the all is sim ly not t ue and it may be a o iate to use
the oulomb theo y.
s noted ea lie it is not easy to obtain measu ed alues o the alue o all i tion, δ, and the alue
o the all adhesion, , hi h a e usually estimated. δ is ob iously a un tion o the an le o shea in
esistan e, φ′, o the etained soil immediately ad a ent to the all and an ha e any alue om i tually
e o u to some ma imum alue, hi h annot be eate than φ′. Simila ly the o e ati e alue o is
elated to the alue o ohesion o the soil immediately ad a ent to the all.
Just hat ill be the a tual o e atin alue o δ de ends u on the amount o elati e mo ement
bet een the soil and the all. si ni ant do n a d mo ement o the soil elati e to the all ill esult
in the de elo ment o the ma imum δ alue.
ases o si ni ant elati e do n a d mo ement o the soil a e not ne essa ily all that ommon. ten
the e a e ases in hi h the e is some a om anyin do n a d mo ement o the all esultin in
the smalle elati e dis la ement. E am les o su h ases an be a ity and sheet iled alls and a alue
o δ less than the ma imum should ob iously be used des i tions o di e ent all ty es a e i en in
ha te . .
When the etained soil is su o ted on a oundation slab, as ith a ein o ed on ete antile e o
ounte o t all, the e ill be i tually no mo ement o the soil elati e to the ba o the all. In this
ase the ado tion o a ‘ i tual lane’ in the desi n o edu e, as illust ated in E am le .2, usti es the
use o the an ine a oa h.
he use o the an ine method a o ds a ui means o dete minin a onse ati e alue o a ti e
essu e, hi h an be use ul in elimina y desi n o . ull e lanations o the o edu es used in
etainin all desi n a e i en in ha te .
7.1 ac ll material
he e am les used to illust ate late al ea th essu e in this ha te ha e all been based on a ity alls,
i.e. alls hi h a e onst u ted usin a ‘bottom u ’ o ess and ba lled ith soil a te onst u tion.
he ideal ba ll mate ial o su h alls is anula , su h as suitably aded stone, a el, o lean sand
ith a small e enta e o nes. Su h a soil is ee d ainin and o ood du ability and st en th but,
un o tunately, it an be e ensi e, e en hen obtained lo ally.
E onomies an sometimes be a hie ed by usin anula mate ial in etainin all onst u tion in the
o m o a ed e as sho n in i . .2 . he ed e se a ates the ne mate ial ma in u the bul o the
ba ll om the ba o the all. With su h a ed e, late al essu es e e ted on to the ba o the all
an be e aluated ith the assum tion that the ba ll is made u enti ely o the anula mate ial.
Sla , lin e , bu nt ollie y shale and othe manu a tu ed mate ials that a o imate to a anula soil
ill ene ally o e satis a to y as ba ll mate ial o ided that they do not ontain ha m ul hemi als.
Ino ani silts and lays an be used as ba lls but e ui e s e ial d aina e a an ements and an i e
Fig. 7.25 se o anula mate ial in etainin all onst u tion.
ise to s ellin and sh in a e oblems that a e not en ounte ed in anula mate ial. Peat, o ani soil,
hal , unbu nt ollie y shale, ul e ised uel ash and othe unsuitable mate ial should not be used as
ba ll i at all ossible.
7.1 .1 raina e s st ems

o matte hat mate ial is used as a ba ll, its d aina e is o eat im o tan e. etainin all is
desi ned ene ally to ithstand only late al essu es e e ted by the soil that it is su o tin . In any
desi n the ossibility o a ound ate le el o u in in the mate ial behind a etainin all must be
e amined and an a o iate d aina e system de ided u on.
o a anula ba ll the only d aina e o ten ne essa y is the o ision o ee holes that o th ou h
the all and a e s a ed at some m ent es, both ho i ontally and e ti ally. he holes an a y in diam
ete om to about 1 0 mm and a e ote ted a ainst lo in by the o ision o a el o ets
la ed in the ba ll immediately behind ea h ee hole i . .2 a .
ene ally ee holes an only be o ided in outside alls and an alte nati e a an ement o anula
ba ll is illust ated in i . .2 b. It onsists o a ontinuous lon itudinal ba d ain, la ed at the oot
o the all and onsistin o o en ointed i es a ed a ound ith a el o some othe suitable lte
mate ial. he desi n o lte s is dis ussed in ha te 2. P o ision o oddin out should be o ided.
I the ba ll mate ial is anula but has mo e than ne sand, silt o lay a ti les mi ed ithin it
then it is only semi e ious. o su h a mate ial the o ision o ee holes on thei o n ill o ide
ine ient d aina e, ith the u the om li ation o the e bein a mu h eate tenden y o lo in
to o u . he ans e is to o ide additional d aina e, in the o m o e ti al st i s o lte mate ial about
0. × 0. m2 in oss se tion la ed mid ay bet een the ee holes and led do n to a ontinuous
lon itudinal st i o the same lte mate ial o the same oss se tion as sho n in i . .2 .
o layey mate ials blan et d ains o suitable lte mate ial a e ne essa y. hese blan ets should be
about 0. m thi and ty i al a an ements a e sho n in i s .2 d and .2 e. ene ally the e ti al
d aina e blan et o i . .2 d ill o e satis a to y, es e ially i the su a e o the etained soil an be
ote ted ith some o m o im e ious o e in . I this ote tion annot be i en then the e is the
han e o hi h see a e essu e bein eated du in hea y ain see E am le .11 . In su h a situation
the alte nati e a an ement o the in lined lte blan et o i . .2 e an substantially edu e su h
see a e essu es.
he eason o the di e ent e e ts o the t o d aina e systems an be seen hen e onside the
es e ti e see a e ®o nets that a e ene ated du in ®ooded onditions.
he ®o net o the e ti al d ain is sho n in i . .2 a. It must be a e iated that the d ain is neithe
an e ui otential no a ®o line. It is a d ained su a e and the e o e the only head o ate that an e ist
alon it is that due to ele ation. en e, i a s ua e ®o net has been d a n, the e ti al distan es bet een
Granular backfill Granular backfill
filter fabric
Gravel pockets filter
drain
(a) Weep holes only (b) Back drain
Semi-pervious backfill
Vertical filter strips midway

between weep holes
Filter strip
(c) Vertical strips of filter material
layey backfill layey backfill
ontinuous filter blanket Filter strip
Filter strip ontinuous filter blanket
(d) Vertical draina e blanket (e) nclined draina e blanket
Fig. 7.26 ommon d aina e systems o etainin alls.
Fig. 7.27 See a e o es behind a etainin all ith a e ti al d ain du in hea y ain.
Fig. 7.28 E e t o an in lined d ain on see a e o es.
ad a ent e ui otentials ente in the d ain ill be e ual to ea h othe in a manne simila to the u st eam
slo e o an ea th dam .
in to the see a e o es, an additional o e, P , no a ts u a ds and at i ht an les to the ailu e
lane. om the ®o net it is ossible to dete mine alues o e ess hyd ostati essu e, h , at sele ted
oints alon the ailu e lane see i . .2 a . I a smooth u e is d a n th ou h these h alues hen
lotted alon the ailu e lane , it be omes ossible to e aluate P see E am le .11 .
he esultin o e dia am is sho n in i . .2 b. In theo y the oly on o o es ill be as sho n in
i . .2 but, as see a e ill only o u on e the soil has a hie ed a d ained state, the o e ati e st en th
a amete is φ′, ith ′ ene ally bein assumed to be e o.
he see a e ®o net o the in lined d ain in i . .2 e is sho n in i . .2 . Su h a d ain indu es
e ti al d aina e o the ain ate and it is seen that the o tion o the ®o net abo e the d ain is abso
lutely e ula and, mo e im o tant, that the e ui otentials a e ho i ontal. his latte a t means that,
ithin the soil abo e the d ain, the alue o e ess hyd ostati head at any oint must be e o. he ailu e
lane ill not be sub e ted to the u a d o e P and the essu e e e ted on the ba o the all an
only be om the satu ated soil.
7.1 .2 ifferential h drostatic head

When the e is a is o a ound ate le el de elo in behind the all then the ossible in ease in late al
essu e due to subme en e must be allo ed o . his oblem ill o u in tidal a eas, and uay alls
must be desi ned to ithstand the most ad e se di e en e eated by tidal la bet een the ate le el
in ont o and the ound ate le el behind the all. s the e is no eal time o steady see a e ondi
tions to de elo bet een the t o head le els, the e e t o ossible see a e o es an sa ely be i no ed.
E ample 7.11 hrust due to saturated soil
e ti al 4 m hi h all is ounded on a elati ely im e ious soil and is su o tin soil

ith the o e ties φ′ = 40°, ′ = 0, δ = 20°, γsat = 20 m.
he su a e o the etained soil is ho i ontal and is le el ith the to o the all. I
the all is sub e ted to hea y and olon ed ain su h that the etained soil be omes
satu ated and its su a e ®ooded, dete mine the ma imum ho i ontal th ust that ill be
e e ted on to the all
i i the e is no d aina e system
ii i the e is the d aina e system o i . .2 d
iii i the e is the d aina e system o i . .2 e.
Solut ion:
i o d aina e
s e ha e been i en a alue o the an le o all i tion it is mo e ealisti to
use the ulmann line onst u tion. he total essu e on the ba o the all ill
be the summation o the essu e om the subme ed soil and the essu e om
the ate .
ou t ial ed es ha e been hosen and a e sho n in i . .29a and the o e
s ondin o e dia am in i . .29b.
Fig. 7.29 E am le .11.

a imum Pa due to subme ed soil = 1

o i ontal om onent o Pa = 1 .0 × os 20° = 1
42
Horizontal thrust from water pressure = 9.81× = 78.5 kN
2
otal ho i ontal th ust = 9 . m un o all
ii With e ti al d ain on ba o all
he ®o net o steady see a e om the ®ooded su a e o the soil into the d ain
is sho n in i . .29 . om this dia am it is ossible to dete mine the dist ibution
o the e ess hyd ostati head, h , alon the len th o the ailu e su a e o ea h o
the ou t ial ed es. hese dist ibutions a e sho n in i . .29d and the a ea o
ea h dia am times the unit ei ht o ate i es the u a d o e, P , a tin at
i ht an les to ea h ailu e lane.
he tabulated al ulations a e
We ge Sat urat e eig t
1 40
2 0 1
120 0
4 1 0 4
he o e dia ams and the ulmann line onst u tion a e sho n in i . .29e.
om the o e dia am, ma imum Pa = 4 .
⇒ Maximum horizontal thrust on wall = 45 × cos 20° = 42 kN/m
iii With in lined d ain
s has been sho n ea lie , o all oints in the soil abo e the d ain the e an be no
e ess hyd ostati heads. he o e dia am is the e o e identi al ith i . .29e
e e t that, as P is e o o all ed es, it is emo ed om ea h oly on o o es.
When this is done it is ound that the ma imum alue o Pa is 0 .
⇒ Maximum horizontal thrust on back of wall = 30 × cos 20° = 28 kN/ m
7.11 n uence of all ield on desi n
all an yield in one o t o ays eithe by otation about its lo e ed e i . . 0b o by slidin

o a d i . . 0 . P o ided that the all yields su iently, a state o a ti e ea th essu e is ea hed
and the th ust on the ba o the all is in both ases about the same Pa .
he essu e dist ibution that i es this total th ust alue an be e y di e ent in ea h instan e, ho e e .
o e am le, onside a all that is unable to yield i . . 0a . he essu e dist ibution is t ian ula and
is e esented by the line .
onside that the all no yields by otation about its lo e ed e until the total th ust = Pa i . . 0b .
his esults in onditions that a o imate to the an ine theo y and is no n as the totally a ti e ase.
Su ose, ho e e , that the all yields by slidin o a d until a ti e th ust onditions a e a hie ed i .
. 0 . his ha dly distu bs the u e laye s o soil so that the to o the essu e dia am is simila to
the ea th essu e at est dia am. s the total th ust on the all is the same as in otational yield, it
means that the essu e dist ibution must be ou hly simila to the line E in i . . 0 .
Fig. 7.30 In®uen e o all yield on essu e dist ibution.
his ty e o yield i es onditions that a o imate to the ed e theo y, the ent e o essu e mo in
u to bet een 0.4 and 0. h abo e the all base, and is e e ed to as the a hin –a ti e ase.
he di e en es bet een the a ious essu e dia ams an be seen in i . . 0d he e the th ee dia
ams ha e been su e im osed. It has been ound that i the to o a all mo es 0.1 o its hei ht, i.e.
a mo ement o 10 mm in a 10 m hi h all, an a hin –a ti e ase is attained. his a lies hethe the
all otates o slides. In o de to a hie e the totally a ti e ase the to o the all must mo e about 0. ,
o 0 mm in a 10 m all.
It an the e o e be seen that i a etainin all ith a ohesionless ba ll is held so i idly that little
yield is ossible e. . i it is oined to an ad a ent st u tu e it must be desi ned to ithstand ea th es
su e alues mu h la e than a ti e essu e alues.
I su h a all is om letely est ained it must be desi ned to ta e ea th essu e at est alues, althou h
this ondition does not o ten o u i a all is so est ained that only a small amount o yieldin an ta e
la e, a hin –a ti e onditions may be a hie ed, as in the st uttin o t en h timbe s. In this ase the
assum tion o t ian ula essu e dist ibution is in o e t, the a tual essu e dist ibution bein indete
minate but ou hly a aboli .
I the all yields 0. e ent o its hei ht then the totally a ti e ase is attained and the assum tion
o t ian ula essu e dist ibution is satis a to y. lmost all etainin alls, unless o ed at the to , an
yield a onside able amount ith no det imental e e ts and attain this totally a ti e state.
In the ase o a all ith a ohesi e ba ll, the totally a ti e ase is ea hed as soon as the all yields
but due to lasti ®o ithin the lay the e is a slo build u o essu e on the ba o the all, hi h
ill e entually yield a ain to e a ui e the totally a ti e essu e onditions. his o ess is e etiti e
and o e a numbe o yea s the esultin mo ement o the all may be la e. o su h soils, one an
eithe desi n o hi he essu e o , i the all is elati ely unim o tant, desi n o the totally a ti e ase
bea in in mind that the use ul li e o the all may be sho t.
7.12 esi n parameters for different soil t pes
7.12.1 Active earth condit ions

in to a ious sel om ensatin a to s, the o e ati e alues o the st en th a amete s that dete
mine the alue o the a ti e ea th essu e a e lose to the ea alues obtained om the t ia ial test,
e en althou h a etainin all o e ates in a state o lane st ain. s has been dis ussed in ha te 4,
the alues o these st en th a amete s a y ith both the soil ty e and the d aina e onditions. o
ea th essu e al ulations, attention should be aid to the ollo in .
Sands and gravels

o all sta es o onst u tion and o the e iod a te onst u tion the a o iate st en th a amete is
φ′. It is a o iate to ta e ′ as bein e ual to e o.
Clays
he manne in hi h a lay soil beha es du in its t ansition om an und ained to a d ained state de ends
u on the e ious st ess histo y o the soil and has been des ibed in ha te 4.
Soft or normally consolidated clay

u in and immediately a te onst u tion o a all su o tin this ty e o soil the e ti al e e ti e st ess
is small, the st en th o the soil is at a minimum and the alue o the a ti e ea th essu e e e ted on to
the ba o the all is at a ma imum. te onst u tion and a te su ient time has ela sed, the soil ill
a hie e a d ained ondition. he e e ti e e ti al st ess ill then be e ual to the total e ti al st ess and
the soil ill ha e a hie ed its eatest st en th. t this sta e the e o e the ba o the all ill be sub
e ted to the smallest ossible alues o a ti e ea th essu e i othe a to s do not alte .
b iously it is ossible to use e e ti e st ess analyses to estimate the alue o essu e on the ba o
the all o any sta e o the all’s li e. desi ne is inte ested mainly in the ma imum essu e alues,
hi h o u du in and immediately a te onst u tion. s it is not easy to edi t a u ate alues o o e
ate essu es o this sta e, an e e ti e st ess analysis an be di ult and it is sim lest to use the
und ained st en th a amete s in any ea th essu e al ulations, i.e. assume that φ = 0° and that the
und ained st en th o the lay is u.
s mentioned in ha te 4, the sensiti ity o a no mally onsolidated lay an a y om to 10. I it is
onside ed that the soil ill be se e ely distu bed du in onst u tion then the u alue used in the desi n
al ulations should be the und ained st en th o the lay emoulded to the same density and at the same
ate ontent as the in situ alues.
I e ui ed, the nal essu e alues on the ba o the all, hi h a ly hen the lay is ully d ained,
an be e aluated in te ms o e e ti e st esses usin the e e ti e st ess a amete s φ′ ′ = 0 o a no
mally onsolidated lay . So t lays usually ha e to be su o ted by an embedded all see ha te
and ate essu es a tin on the all must be onside ed in the desi n.
Overconsolidated clay
In the und ained state ne ati e o e ate essu es a e ene ated du in shea . his sim ly means that
this ty e o lay is at its st on est and the essu e on the all is at its minimum alue du in and imme
diately a te onst u tion. he ma imum alue o a ti e ea th essu e ill o u hen the lay has ea hed
a ully d ained ondition and the etainin all should be desi ned to ithstand this alue, obtained om
the e e ti e st ess a amete s φ′ and ′.
With an o e onsolidated lay, ′ has a nite alue i . 4. 2 but, o etainin all desi n, this alue
annot be e a ded as de endable as it ould ell de ease. It is the e o e sa est to assume that ′ = 0
and to o ith φ′ only in any ea th essu e al ulations in ol in o e onsolidated lay. he assum tion
also hel s to allo o any ossible in ease in late al essu e due to s ellin in an e ansi e lay as its
o e ate essu es han e om ne ati e in the und ained state to e o hen ully d ained .
Silts
In many ases a silt an be assumed to be eithe u ely anula , ith the ha a te isti s o a ne sand,
o u ely ohesi e, ith the ha a te isti s o a so t lay. When su h a lassi ation is not ossible then
the silt must be e a ded as a –φ soil. he und ained st en th a amete u should be used o the e alu
ation o a ti e ea th essu es hi h ill be a li able to the e iod o du in and immediately a te
onst u tion. he nal a ti e ea th essu e to hi h the all ill be sub e ted an be dete mined om
an e e ti e st ess analysis usin the a amete s φ′ and ′.
Rain wat er in tension cracks

I tension a s de elo ithin a etained soil and i the su a e o the soil is not ende ed im e ious,
then ain ate an enet ate into them. I the a s be ome ull o ate e an onside that e ha e
a hyd ostati , t ian ula dist ibution o ate essu e a tin on the ba o the all o e the de th o
the a s, 0. he alue o this essu e ill a y om e o at the to o the all to 9. 1 × 0 Pa at the
base o the a s. his ate essu e should be allo ed o in desi n al ulations, see Se tion . .1 and
E am le .4.
he in ess o ate , i olon ed, an lead e entually to so tenin and s ellin o the soil. S ellin
ould a tially lose the a s but ould then ause s ellin essu es that ould a t on the ba o the
all. he edi tion o alues o late al essu e due to soil s ellin is uite di ult.
Sh in a e a s may also o u and, in the , an e tend do n a ds to de ths o about 1. m belo
the su a e o the soil. I ate an enet ate these sh in a e a s then the esultin ate essu es
should be allo ed o as o tension a s.
7.12.2 Passive earth conditions

Granular soils
It is ene ally a eed that, o assi e essu es in a anula soil, the o e ati e alue o φ is lo e than
φt , the ea t ia ial an le obtained om d ained tests, a ti ula ly o hi h alues o φt .
With a anula soil φt is most o ten estimated om the esults o some in situ test su h as the standa d
enet ation test see ha te . It is su ested the e o e that alues o φ, to be used in the dete mina
tion o assi e essu e alues, an be obtained om i . . 1 hi h is a modi ed o m o i . 4. 4 .
he o e ted alue an be used in la e o the di e t blo ount .
Normally consolidat ed clays

s ith the a ti e state, this ty e o lay is at its ea est hen in its und ained state, i.e. du in and
immediately a te onst u tion. o a no mally onsolidated lay the o e ati e st en th a amete is u.
Fig. 7.31 elationshi bet een and φ.

Overconsolidated clays
With this soil its ea est st en th o u s on e the soil has ea hed its d ained state. he o e ati e a am
ete s a e the e o e ′ and φ′, althou h this is an o e sim li ation o the ase hen the le el o soil in
ont o the all has been edu ed by e a ation. In this instan e the e ill be a elie o o e bu den
essu e hi h ould esult in so tenin o u in ithin the soil. When this ha ens some estimation o
the st en th edu tion o the soil must be made, ossibly by shea tests on sam les o the so tened soil.
Silts
s o a ti e essu e, the assi e esistan e o a silt an be estimated eithe om the esults o in situ
enet ation tests o om a d ained t ia ial test. o assi e essu e the a o iate st en th a amete s
a e ′ and φ′.
E ercises
E ercise 7.1
m hi h etainin all ith a smooth e ti al ba etains a mass o d y ohesion

less soil that has a ho i ontal su a e le el ith the to o the all and a ies a
uni o mly dist ibuted load o 10 Pa. he soil ei hs 20 m and has an an le o
shea in esistan e o °.
ete mine the a ti e th ust on the ba o the all e met e len th o all i
ithout the uni o m su ha e and ii ith the su ha e.
Ans ers i 9 . ii 109.2
E ercise 7.2
he ba o a 10. m hi h all slo es a ay om the soil it etains at an an le o

10° to the e ti al. he su a e o the soil slo es u om the to o the all at an
an le o 20°. he soil is ohesionless ith a density o 1 . m and φ′ = °.
I the an le o all i tion, δ = 19°, dete mine the ma imum th ust on the all
a a hi ally and b analyti ally usin the oulomb theo y.
Ans er a and b Pa = 4 .
E ercise 7.3
he soil o le a tin a ainst the ba o a etainin all is sho n in i . . 2.

ssumin that an ine’s onditions a ly, dete mine both the theo eti al late al
ea th essu e dist ibution and the dist ibution that ould be used in desi n, and
s et h the t o essu e dist ibution dia ams.
om the essu e dist ibution that ould be used in desi n, dete mine the
ma nitude o the total th ust that a ts on the all.
ete mine the oint o a li ation o the total th ust, and e ess it as the dis
tan e om the base o the all.
Ans er P= 1 . = 2. m abo e base.

22 Smit h’s Elements of Soil echanics
CLAY: c' = 8 kN/m2

3.0 m γ = 18.5 kN/m3
φ' = 23°
SAND: c' = 0
5.0 m γ = 20 kN/m3
φ' = 32°
Fig. 7.32 E e ise . .
E ercise 7.4
soil has the ollo in o e ties γ = 1 m , φ′ = 0°, ′ = Pa. he soil is

etained behind a m hi h e ti al all and has a ho i ontal su a e le el ith the
to o the all.
I c′w = 5 kPa and δ = 1 °, dete mine the total a ti e ho i ontal th ust a tin on
the ba o the all
i ith no su ha e a tin on the etained soil

ii hen the su a e o the soil is sub e ted to a e ti al uni o mly dist ibuted es
su e o 0 Pa.
se the alues o a and a om the earth pressure coef cients s eadsheet
Ans er i 9. ii 100. a = 0.29 and a = 1.

Ch a p t e r 8
Retaining Structures
8.1 Main types of retaining structures
a ious ty es o etainin st u tu es a e used in i il en inee in , the main ones bein
● mass onst u tion a ity alls

● ein o ed on ete alls
● ib alls
● abion alls
● sheet ile alls
● dia h a m alls
● ein o ed soil alls
● soil nail alls.
he last t o st u tu es a e di e ent om the est in that the soil itsel o ms a t o these st u tu es.
e ause o this undamental di e en e, ein o ed soil and soil nail alls a e dis ussed se a ately at the
end o this ha te .
etainin st u tu es a e ommonly used to su o t soils and st u tu es to maintain a di e en e in ele a
tion o the ound su a e and a e no mally ou ed into a ity alls o embedded alls.
8.2 Gravity walls
8.2.1 Mass const ruction gravity walls

his ty e o all de ends u on its ei ht o its stability and is built o su h a thi ness that the o e tu nin
e e t o the late al ea th essu e that it is sub e ted to, does not indu e the tensile st esses ithin it.
he alls a e built in mass on ete o emented e ast on ete blo s, b i , stone, et . and a e
ene ally used o lo alls they be ome une onomi o hi h alls.
he oss se tion o the all is t a e oidal ith a base idth bet een 0. and 0. h, he e h = the
hei ht o the all. his base idth in ludes any o e tions o the heel o toe o the all, hi h a e usually
not mo e than 0.2 m ea h and a e intended to edu e the bea in essu e bet een the base o the all
and the su o tin soil. I the all is built o on ete, then its idth at the to should be not less than
0.2 m, and e e ably 0. m, to allo o the o e la ement o the on ete.
8.2.2 Reinf orced concret e walls

Cant ilever wall
his all has a e ti al, o in lined, stem monolithi ith a base slab and is suitable o hei hts o u to
about m. y i al dimensions o the all a e i en in i . .1. Its slende ness is ossible as the tensile

221
Fig. 8.1 y es o ein o ed on ete etainin alls.
st esses ithin its stem and base a e esisted by steel ein o ement. I the a e o the all is to be e osed
then ene al a ti e is to o ide it ith a small ba a d batte o about 1 in 0 in o de to om ensate
o any sli ht o a d tiltin o the all.
Relieving platf orms

etainin all is sub e ted to both shea and bendin st esses aused by the late al essu es indu ed
om the soil that it is su o tin . mass onst u tion a ity all an ta e su h st esses in its st ide but
this is not so o the e ti al stem o a ein o ed on ete etainin all. I st u tu al ailu e o the stem
is to be a oided then it must be o ided ith enou h steel ein o ement to esist the bendin moment
and to ha e a su ient thi ness to ithstand the shea st esses, o all se tions th ou hout its hei ht.
It is this situation that im oses a a ti al hei ht limitation o about m on the all stem o a on en
tional etainin all. s a all is in eased in dimensions it be omes less e ible and the late al essu es
e e ted on it by the soil ill tend to be hi he than the a ti e alues assumed in the desi n. It is ossible
the e o e to ente a so t o u a ds s i al – i a all is st en thened to ithstand in eased late al es
su es then its i idity is in eased and the late al essu es a e in eased – and so on.
ay out o the oblem is the o ision o one o mo e ho i ontal on ete slabs, o lat o ms, la ed
ithin the ba ll and i idly onne ted to the all stem. lat o m a ies the ei ht o the mate ial
abo e it u as a as the ne t lat o m i the e a e mo e than one . his e ti al o e e e ts a antile e
moment on to the ba o the all in the o osite di e tion to the bendin moment aused by the late al
soil essu e. he esultin bendin moment dia am be omes a se ies o ste s and the all is sub e ted
to a ma imum bendin moment alue that is onside ably less than the alue hen the e a e no lat o ms
i . .2 .
With the edu tion o bendin moment alues to a mana eable le el, the all stem an be e t slim
enou h o the assum tion o a ti e essu e alues to be ealisti , ith a onse uential mo e e onomi al
onst u tion.
Counterf ort wall

his all an be used o hei hts eate than about m. Its all stem a ts as a slab s annin bet een
the ounte o t su o ts hi h a e usually s a ed at about 0. but not less than 2. m, be ause o
onst u tion onside ations. etails o the all a e i en in i . .1b.
Retaining Struct ures 22
Fig. 8.2 oment elie lat o ms.
Fill
Fill
(a) Crib wall (b) Gabion wall
Fig. 8.3 ib and abion alls.
o m o the ounte o t all is the butt essed all he e the ounte o ts a e built on the a e o the
all and not ithin the ba ll. he e an be o asions hen su h a all is use ul but, be ause o the
e osed butt esses, it an be ome unsi htly and is not e y o ula .
8.2. ri walls
etails o the all a e sho n in i . . a. It onsists o a se ies o ens made u om e ab i ated timbe ,
e ast on ete o steel membe s hi h a e lled ith anula soil. It a ts li e a mass onst u tion a ity
all ith the ad anta e o ui e e tion and, due to its e ible natu e, the ability to ithstand elati ely
la e di e ential settlements. ib all is usually tilted so that its a e has a batte o about 1 in . he
idth o the all an a y om 0. to 1.0 and the all is suitable o hei hts u to about . m. It is
im o tant to note that, a a t om ea th ll, a ib all should not be sub e ted to su ha e loadin s.
8.2. Ga ion walls

abion all is built o uboid metal a es o bas ets made u om a s ua e id o steel ab i , usually
mm in diamete and s a ed mm a a t. hese bas ets a e usually 2 m lon and 1 m2 in oss se tion,
lled ith stone a ti les. ent al dia h a m tted in ea h metal bas et di ides it into t o e ual
1 m se tions, hi h adds stability. u in onst u tion, the stone lled bas ets a e se u ed to ethe ith
steel i e o 2. mm in diamete . he base o a abion all is usually about 0. , and a ty i al all is
illust ated in i . . b. It is seen that a ont a e batte an be o ided by sli htly ste in ba ea h
su eedin laye .
8. Em edded walls
Embedded alls ely on the assi e esistan e o the soil in ont o the lo e a t o the all to o ide
stability. n ho s o o s, he e in o o ated, o ide additional su o t.
8. .1 Sheet pile walls

hese alls a e made u om a se ies o inte lo in iles indi idually d i en into the oundation soil. ost
mode n sheet ile alls a e made o steel but ea lie alls e e also made om timbe o e ast on ete
se tions and may still be en ounte ed. he e a e t o main ty es o sheet ile alls cantilever and anchored.
Cant ilever wall

his all is held in the ound by the a ti e and assi e essu es that a t on its lo e at i . .12 .
Anchored wall
his all is ed at its base, as is the antile e all, but it is also su o ted by a o , o t o o s, o
ties o st uts la ed nea its to i . .1 .
8. .2 iaphragm walls
dia h a m all ould be lassed eithe as a ein o ed on ete all o as a sheet ile all but it eally
me its its o n lassi ation. It onsists o a e ti al ein o ed on ete slab ed in osition in the same
manne as a sheet ile in that the lo e se tion is held in la e by the a ti e and assi e soil essu es
that a t u on it.
dia h a m all is onst u ted by a ma hine di in a t en h in anels o limited len th, lled ith
bentonite slu y as the di in o eeds to the e ui ed de th. his slu y has thi ot o i o e ties, i.e.
it o ms into a el hen le t undistu bed but be omes a li uid hen distu bed. he e is no enet ation
o the slu y into lays, and in sands and silts, ate om the bentonite slu y initially enet ates into the
soil and eates a i tually im e ious s in o bentonite a ti les, only a e millimet es thi , on the sides
o the t en h. he eason o the slu y is that it eates late al essu es hi h a t on the sides o the
sho t t en h anel and thus e ents olla se. When e a ation is om lete the e ui ed steel ein o e
ment is lo e ed into osition. he t en h is then lled ith on ete by means o a t emie i e, the
dis la ed slu y bein olle ted o leanin and u the use.
he all is onst u ted in alte natin sho t anel len ths. When the on ete has de elo ed su ient
st en th, the emainin inte mediate anels a e e a ated and onst u ted to om lete the all. he
len th o ea h anel is limited to the amount that the soil ill a h, in a ho i ontal di e tion, to su o t
the ound until the on ete has been la ed.
he a ious onst u tion sta es a e sho n in a sim li ed o m in i . .4.
bentonite
slurry
(a) (b) (c) (d)

(a) Trench dug (c) Bentonite displaced by concrete
(b) Reinforcement cage inserted (d) Soil excavated in front of wall
Fig. 8.4 he onst u tion sta es o a dia h a m all.

8. . ontiguous and secant ored pile walls

Cont iguous bored pile walls
his ty e o all is onst u ted om a sin le o double o o iles la ed beside ea h othe . lte nate
iles a e ast st and the inte mediate iles a e then installed. he onst u tion te hni ue allo s a s
to be le t bet een iles hi h an e mit an in o o ate in anula onditions. he se ant bo ed ile
all o e s a ate ti ht alte nati e.
Secant bored pile walls

he onst u tion te hni ue is simila to that o the onti uous bo ed ile all, e e t that the alte nate
iles a e d illed at a lose s a in . hen, hile the on ete is still een, the inte mediate holes a e
d illed alon a sli htly o set line so that the holes ut into the st iles. hese holes a e then on eted
to eate a ate ti ht ontinuous all.
8. ailure modes of retaining structures
etainin st u tu es a e desi ned su h that hen onst u ted they ill emain stable and su o t the
ound that they a e etainin . o enable the desi n to o eed, an unde standin o the otential ailu e
modes o the st u tu e must be no n. ommon modes o ailu e, and ho they a e assessed usin
Eu o ode , ha e been illust ated in i . . . dditional e am les o ho di e ent etainin st u tu es
mi ht ail hen onside in i thei o e all stability, ii ailu e o thei oundation and iii thei ailu e by
otation embedded alls a e illust ated in i u es . , . and . .
Fig. 8.5 E am les o limit modes o o e all stability o etainin st u tu e based on i 9.1, E 199 1 2004 .
Fig. 8.6 E am les o limit modes o oundation ailu es o a ity alls based on i 9.2, E 199 1 2004 .
Fig. 8.7 E am les o limit modes o otational ailu es o embedded alls based on i 9. , E 199 1 2004 .
he t aditional a oa h o the desi n o etainin st u tu es in ol ed establishin the atio o the

esto in moment o o e to the distu bin moment o o e and de la in this atio as a a to o
sa ety, o any o the situations illust ated in i u es . , . and . . his a to had to be hi h enou h
to allo o any un e tainties in the soil a amete s used in the analysis, and the a oa h as ene ally
e e ed to as the factor of safety o gross pressure a oa h. E am le .2 illust ates the use o this
method o a antile e etainin all. he limit state desi n a oa h set out in Eu o ode is o ou se
no used instead.
8. esign of gravity retaining walls
8. .1 imit states
he ollo in limit states should be onside ed
1 e tu nin i s. . a and . b . o a all to be stable the esultant th ust must be ithin the base.
ost alls a e so desi ned that the th ust is ithin the middle thi d o the base.
2 ea in ailu e o the soil beneath the st u tu e i . . . he o e tu nin moment om the ea th’s
th ust auses hi h bea in essu es at the toe o the all. hese alues must be e t ithin sa e
limits – usually not mo e than one thi d o the su o tin soil’s ultimate bea in a a ity.
o a d slidin i . . d . aused by insu ient base i tion o la o assi e esistan e in ont o
the all.
4 Sli o the su oundin soil i . . e . his e e t an o u in ohesi e soils and an be analysed as
o a slo e stability oblem.
St u tu al ailu e aused by aulty desi n, oo o manshi , dete io ation o mate ials, et . i . . .
E essi e de o mation o the all o ound su h that, ad a ent st u tu es o se i es ea h thei
ultimate limit state.
n a ou able see a e e e ts and the ade ua y o any d aina e system o ided.
Retaining St ructures 22
8. .2 earing pressures on soil

he esultant o the o es due to the essu e o the soil etained and the ei ht o the all sub e t the
oundation to both di e t and bendin e e ts.
Let be the esultant o e on the oundation, e unit len th, and let be its e ti al om onent
i . . a . onside in unit len th o all
B2
Section modulus of foundation =
6
Rv 6Rve Rv 6e
Maximum pressure on base = Direct pressure + pressure due to b ending = + = 1+
B B2 B B
Rv 6e
Minimum pressure on base = 1−
B B
he o mulae only a lies hen is ithin the middle thi d hen is on the middle thi d i . . b,
then
B
e=
6
2Rv
⇒ Maximum pressure = , Minimum pressure = 0
B
I the esultant lies outside the middle thi d i . . the o mulae be ome
2Rv
Maximum pressure = ; Minimum pressure = 0
3x
8. . ase resist ance to sliding

Granular soils and drained clays
he base esistan e to slidin is e ual to tan δ he e δ is the an le o i tion bet een the base o the
all and its su o tin soil, and is the e ti al ea tion on the all base. In limit state desi n, the slidin
Fig. 8.8 ea in essu es due to a etainin all oundation.

limit state ill be satis ed i the base esistan e to slidin is eate than, o e ual to, h, the ho i ontal
om onent o the esultant o e a tin on the base. In the a to o sa ety a oa h, the atio tan δ
h is dete mined to establish the a to o sa ety a ainst slidin . It is ommon a ti e to ta e the assi e
esistan e om any soil in ont o a a ity all as e ual to e o, sin e this soil ill be small in de th and
in a distu bed state ollo in onst u tion o the all.
In the ase o a d ained lay any alue o e e ti e ohesion, c′w ill be so small that it is best i no ed .
Undrained clays
he adhesion bet een the su o tin soil and the base o a a ity o ein o ed on ete all an be
ta en as e ual to the alue used in the dete mination o the a ti e essu e alues and based on the
alue o u
Resistance to sliding = c w × Area of base of wall
8. . Earth pressure coef cients

u in the desi n o etainin alls it is o ten a o iate to use an ine’s a and , su h as in the ase
o antile e a ity alls see E am le .2 . o e e , hen an ine’s onditions do not a ly e. . he e
i tion e ists bet een all and soil , nne o E 199 1 2004 o ides uidan e and a set o ha ts
that may be used to dete mine the ho i ontal om onents o a and o a i en δ φ′ atio the o i
endum to E 199 1 2004, ublished in 2009, o the ational nne to E 199 1 2004 should be
used as the o i inal E 199 1 2004, ontained some ublished e o s . ha ts o both ho i ontal and
in lined etained su a es a e i en, and the ha t to dete mine the ho i ontal om onent o a o a
ho i ontal ound su a e behind the all is ed a n in i . .9. he data on the ha ts a e based on the
o o e isel and bsi 1990 , see Se tion . . .
1.0
0.9
0.8
0.7
0.6
0.5
0.4
Ka
0.3
0.2
δ/φ′ = 0
δ/φ′ = 0.66
δ/φ′ = 1
0.1
0 5 10 15 20 25 30 35 40 45
Design values of φ′
Fig. 8.9 oe ients a ho i ontal om onent o ho i ontal etained su a e based on i . .1.1 in

E 199 1 2004 .
Retaining Structures 22
E ample 8.1 Mass concrete wall overturning and sliding y

Eurocode
he the o osed desi n o the mass on ete etainin all sho n in i . .10a. he
all is to be ast into the oundation soil to a de th o 1.0 m and ill etain anula ll
to a hei ht o 4 m as sho n. a e the unit ei ht o on ete as γ = 24 m om
E 1991 1 1 2002 and i no e any assi e esistan e om the soil in ont o the all.
he the o e tu nin and slidin limit states, usin esi n oa h 1.
Solut ion:
a e tu nin
Sin e the all is ounded into soil, the ound ill ont ibute to the stability and
the e o e o e tu nin is he ed usin the E limit state. o esi n oa h 1
e must he both a tial a to sets ombinations.
1. Combination 1 (partial factor sets A1 + M1 + R1)
om able .1 γ un a = 1. γ a = 1.0 γ = 1. γ φ′ = 1.0.
i st, e dete mine the desi n mate ial o e ties and the desi n a tions
(i) esign material properties
Retained ll
tan φ′ tan 32°
φd′ = tan− 1 = tan− 1 = 32°
γ φ′ 1 .0
Eu o ode states that o on ete alls ast into the soil, δ should be ta en
as e ual to the desi n alue o φ, i.e. δ/ φd′ = 1. om i u e .9, the ho i ontal
om onent o a = 0.2 .
oundation soil
tan φ′ tan 28°
φd′ = tan− 1 = tan− 1 = 28°
γ φ′ 1 .0
om i u e .9, the ho i ontal om onent o a = 0. .
(ii) esign actions
he sel ei ht o the all is a e manent, a ou able a tion. onside the
all as om isin th ee a eas as indi ated in i . .10a. he desi n ei ht
o ea h a ea is dete mined
urcharge = 20 a
1 m
Retained fill:
c′ = 0 φ′ = 32° Ka × γ × h Ka × q
0m γ= 1 m3 = 0 2 ×1 × = 0 2 × 20
= 1 0 a = 0 a
20m
21 a
10m 0 a
undati n s il:
c′ = 0 φ′ = 2 ° 2 a
2 m
γ = 20 m3
(a) Retaining wall (b) Earth pressure diagram (DA1-1)
Fig. 8.10 E am le .1.

1
Area 1: GW1;d = × 0.8 × 3 × γ concrete × γ G,fav = 1.2 × 24 × 1.0 = 28.8 kN
2
Area 2: GW 2;d = 1.8 × 3 × γ concrete × γ G,fav = 5.4 × 24 × 1.0 = 129.6 kN
Area 3: GW 3;d = 2.6 × 2 × γ concrete × γ G, fav = 5.2 × 24 × 1.0 = 124.8 kN
he th ust om the a ti e ea th essu e behind the all is a e manent, un a
ou able a tion. alues o the a ti e ea th essu e a e indi ated on i . .10b.
1
Pa;d (fill) = × 18.0 × 4 × γG ,unfav = 48.6 kN
2
1
Pa;d (foundation soil) = × ( 21.6 + 27.6)× 1.0 × γG ,unfav = 33.2 kN
2
he late al th ust om the su ha e is a a iable, un a ou able a tion
Pq ;d (fill) = 5.0 × 4 × γ = 30.0 kN
Pq ;d (foundation soil) = 6.0 × 1.0 × γ = 9.0 kN
(iii) esign effect of actions and design resistance
he e e t o the a tions is to ause the o e tu nin moment about the toe o the
all. his is esisted by the stabilisin moment om the sel ei ht o the all.
Magnit ude of Mo ent

Act ion Act ion (k e e a ( (k
St abilising:
2
ea 1 2 . × 0.8 = 0.53 1 .
3
1.8
ea 2 129. 0. 8 + = 1. 7 220.
2
2.6
ea 124. = 1. 3 1 2.2
2
otal 9 .
Dest abilising:
4
Pa ll 4 . 1+ = 2.33 11 .0
3
1.0 ( 2 × 21.6 + 27.6)
Pa oundation soil .2 = 0.48 1 .9
3( 21.6 + 27.6)
4
P ll 0.0 1.0 + = 3 .0 90.0
2
1.0
P oundation soil 9.0 = 0. 5 4.
2
otal 22 .4
om the esults it is seen that the limit state is satis ed sin e the sum o the
desi n destabilisin a tions and e e ts 22 .4 m is less than the sum o
the desi n stabilisin a tions and e e ts 9 . m.
his esult may be esented by the over design factor, Γ
397.8
Γ= = 1.78
223.4
Retaining Structures 2 1
2. Combination (partial factor sets A + M + R1)

he a tial a to s no a e γ a = 1.0 γ un a = 1.0 γ = 1. γ φ′ = 1.25. he
al ulations a e the same as o ombination 1 e e t that this time these a tial
a to s a e used.
tan φ′ tan 32°

Fill: φd′ = tan− 1 = tan− 1 = 26.6°
γ φ′ 1.25
tan φ′ tan 28°
Foundation soil: φd′ = tan− 1 = tan− 1 = 23°
γ φ′ 1..25
Stabilisin moments
M A1 = 15.4 kNm
MA2 = 220.3 kNm
MA 3 = 162.2 kNm
Tot al = 397.9 kNm
estabilisin moments
MPfill = 104.8 kNm

MPfoundation = 14.6 kNm
M Qfill = 97.3 kNm
M Qfoundat ion = 4.8 kNm
Tot al = 221.6 kNm
hus, the E limit state is satis ed and the o e desi n a to ,
397.9
Γ= = 1.80.
221.6
b Slidin
s be o e e must he both a tial a to sets ombinations.
om able .1 γ un a = 1. γ a = 1.0 γ = 1. γ φ′ = 1.0 .
he desi n alues a e dete mined as be o e
etained ll φd′ = φ′ = 32º a = 0.2 .
oundation soil φd′ = φ′ = 28º a = 0. 0.
(ii) esign actions
he desi n total ei ht o the all is dete mined
Rv ;d = 28.8 + 129.6 + 124.8 = 283.2 kN
he late al th usts a e as be o e.
he e e t o the a tions is to ause o a d slidin o the all. his is esisted
by the i tion on the unde side o the all.
otal ho i ontal th ust, h d = 4 . + .2 + 0.0 + 9.0 = 120.
esi n esistan e = d tan γ = 2 .2 × tan 2 ° = 1 0. sin e δ = φ′
hus the E limit state e ui ement is satis ed and the o e desi n a to ,

150.6
Γ= = 1.25.
120.8
2. ombination 2 a tial a to sets 2 + 2 + 1
he a tial a to s a e γ a = 1.0 γ un a = 1.0 γ = 1. γ φ′ = 1.25. he al ula
tions a e the same as o ombination 1 e e t that this time these a tial a to s
a e used.
Ka (fill) = 0.31
Ka (foundation soil) = 0.37
Rv ;d = 283.2 kN
Rh;d = 44.9 + 30.4 + 32.5 + 9.7 = 117.5 kN
Rv ;d tan δ = 283.2 × tan 23° = 120.2 kN
hus the E limit state is satis ed and the o e desi n a to ,
120.2
Γ= = 1.03.
117.5
e ie
he E limit state is satis ed o both he s and thus the o osed desi n o the
all is satis a to y. he lo est alue o Γ obtained in this ase 1.0 o e ns the desi n.
nne o E 199 1 2004 also i es o mulae hi h may be used to dete mine se a ate a ti e ea th
essu e oe ients o su ha e loadin s a and o ohesion in the soil a . E am le .1 has no
ohesion a = 0 but does ha e a su ha e. ut, as the su a e o the soil is ho i ontal, a is e ual
to a.
E ample 8.2 Strength and sta ility chec s y traditional and

Eurocode approaches
he o osed desi n o a antile e etainin all is sho n in i . .11. he unit ei ht o the

on ete is 2 m E 1991 1 1 2002 and the soil has ei ht density 1 m . he soil ea
st en th a amete s a e φ′ = °, ′ = 0 and the desi n bea in esistan e o the soil beneath the
all has been al ulated to be 2 0 Pa. he etained soil a ies a uni o m su ha e o intensity
10 Pa. I no e any assi e esistan e om the soil in ont o the all.
he the sa ety o the o osed desi n
a by the t aditional oss essu e method assume oe ient o i tion bet een base o all
′
and soil to e ual tan φpeak
b a ainst the E esi n oa h 1 limit state o Eu o ode .
Solut ion:
ote When the etained soil is su o ted by a heel, the desi n assumes a i tual lane as sho n
in i u e .11a o ided that the heel idth, b satis es the ine uality.
0.4m q = 10kPa
Pq
5m
0.5m Pa
“virtual plane”
0.4m
A
3m
(a) Wall geometry ( ) Pre ure i tri ution
Fig. 8.11 E am le .2.
φ′
b ≥ h tan 45° −
2
I the heel idth satis es the abo e ine uality it does in this e am le , an ine’s onditions a ly
alon this a e and the ea th essu es a tin he e a e established in the desi n.
a oss essu e method
Slidin
sin an ine’s theo y ith φ′ = ° a = 0.2
1 1
Active thrust from soil, Pa = K aγ h2 = × 0.238 × 18 × 52 = 53.6 kN
2 2
Active thrust due to surcharge, Pq = Kaqh = 0.238 × 10 × 5 = 11.9 kN
∑ H = 65.5 kN
Vertical reaction, Rv = weight of base + weight of stem + soil on heel (incl. surcharge)
= 25(0.4 × 3.0) + 25(0.4 × 4.6) + (2. × 4.6 ) + ( 0 × 2. )
= 30.0 + 46.0 + 3. + 2 . 0
= 2 0.
Total force causing sliding , Rh = 65.5 kN
Force resisting sliding = Rv tan δ = 270.9 × tan 38° = 211.7 kN
211.7
Factor of safety against sliding , Fs = = 3. 2
65.5
e tu nin
a in moments about oint , the toe o the all.
istu bin moment,
5 5
MD = Pa × + Pq ×
3 2
= 89.3 + 29.8
= 119.1 kNm
esistin moment,
Due to base = 30.0 × 1.5 = 45.0 kNm
Due to stem = 46.0 × 0.7 = 32.2 kNm
Due to soil on heel = 194.9 × 1.95 = 380.1 kNm
MR = 45.0 + 32.2 + 380.1 = 457.3 kNm
457.3
Factor of safety against overturning , Fo = = 3 .8
119.1
ea in a a ity
onside moments about oint .
I a ts at a distan e om , then
Rv x = 457.3 − 119.1 = 338.2 kNm
that is
338.2
x= = 1.25 m (within middle third of base)
270.9
3
Eccentricity of Rv, e = − 1.25 = 0.25 m
2
Rv 6e 270.9 6 × 0.25
Maximum bearing pressure = 1+ = 1+ = 135.5 kPa
B B 3 3
250
Factor of safety against bearing capacity failure, Fb = = 1.85
135
5 .5
b Eu o ode
o the o e all stability o the all, on e a ain e he sa ety a ainst the E limit state.
om able .1 γ un a = 1. γ a = 1.0 γ = 1. γ φ′ = 1.0.
1− sin φd
φd′ = 38º: Using Rankine’ s theory, Ka = = 0.238.
1+ sin φd
(ii) esign actions
In slidin and o e tu nin , the ei ht o the all is a e manent, a ou able a tion. he
in uen e o the su ha e on the soil on the heel is i no ed sin e t ansient a iable
a tions an ne e be onside ed a ou able.
Stem: Gstem;d = 0.4 × 4.6 × γ concrete × γ G; fav = 1.84 × 25 × 1.0 = 46.0 kN

Base: Gbase;d = 0.4 × 3.0 × γ concrete × γ G; fav = 1.2 × 25 × 1.0 = 30.0 kN
Soil on heel: Gheel;d = 2.1× 4.6 × γ × γ G; fav = 9.66 × 18 × 1.0 = 173.9 kN
Total, Rv;d: 249.9 kN
he th ust om the a ti e ea th essu e is a e manent, un a ou able a tion.
1
Pa;d = × 0.238 × 18 × 52 × γ G;unfav = 72.3 kN
2
he late al th ust om the su ha e is a a iable, un a ou able a tion.
Pq ;d = 0.238 × 10 × 5 × γ Q = 17.8 kN

Slidin
Total horizontal thrust , Rh;d = 72.3 + 17.8 = 90.1 kN

Design resistance = Rv ;d tan δ = 249.9 × tan 38° = 195.2 kN (since δ = φ′ )
he E limit state e ui ement o slidin is satis ed and the o e desi n a to
195.2
Γ= = 2.17
90.1
e tu nin
5 5
Destabilising moment , M dst = 72.3 × + 17.8 × = 165.0 kNm
3 2
Stabilising moment , M stb = 46.0 × 0.7 + 30.0 × 1.5 + 173.9 × 1.95 = 416.3 kNm
he E limit state e ui ement o o e tu nin is satis ed sin e dst < stb , and the
o e desi n a to
416.3
Γ= = 2.52
165.0
ea in
om abo e, destabilisin moment = 1 .0 m
Stabilisin moment
he ei ht o the all, is no onside ed as an un a ou able a tion and in ludes the
su ha e a tin on the soil on the heel
M stb = M stem + Mbase + Mheel

= (46.0 × 0.7 + 30.0 × 1.5 + 173.9 × 1.95)× γ G;unfav + (21.0 × 1.95)× γ Q = 623.4 kNm
Rv ;d = (46.0 + 30.0 + 173.9 )× γ G;unfav + 21.0 × γ Q = 368.9 kN
623.4 − 165.0
Lever arm of Rv;d, = = 1.24 m (within middle t hird of ba e
368.9
Eccentricity, e = 1.5 − 1.24 = 0.26 m
Rv;d 6e 368.9 6 × 0.26

B B 3 .0 3 .0
he E limit state e ui ement o bea in is satis ed and the o e desi n a to
250
Γ= = 1.34
186.9
he al ulations a e the same as o ombination 1 e e t that this time the ollo in a tial
a to s om able .1 a e used γ un a = 1.0 γ a = 1.0 γ dst = 1. γ φ′ = 1.25. he
a ou able a tions a e the same as o ombination 1 sin e γ a = 1.0.
tan φ′ tan 38°

φd′ = tan− 1 = tan− 1 = 32°°; Ka = 0.307
γ φ′ 1.25
Slidin
Rv;d = 249.9 kN
Rh;d = 69.1+ 20.0 = 89.1 kN
Rv;d tan δ = 249.9 × tan 32° = 156.2 kN
he E limit state e ui ement o slidin is satis ed and the o e desi n a to
156.2
Γ= = 1.75.
89.1
e tu nin
estabilisin moment
5 5
Destabilising moment , M dst = 69.1× + 20.0 × = 165.2 kNm
3 2
Stabilising moment , M stb = 416.3 kNm

416.3
The GEO limit state requirement for overturning is satisfie
ed and Γ = = 2.52
165.2
ea in
M stb = M stem + Mbase + Mheel

= (46.0 × 0.7 + 30.0 × 1.5 + 173.9 × 1.95)× γ G;unfav + (21.0 × 1.95)× γ Q = 469.5 kNm
Rv;d = (46.0 + 30.0 + 173.9 )× γ G;unfav + 21.0 × γ Q = 277.2 kN
469.5 − 165.2
Lever arm of Rv ;d, = = 1.1 m (within middle third of base)
277.2
Eccentricity, e = 1.5 − 1.1 = 0.4 m
Rv;d 6e 277.2 6 × 0. 4
B B 3 .0 3 .0
he E limit state e ui ement o bea in is satis ed and the o e desi n a to
250
Γ= = 1.50.
166.3
8. esign of sheet pile walls
sheet ile all is a e ible st u tu e hi h de ends o stability u on the assi e esistan e o the soil in
ont o and behind the lo e a t o the all. Stability also de ends on the an ho s hen in o o ated.
etainin alls o this ty e di e om othe alls in that thei ei ht is ne li ible om a ed ith the
emainin o es in ol ed. esi n methods usually ne le t the e e t o i tion bet een the soil and the
all, but this omission is ai ly satis a to y hen dete minin a ti e essu e alues. It should be emem
be ed ho e e , that the e e t o all i tion an almost double the an ine alue o .
8. .1 antilever walls
Sheet ile alls a e e ible and su ient yield ill o u in a antile e all to i e totally a ti e ea th
essu e onditions i . .12 .
Let the hei ht o the all be h, and su ose it is e ui ed to nd the de th o embedment, d, that ill
ma e the all stable. o e uilib ium the a ti e essu e on the ba o the all must be balan ed by
the assi e essu e both in ont o and behind the all. I an a bit a y oint is hosen and it is assumed
that the all ill otate out a ds about this oint, the theo eti al essu e dist ibution on the all is as
sho n in i . .12 . he toe o the all oint , i . .12a is dee enou h su h that the onditions that
e ail a e no n as ed earth onditions.
Limit st ate design met hod t o establish required design depth

he de th, d, is obtained by balan in the distu bin and esto in moments about , to ethe ith the
ho i ontal o es established usin the essu e dist ibution sho n in i . .12 . In Eu o ode the E
Fig. 8.12 P essu e dist ibution on sheet ile all.

2 8 Smit h’s Elements of Soil Mechanics
limit state is a lied to assess the otational stability usin this theo eti al essu e dist ibution. he
method ene ates t o e uations ontainin the un no ns d and d 0, hi h a e sol ed by e eated ite a
tion until the o e t alues a e obtained.
E am le . illust ates the desi n o a antile e sheet ile all usin the E limit state.
Tradit ional methods

a ious t aditional methods o desi n e ist and some a e still in use. Ea h in ol es the dete mination o
an o e all a to o sa ety o assi e esistan e, , based on di e ent late al ea th essu e dist ibutions.
he methods a e des ibed in detail by Pad eld and ai 19 4 .
1 ross pressure method

he method is also e e ed to as the P2 method, a te the Institution o St u tu al En inee s’ o i inal
ode o P a ti e ublished in 19 1. It is e y unli ely that the ull assi e esistan e o the soil in
ont o the all ill be de elo ed. ommon a ti e is to di ide the total theo eti al alue o th ust
γd 2 2 by a a to o sa ety, t aditionally ta en as = 2.0. he e e ti e assi e esistan e in ont
o the all is the e o e assumed to ha e a ma nitude o γd 2 4 and is o t a e oidal dist ibution, the
ent e o essu e o this t a e ium lyin bet een d 2 and d abo e the base o the ile o ease
o al ulation the alue is ene ally ta en as d . It is ommon to use lo e alues o o lo alues
o φ′. Pad eld and ai 19 4 e ommend the alues i en in able .1.
a le 8.1 e table alues o an es o φ′ Pad eld and ai , 19 4 .
φ′ F
de ees
> 0 2.0
20– 0 1. –2.0
< 20 1.
al ulations a e onside ably sim li ed i it is assumed that the assi e esistan e on the ba o
the all, P 1, a ts as a on ent ated load, , on the oot o the ile, leadin to the essu e dist ibu
tion sho n in i . .12d, om hi h d an be obtained by ta in moments o th usts about the base
o the ile. he alue o d obtained by this method is mo e nea ly the alue o d 0 in i . .12a, the
ustoma y a ti e bein to in ease the alue o d by 20 to allo o this e e t.
2 et available passive resistance method
he method is also e e ed to as the u land, Potts and Walsh method a te u land et al 19 1 .
hey ad o ate a modi ed essu e dist ibution i . .12e ith the e e t that the a to o sa ety is
a lied to the net a ailable assi e esistan e.
et total pressure method
his as ad o ated by itish Steel in the ritish Steel piling handboo 199 , he e the net ho i ontal
essu e dist ibution is used i . .12 . he essu e dist ibution is de i ed by subt a tin the a ti e
ea th and ate essu es om the assi e ea th and ate essu es.
8. .2 ealing with passive earth pressure

he e is a uestion o e ho assi e essu e should be t eated hen usin the Eu o ode E limit
state, as it ould be e a ded as eithe a favourable action o as a resistance.
i.e. to establish the desi n assi e esistan e e ha e eithe
Pp ;d = Pp ;k × γ G; fav
o
Pp ;k
Pp ;d =
γRe
he alues o both γ a and γ e o ea h desi n a oa h, ta en om able .1, a e esented in able

.2. om the table it is lea that the uestion is only o on e n hen usin esi n oa h 2. o the
othe desi n a oa hes both γ a and γ e a e 1.0 and thus P d ill be e ual to P .
he e ailin ie S hu ene , 200 is that the assi e th ust o a ity alls should be t eated as
a esistan e, thus e en the on e n hen usin esi n oa h 2 is add essed. u the , it ould be
a ued that on e onside ation has been i en o an un lanned e a ation, the ont ibution to stability
om any assi e esistan e ill be small and ould, onse ati ely, be i no ed.
o e e , the uestion ains a bit o additional on usion hen onside in embedded alls. e allin
that the u ose o a a tial a to o sa ety is to allo o the un e tainty in the de i ed ha a te isti
alue, then any desi n a tion e. . a ti e th ust dete mined om a soil o e ty e. . an le o shea in
esistan e, φ′ ill ontain the same de ee o un e tainty in its alue as any othe a tion e. . assi e
th ust hi h is dete mined om the same soil o e ty. In the ase o an embedded all he e the same
soil e ists on both sides o the all, this means that the un e tainty in the a ti e th ust ta en u by the
a li ation o the e manent, un a ou able a tial a to , γ ,un a must be the same as that in the assi e
th ust. We must the e o e onside the assi e th ust also to be a e manent, un a ou able a tion. his
ollo s om the Single Source rinciple in hi h a tions omin om the same sou e must be ombined
ith a sin le a tial a to o sa ety. Indeed E 199 1 2004 states the ollo in
E nfavourable (or destabilising) and favourable (or stabilising) permanent actions may in some
situations be considered as coming from a single source f they are considered so a single partial
factor may be applied to the sum of these actions or to the sum of their effects
able . u dates able .2 ith the in lusion o the e manent, un a ou able a tial a to s, γ un a .
a le 8.2 alues o γ a and γ e o ea h desi n a oa h.
e ign A oac
1 2 3
o inat ion 1 o inat ion 2
γ a 1.0 1.0 1.0 1.0

γ e 1.0 1.0 1.4 1.0
a le 8.3 alues o γ a ,γ un a and γ e o ea h desi n a oa h.
e ign A oac
1 2 3
o inat ion 1 o inat ion 2
γ a 1.0 1.0 1.0 1.0

γ un a 1. 1.0 1. 1.0
γ e 1.0 1.0 1.4 1.0
o e see that t eatin the assi e th ust as a e manent, un a ou able a tion a e ts esi n
oa h 1 ombination 1 and esi n oa h 2. In the he e esi n oa h 1 is ado ted,
the ea th esistan e a tial a to γ e = 1.0 and thus it is a o iate to t eat assi e essu e as a e
manent, un a ou able a tion sin e the th ust de i es om the same sou e as the a ti e essu e and the
le el o un e tainty in its alue is the same i.e. a li ation o sin le sou e in i le .
E ample 8. antilever sheet pile wall
al ulate the minimum de th o embedment, d, to o ide stability to a antile e sheet ile all,
etainin an e a ated de th o m usin
a Eu o ode E limit state, esi n oa h 1
b oss essu e method.
he soil ′ = 30°, ′ = 0, γ = 20
o e ties a e φpeak m.
Solut ion:
he oblem is illust ated in i . .1 a.
a Eu o ode , E Limit State, esi n oa h 1
llo an e is made o a utu e un lanned e a ation Δ a e ual to 10 o the lea hei ht
= 0. m . he essu e dist ibution is sho n in i . .1 b.
om able .1 γ un a = 1. γ φ′ = 1.0.
tan φ′ tan 30°
φd′ = tan− 1 = tan− 1 = 30°
γ φ′ 1 .0
5m
0 5m
Pa1
d0 Pp1
d
O
Pa2 Pp2
B
(a) Wall geometry (b) Pressure distribution
Pa1
Pp1
R
(c) Simplified pressure distributino
Fig. 8.13 E am le . .
sin an ine’s theo y, a = 0. , = .0

It is a o iate to use an ine’s theo y as the steel sheet ilin an be assumed to be
smooth and thus no i tion e ists bet een all and soil .
he ea th essu es a tin at the salient oints in the dist ibution a e established.
ehind all
p a,O = 0.333 × 20 × (d 0 + 5.5) = 6.67(d 0 + 5.5) kPa
p p ,O = 3.0 × 20 × (d 0 + 5.5) = 60(d 0 + 5.5) kPa
p p ,B = 3.0 × 20 × (d + 5.5) = 60(d + 5.5) kPa
In ont o all
p p ,O = 3.0 × 20 × d 0 = 60d 0 kPa
p a,O = 0.333 × 20 × d 0 = 6.67d 0 kPa
p a,B = 0.333 × 20 × d = 6.67d kPa
esign actions
he a ti e th ust due to the ea th essu e is a e manent, un a ou able a tion
1
Pa1;d = × 6.67(d 0 + 5.5)× (d 0 + 5.5)× γ G;unfav = 3.33(d0 + 5.5)2 × 1.35 = 4.5(d 0 + 5.5)2
2
1
Pa2;d = × (6.67d 0 + 6.67d )× (d − d 0 )× γ G;unfav = 4.5(d 0 + d )× (d − d 0 ) = 4.5(d 2 − d 20 )
2
he assi e essu es is t eated as a e manent, un a ou able a tion
1
Pp1;d = × 60d 0 × d0 × γ G;unfav = 40.5d 02
2
1
Pp 2;d = × (60(d + 5.5) + 60(d 0 + 5.5))× (d − d 0 )× γ G;unfav
2
= 40.5(d − d 0 )[(d + 5.5) + (d0 + 5.5)] = 40.5(d 2 − d 20 ) + 445.5(d − d 0 )
Effect of actions
onside moments about oint .
Fo ce (k e e a ( Mo ent (k
Pa1 d 4. d 0 + . 2 (d 0 + 5.5) 1. d 0 + .
3
Pa2 d 4.5(d 2 − d 20 ) (d − d 0 )(2d + d 0 ) † 1.5 × ( d 2 − d 20 ) (d − d 0 )(2d + d 0 )
3(d + d 0 ) (d + d 0 )
P 1d 40.5d 20 d0 13.5d 30
3
†
P 2d 40.5(d 2 − d 20 ) + 445.5(d − d 0 ) (d − d 0 )(2d + d O + 16.5) [ 40.5(d2 − d 20 ) + 445.5(d − d0 )]
3(d + d 0 + 11) (d − d 0 )(2d + d O + 16.5)
×
3(d + d 0 + 11)
†
hese o mulae a e established om the a t that the th ust a ts th ou h the ent oid o a t a e oidal sha ed a t
o the essu e dist ibution. he le e a m is e ual to (d − d 0 )(2p p , B + p p ,O ). o a sim listi a oa h, the th ust
3(p p ,O + p p , B )
(d − d 0 )
ould be onside ed as a tin at mid hei ht, i.e. le e a m ≈ .
2
d and d 0 a e obtained by esol in the moment and o e e uilib ium e uations, hi h ne essitates the use o a
o ammable al ulato o s eadsheet su h as the s eadsheet E ample ls, a ailable o do nload
Σ MO = 0
MPp1 + MPp 2 − MPa1 − MPa2 = 0
(d − d 0 )(2d + d O + 16.5)
13.5d 03 + [40.5(d2 − d 20 ) + 445.5(d − d 0 )]×
3(d + d 0 + 11)
1.5 × ( d 2 − d 20 ) (d − d0 )(2d + d 0 )
− 1.5(d 0 + 5.5)3 − = 0 1
(d + d 0 )
ΣH = 0
i.e. Pp1;d + Pa2;d − Pa1;d − Pp 2;d = 0
40.5d 20 + 4.5(d 2 − d 20 ) − 4.5(d 0 + 5.5)2 − [40.5(d 2 − d 20 ) + 445.5(d − d 0 )] = 0 2
E uations 1 and 2 sol e o
d 0 = 5. 0 m
d = 5.3 m
a to s a e used γ un a = 1.0 γ φ′ = 1.25.
he ollo in e essions a e then de i ed a = 0.409 = 2.444
Σ MO = 0
MPp1 + MPp 2 − MPa1 − MPa2 = 0
(d − d 0 )(2d + d O + 16.5)
8.13d 03 + [24.4(d 2 − d 20 ) + 268.4(d − d 0 )]×
3(d + d 0 + 11)
1.36 × ( d 2 − d 20 ) (d − d 0 )(2d + d 0 )
− 1.36(d 0 + 5.5)3 − = 0 1
(d + d 0 )
ΣH = 0
i.e. Pp1;d + Pa2;d − Pa1;d − Pp 2;d = 0
24.4d 20 + 4.09(d 2 − d 20 ) − 4.09(d 0 + 5.5)2 − [24.4(d 2 − d 20 ) + 268.4(d − d 0 )] = 0 2
sin E ample ls
d 0 = 6 .4 m
d = 7.2 m
b oss essu e method
In the oss essu e method, the net assi e esistan e belo the oint o otation is e la ed
by the ho i ontal o e , as sho n in i . .14.
sin an ine’s theo y ith φ′ = 0° Ka = 31 = .0.
Fo ce (k e e a ( Mo ent (k
20 (5 + d 0 ) 10
Pa (5 + d 0 )2 (5 + d 0 )3
2× 3 3 9
d0
P 15d 20 5d 03
3
Fig. 8.14 E am le . .
inimum de th is e ui ed, and sin e = 2.0 has al eady been a lied to the essu e dis
t ibution see Se tion . .1 ,
5d 03 9d 03
= =1
10 2(5 + d 0 )3
(5 + d 0 )3
9
d 0 = 7. 7 m
o obtain the desi n de th, d, d 0 is in eased by an amount e ual to the e tent e ui ed to
ene ate a net assi e esistan e o e belo the oint o otation at least as la e as . is
obtained om sim le ho i ontal o e e uilib ium . his demands additional al ulations and it
is ommon a ti e to a oid this by sim ly in easin d 0 by 20 e ent to i e d.
i.e., d = d 0 × 1.2 = 7.7× 1.2 = 9.24 m.
8. . nchored and propped walls

When the to o a sheet ile all is an ho ed, a onside able edu tion in the embedment de th an be
obtained. ue to this an ho a e the late al yield in the u e a t o the all is simila to the yield in a
timbe ed t en h see Se tion . , he eas in the lo e a t the yield is simila to that o a etainin all
yieldin by otation. s a esult the essu e dist ibution on the ba o an an ho ed sheet ile is a om
bination o the totally a ti e and the a hin a ti e ases, the obable essu e dist ibution is indi ated
in i . .1 b. In a ti e the essu e dist ibution behind the all is assumed to be totally a ti e.
T T
A A
h
lp la
Pa
d Pp
(a) Anchored sheet pile wall (b) Distribution assumed for design
Fig. 8.15 ee ea th su o t method o an ho ed sheet iled alls.

Possible failure zone
φ (a)
(b)
(c)
Fig. 8.16 n ho a e systems o sheet ile alls.
he an ho o o o e e ui ed an be obtained by e uatin ho i ontal o es = Pa − P , om

hi h a alue is obtained e met e un o all. he esultin alue o is in eased by 2 to allo o
e ibility in the ilin and a hin in the soil. n ho s a e usually s a ed at 2– m inte als and se u ed
to sti enin ales.
n ho a e an be obtained by the use o additional ilin o by an ho blo s la e on ete blo s
in hi h the tie is embedded . ny an ho a e blo must be outside the ossible ailu e lane i . .1 a ,
and hen s a e is limited ilin be omes ne essa y i . .1 b . I bendin is to be a oided in the an ho
a e ile, then a ai o a in iles an be used i . .1 .
8. . epth of em edm ent for anchored walls

s the de th o embedment is not as eat as o the antile e all, the toe o the all is not i idly
ed into the ound and is ee to mo e sli htly. he analysis o this ondition is thus e e ed to as the
free earth support method. With this method it is assumed that otation o u s about the an ho oint
and that su ient yieldin o u s o the de elo ment o a ti e and assi e essu es. he essu e
dist ibution assumed in desi n is sho n in i . .1 b, and the all is onside ed ee to mo e at its base.
y ta in moments about the an ho at an e ession o the embedment de th, d, an be obtained.
he t aditional methods o assessin the atio o esto in moments to o e tu nin moments des ibed
o antile e alls a e also used o an ho ed alls. he desi n o an ho ed alls to Eu o ode in ol es
the use o the E limit state to assess the otational stability, as illust ated in E am le .4.
E ample 8. nchored sheet pile wall
I an an ho is la ed 1 m belo the ound le el behind the sheet ile all des ibed in
E am le . , al ulate the minimum de th o embedment, d, to o ide stability usin
b oss essu e method, ta in , the a to o sa ety on assi e esistan e, as e ual
to 2.0.
Solut ion:
s be o e, allo an e is made o a utu e un lanned e a ation Δ a e ual to 10 o
the lea hei ht. his is the hei ht bet een the ound su a e in ont o the all
and the an ho = 0.4 m . he essu e dist ibution is sho n in i . .1 .
om able .1 γ un a = 1. γ φ′ = 1.0 .
om be o e, a = 0. , = .0.
esi n a tions
he a ti e th ust due to the ea th essu e is a e manent, un a ou able a tion
1
Pa;d = × Ka × γ × (d + 5.4)2 × γ G;unfav = 4.5(d + 5.4)2
2
he assi e esistan e is also onside ed a e manent, un a ou able a tion
1
Pp ;d = × 60 × d × d × γ G;unfav = 40.5d 2
2
E e t o a tions
d is obtained by esol in the moment e uilib ium e uation. he le e a ms about
ae
2
la = (d + 5.4) − 1
3
2
lp = d + 4. 4
3
∑M= 0
Fig. 8.17 E am le .4.

i.e.
MPa − MPp = 0
2 2
4.5(d + 5.4)2 × (d + 5.4) − 1 − 40.5d 2 × d + 4.4 = 0
3 3
sin E ample ls, d = 2.1 m
Design depth = 2.1+ 0.4 = 2.5 m

he al ulations a e the same as o ombination 1 e e t that this time the ol
lo in a tial a to s a e used γ un a = 1.0 γ φ′ = 1.25.
he ollo in e essions a e then de i ed a = 0.409 = 2.444
∑M= 0
i.e.
2 2
4.09(d + 5.4 )2 × (d + 5.4) − 1 − 24.4d 2 × d + 4.4 = 0
3 3
sin E ample ls, d = 2.9 m
Design depth = 2.9 + 0.4 = 3.3 m
b oss essu e method

he essu e dist ibution is sho n in i . .1 .
Using Rankine’ s theory (with φ′ = 30°) Ka = 0.33; K p = 3.0:
Fo ce (k e e a a out A ( Mo ent (k
10 2 10 2
Pa (5 + d )2 (d + 5) − 1 (5 + d )2 (d + 5) − 1
3 3 3 3
2 2
P 1 d2 d+ 4 15d 2 d + 4
3 3
Fig. 8.18 E am le .4 Pa t b .
inimum de th is e ui ed, and sin e = 2.0 has al eady been a lied to the
essu e dist ibution,
2
15d 2 d+ 4
3
=1
10 2
(d + 5)2 (d + 5) − 1
3 3
by t ial and e o , d = .4 m.
8. . Reduction of design moments in anchored sheet pile walls

o e 19 2 ondu ted a se ies o model tests in hi h he sho ed that the bendin moments that a tu
ally o u in an an ho ed sheet ile all a e less than the alues om uted by the ee ea th su o t
method. his di e en e in alues is due mainly to a hin e e ts ithin the soil hi h eate a assi e
essu e dist ibution in ont o the all that is onside ably di e ent om the theo eti al t ian ula dis
t ibution assumed o the analysis. e ause o this henomenon, the oint o a li ation o the assi e
esisti e o e o u s at a mu h shallo e de th than the ene ally assumed alue o d he e d = de th
o enet ation o the ile .
o e late e tended his o to o e lay soils 19 , 19 and su ested a semi em i i al a oa h,
o e in the main soil ty es, he eby the alues om uted by the ee ea th su o t method o both
the moments in the ile and the tension in the tie an be ealisti ally edu ed. he method in ol es the
use o t o oe ients, d and t , and o ed e am les illust atin the use o the method ha e been
e a ed by a den 19 4 . ume i al studies e o med by Potts and ou ie 19 4 ha e on med
o e’s ndin s o no mally onsolidated lays. o e e , thei studies sho ed that o e’s esults do not
stand o o e onsolidated lays, and they ha e odu ed se a ated desi n ha ts o this ase.
8. . reatment of groundwater condit ions

In o de to a y out the stability analysis o a etainin all in ol in ound ate it is ne essa y to no
the alues o the ate essu es a tin on both sides o the all.
I the e is a ate le el on one side o the all only, the oblem is sim le to analyse and as illust ated
in E am le . .
I the e a e ate le els on both sides o the all but at the same ele ation then the t o ate essu e
dia ams a e e ual and the e o e balan e out. en e, a a t om allo in o the a t that the soil belo
the ate is subme ed, no s e ial t eatment is ne essa y.
With di e ent ate le els on both sides o the ile, see a e an o u . n a o imate method to
allo o this hen a yin out a desi n usin a t aditional a oa h is to assume that the e ess head
ausin the o is dist ibuted linea ly a ound the len th o the ile that is ithin the ate one, i.e.
2d + h − i − , as sho n in i . .19a.
E ample 8. ater pressure distri ution
ete mine an a o imation o the ate essu e dist ibution on ea h side o the
sheet ile all sho n in i . .19a, i h = m, d = m and i = = 0 i.e. WL at ound
su a e on both sides o the all . a e γ = 9. 1 m.
h 8
× 82.4
14 Pw1 = 188.4 kN
= 47.1 kPa
i
Pw2 = 141.3 kN
d
u u 82.4 kPa 82.4 kPa

(a) (b) (c)
Fig. 8.19 E am le . .
Solut ion:
With the assum tion that the e ess head is linea ly dist ibuted a ound the len th o
the ile ithin the ate one, the o mula o u, the ate essu e on both sides at
the ile toe, is
2(h + d − j)(d − i)γ w
u= = 82.4 kPa
(2d + h − i − j)
he assumed dia ams o ate essu e on ea h side o the all a e sho n in i .
.19b and the net ate essu e dia am is sho n in i . .19 .
Eu o ode Pa t 1 states that in silts and lays, ate essu es must be onside ed to a t and, unless
a eliable d aina e system is installed, the ound ate table should be ta en as a oin ident ith the
ound su a e o the etained soil. he esultin ate essu es a e onside ed as eote hni al a tions
e manent, un a ou able , and the a o iate a tial a to s o sa ety a e sele ted and a lied to the
net ate essu e a tin to yield the desi n ate essu e.
henault 2012 loo ed into the e e t that assi e essu e has on the desi n de th o embedment
hen onside ed as an un a ou able a tion, as a a ou able a tion o as a esistan e. e esults uanti
ed the si ni an e that the de th o the W has on the desi n de ths a hie ed bet een the th ee
a oa hes and sho ed that a e ul onside ation o ho to deal ith assi e essu e is e ui ed hen
the W is ta en, as Eu o ode states, at the ound su a e.
8. raced e cavations
When e a atin a dee t en h, the inse tion o shutte in to hold u the sides be omes ne essa y. he
e a ation is a ied do n st to some oint , and i idly st utted timbe in is inse ted bet een the
le els to i . .20a .
s u the e a ation is a ied out, timbe in and st uttin a e inse ted in sta es, but be o e the tim
be in is inse ted, the soil yields by an amount that tends to in ease ith de th it is elati ely small at
the to o the t en h .
Fig. 8.20 P essu e dist ibution in st utted e a ation.
In i . .20b, the sha e ′ ′ ′ ′ e esents, to an enla ed s ale, the o i inal o m o the su a e that
has yielded to the osition o i . .20a the esultin essu e on the ba o the all is ou hly
a aboli and is indi ated in i . .20 .
o desi n u oses a t a e oidal dist ibution o the o m de elo ed by e a hi and Pe 19 , sin e
e ised by e a hi, Pe and es i 199 is assumed. he desi n o edu e o the st uts is semi
em i i al. o sands, the essu e dist ibution is assumed to be uni o m o e the ull de th o the e a a
tion i . .20d . o lays, the essu e dist ibution de ends on the stability numbe ,
γH
N=
cu
I is eate than 4, the dist ibution in i . .20e is used, o ided that a is eate than 0.4. I is
less than 4, o i 0.2 < a < 0.4, the dist ibution in i . .20 is used. With es e t to i . .20e, m is
ene ally ta en as 1.0. o so t lays, ho e e , m an edu e to ≈ 0.4.
8.8 Reinforced soil
he in i le o ein o ed soil is that a mass o soil an be i en tensile st en th in a s e i di e tion,

i len ths o a mate ial a able o a yin tension a e embedded ithin it in the e ui ed di e tion.
his idea has been no n o entu ies. he ible uotes the use o st a to st en then unbu nt lay
b i s, and, om an ient times, as ine matt esses ha e been used to st en then so t soil de osits io
to oad onst u tion. i u ats, built in I a , onsisted o d ied ea th blo s, ein o ed a oss the idth
o the st u tu e ith ta ed o es. o e e the ull otential o ein o ed soil as ne e ealised until
idal, ho oined the te m ‘ ein o ed ea th’, demonst ated its ide otential and odu ed a ational
desi n a oa h in his a e o 19 . he e is no doubt that the esent day use o ein o ed soil st u
tu es stems di e tly om the ionee in o o idal.
ein o ed soil an be used in many eote hni al a li ations but, in this ha te , e a e only on e ned
ith ea th etainin st u tu es.
ein o ed soil etainin all is a a ity st u tu e and a sim le o m o su h a all is illust ated in
i . .21. ie des i tions o the om onents listed in the u e a e set out belo .
Soil ll
he soil should be anula and ee d ainin ith not mo e than 10 assin the μm sie e.
Reinf orcing elements

(1 Met al
i inally many ein o ed soil st u tu es used thin metalli st i s usually 0–100 mm ide and some
– mm thi . etals used e e aluminium alloy, o e , stainless steel and al anised steel, the latte
bein the most ommon. he ommon o e ty o these mate ials is that they all ha e hi h moduli
o elasti ity so that ne li ible st ains a e eated ithin the soil mass.
(2 la t ic
Sin e the mid 19 0s the e has been an in easin use o eosyntheti s as ein o ement in ein o ed
soil, eithe in st i o m o in id o m, su h as ensa eo id. eosyntheti s ha e the ad anta e o
eate du ability than metal in o osi e soil, and thei tensile st en th an a oa h that o steel. In
id o m, lasti ein o ement an a hie e hi h i tional o e ties bet een itsel and the su ound
in soil. he main disad anta e o lasti ein o ement is that it e e ien es lasti de o mation hen
sub e ted to tensile o es, hi h an lead to elati ely la e st ains ithin the soil mass.
Reinforcing strips
Facing units
Concrete footing
Fig. 8.21 y i al ein o ed soil etainin all.

nothe ty e o olyme ein o ement mate ial is hen it is ein o ed ith lass b es. no n as
lass b e ein o ed lasti , P, this mate ial has a tensile st en th simila to mild steel ith the
ad anta e that it does not e e ien e lasti de o mation.
acing units
t the ee bounda y o a ein o ed soil st u tu e it is ne essa y to o ide a ba ie in o de that the ll
is ontained. his is o ided by a thin eathe oo a in hi h in no ay ont ibutes st u tu al st en th
to the all. he a in is usually built u om e ab i ated units small and li ht enou h to be manhan
dled. he units a e ene ally made o e ast on ete althou h steel, aluminium and lasti units a e
sometimes en ounte ed. In o de to o m a lat o m om hi h the a in units an be built u a small
mass on ete oundation is e ui ed.
esign of reinforced soil ret aining st ructures

In the , the u ent desi n standa d is S 00 Pa t 1 S 00 1 2010 Code of practice for strengthened
reinforced soils and other lls. his ode ado ts a limit state desi n a oa h usin a tial a to s, ho e e it
is not ully om atible ith Eu o ode . S 00 1 2010 des ibes hi h desi n methods a e a e table o
ein o ed soil slo es and alls but it does not e lain ho to a tually desi n these eote hni al st u tu es.
ein o ed soil an o ide a method o etainin soil hen e istin ound onditions do not allo
onst u tion by othe , mo e on entional, methods. o e am le a om essible soil may be e e tly
a able o su o tin a ein o ed soil etainin st u tu e he eas it ould obably e ui e some o m
o iled oundation i a mo e on entional etainin all e e to be onst u ted. he te hni ue an also
be used hen the e is insu ient land s a e to onst u t the slo in side o a on entional ea th
emban ment.
o e e , ein o ed soil should not be thou ht o as only a o m o alte nati e onst u tion as it is o ten
the st hoi e o desi n en inee s hen onside in an ea th etainin st u tu e.
8. Soil nailing
Soil nailin is an in situ ein o ement te hni ue used to stabilise slo es and etain e a ations but, in
this ha te , e a e on e ned only ith ea th etainin st u tu es. he te hni ue uses steel ba s ully
bonded into the soil mass. he ba s a e inse ted into the soil eithe by di e t d i in o by d illin a
bo ehole, inse tin the ba and then llin the annulus a ound the ba ith out. he a e o the e osed
soil is s ayed ith on ete to odu e a one o ein o ed soil. he one then a ts as a homo eneous
unit su o tin the soil behind in a simila manne to a on entional etainin all. he onst u tion
hases o a soil nailed all a e sho n in i . .22 and the s e i ation o soil nailin is i en in S 00
Pa t 2 S 00 2 2011 Code of practice for strengthened reinforced soils art soil nail design.
lthou h the om leted soil st u tu e may be e e ted to beha e simila ly to a on entional ein o ed
soil st u tu e, the e a e notable di e en es bet een the t o onst u tion methods
● natu al soil o e ties may be eatly in e io to those e mitted in a ein o ed soil st u tu e he e

sele ted ll is used
● soil nails a e installed by d i in o by d illin and outin athe than by la ement ithin om a ted
ll
● the onst u tion o ess o nailin ollo s a ‘to do n’ se uen e athe than a ‘bottom u ’ se uen e
o ein o ed soils
● the a in to a nailed st u tu e is usually o med om s ayed on ete shot ete o eosyntheti s
athe than e ast units
• nails a e ommonly installed at an in lination to the ho i ontal in ont ast to ein o ed soil he e the
ein o ements a e la ed ho i ontally.
(1) (2)
Initial excavation
Proposed
excavation First nail
installed
(3) (4)
Shotcrete facing applied
Shotcrete
Soil nails
Completed excavation
Fig. 8.22 onst u tion sta es o a soil nailed all.
he e a e t o methods o o min the nail drill and gout and driving. With the d ill and out method,
steel ba s a e installed into e d illed holes and out in e ted a ound them to bond them ully into the
soil mass. his ene ates a easonably la e onta t a ea bet een the out and the soil the eby o id
in a hi h ull out esistan e. With the d i in method, nails a e eithe d i en into the soil usin a hyd auli
o neumati hamme , o ed into the soil om a nail laun he hi h uses an e losi e elease o om
essed ai . his method o installation e ui es the nails to be elati ely obust and to ha e a easonably
small oss se tional a ea. etails o the d i in te hni ue a e i en by yles and idle 1991 and ull
details o soil nail te hni ues and desi n methods a e i en by assle 1990 , S hlosse 19 2 , S hlosse
and de uhan 1990 and 1991 and a e ent e tension o the te hni ue is des ibed by Po ha el
and hiai 199 .
E ercises
E ercise 8.1
ein o ed on ete antile e etainin all, su o tin a anula soil, has

dimensions sho n in i . .2 .
sin a oss a to o sa ety a oa h, al ulate the a to s o sa ety a ainst
slidin and o e tu nin and he the bea in essu e on the soil beneath the all
i the allo able bea in essu e is 00 Pa. a e the unit ei ht o on ete as
2 . m and assume that the i tion bet een the base o the all and the soil
is e ual to φ′. I no e any assi e esistan e om the soil in ont o the all.
Ans er s = 2.19 o = . ma = 1 . Pa < 00 ⇒

0.7
c′ = 0
φ′ = 31°
4.0 γ = 17.5 kN/m3
0.6 1.7
1.0
3.0
(Wall dimensions in metres)
Fig. 8.23 E e ise .1.
E ercise 8.2
he the sa ety o the mass on ete etainin all sho n in i . .24 in te ms o

slidin and o e tu nin usin a oss a to o sa ety a oa h
ou may assume that an ine’s onditions a ly to the soil behind the all, and
that the i tion bet een the base o the all and the soil, δ = 23 φ′ . I no e any assi e
esistan e om the soil in ont o the all.
Ans er o = . s = 1. .
1.8
c′ = 0
4.0
φ′ = 35°
5.0
γ = 18 kN/m3
Wall dimensions in metres

(γc = 23.5 kN/m3)
2.5
Fig. 8.24 E e ise .2.
E ercise 8.
he ea h situation o E e ises .1 and .2 in a o dan e ith Eu o ode , usin

esi n oa h 1 in all ases.
Ans er E e ise .1 e tu nin E , Γ = 2. 9, 2.94

Slidin E 1 1, Γ = 1. 2
1 2, Γ = 1.42
E e ise .2 e tu nin E , Γ = .2 , .
Slidin E 1 1, Γ = 2.
1 2, Γ = 2.2
E ercise 8.
antile e sheet ile all is to be onst u ted in a anula soil ith the ollo in
o e ties
γ = 19.2 kN/m3
φ′ = 29°
c′ = 0
he de th o the e a ation is to be 4 m. ete mine the minimum de th o embed

ment, d, to o ide stability in a o dan e ith E 199 1 2004 esi n oa h 1.
I the all is no to be desi ned to a y a su ha e o 20 Pa, hat ould be
the e ui ed de th o embedment
Ans er Su ha e = 0 1 1, d0 = 4.0 m, d = 4. m
1 2, d0 = .4 m, d = .0 m
Su ha e = 20 Pa 1 1, d0 = .0 m, d = . m
1 2, d0 = .9 m, d = . m
Ch a p t e r 9
Bearing Capacity and
Shallow Foundations
9.1 Bearing capacity terms
he ollo in te ms a e used in bea in a a ity oblems.
Ultimat e bearing capacity

he alue o the a e a e onta t essu e bet een the oundation and the soil hi h ill odu e shea
ailu e in the soil.
Safe bearing capacity

he ma imum alue o onta t essu e to hi h the soil an be sub e ted ithout is o shea ailu e.
his is based solely on the st en th o the soil and is sim ly the ultimate bea in a a ity di ided by a
suitable a to o sa ety.
Allowable bearing pressure

he ma imum allo able net loadin intensity on the soil allo in o both shea and settlement e e ts.
9.2 Types of foundation
Strip f oundation
ten te med a continuous footing this oundation has a len th si ni antly eate than its idth. It is
ene ally used to su o t a se ies o olumns o a all.
Pad footing
ene ally an indi idual oundation desi ned to a y a sin le olumn load althou h the e a e o asions
hen a ad oundation su o ts t o o mo e olumns.
Raft foundat ion

his is a ene i te m o all ty es o oundations that o e la e a eas. a t oundation is also alled
a mat foundation and an a y om a as ine matt ess su o tin a a m oad to a la e ein o ed on
ete basement su o tin a hi h ise blo .

255
Pile f oundation
Piles a e used to t ans e st u tu al loads to eithe the oundation soil o the bed o unde lyin the site.
hey a e usually desi ned to o in ou s, ith the olumn loads they su o t t ans e ed into them
ia a a in slab. Pile oundations a e o e ed in ha te 10.
Pier foundation
his is a la e olumn built u eithe om the bed o o om a slab su o ted by iles. Its u ose is
to su o t a la e load, su h as that om a b id e. ie o e ates in the same manne as a ile but it
is essentially a sho t s uat olumn he eas a ile is elati ely lon e and mo e slende .
Shallow foundat ion

oundation hose de th belo the su a e, , is e ual to o less than its least dimension, . ost st i
and ad ootin s all into this ate o y.
Deep foundation
oundation hose de th belo the su a e is eate than its least dimension. Piles and ie s all into
this ate o y.
9. ltimate earing capacity of a foundation
he ultimate bea in a a ity o a oundation is i en the symbol u and the e a e a ious analyti al
methods by hi h it an be e aluated. s ill be seen, some o these a oa hes a e not all that suitable
but they still o m a e y use ul int odu tion to the study o the bea in a a ity o a oundation.
9. .1 art h pressure theory

onside an element o soil unde a oundation i . 9.1 . he e ti al do n a d essu e o the ootin ,
u, is a ma o in i al st ess ausin a o es ondin an ine a ti e essu e, . o a ti les beyond
the ed e o the oundation this late al st ess an be onside ed as a ma o in i al st ess i.e. assi e
esistan e ith its o es ondin e ti al mino in i al st ess γ the ei ht o the soil .
o
1− sin φ′
p = qu
1+ sin φ′
z qu
γz
p p
Fig. 9.1 Ea th essu e onditions immediately belo a oundation.

Bearing Capacity and Shallow Foundations 25
also
1+ sin φ′
p = γz
1− sin φ′
2
1+ sin φ′
⇒ qu = γ z
1− sin φ′
his is the o mula o the ultimate bea in a a ity, u. It ill be seen that it is not satis a to y o shallo
ootin s be ause hen = 0 then, a o din to the o mula, u also = 0.
ell’s de elo ment o the an ine solution o –φ soils i es the ollo in e uation
2 3
1+ sin φ′ 1+ sin φ′ 1+ sin φ′
qu = γ z + 2c′ + 2c′
1− sin φ′ 1− sin φ′ 1− sin φ′
o , the und ained state, φu = 0°,
q u = γ z + 4cu
or q u = 4cu for a surface footing.
9. .2 Slip circle met hods

With sli i le methods the oundation is assumed to ail by otation about some sli su a e, usually
ta en as the a o a i le. lmost all oundation ailu es e hibit otational e e ts, and ellenius 192
sho ed that the ent e o otation is sli htly abo e the base o the oundation and to one side o it. e
ound that in a satu ated ohesi e soil the ultimate bea in a a ity o a su a e ootin is
q u = 5.52cu
o illust ate the method e ill onside a oundation ailin by otation about one ed e and ounded
at a de th belo the su a e o a satu ated lay o unit ei ht γ and und ained st en th u i . 9.2 .
istu bin moment about
B q uLB2
q u × LB× = 1
2 2
esistin moments about
Cohesion along cylindrical sliding surface = cuπLB
⇒ Moment = πcuLB2 2
Fig. 9.2 oundation ailu e otation about one ed e.

Cohesion along CD = cuzL

⇒ Moment = cuzLB
Weight of soil above foundation level = γ zLB
γ zLB2
⇒ Moment = 4
2
o limit e uilib ium 1 = 2 + + 4

i.e.
q uLB2 γ zLB2
= πcuLB2 + cuzLB +
2 2
2cuz
⇒ qu = 2πcu + + γz
B
1z 1 γz
= 2πcu 1+ +
π B 2π cu
z γz
= 6.28cu 1+ 0.32 + 0.16
B cu
Cohesion of end sectors

he abo e o mula only a lies to a st i ootin , and i the oundation is o nite dimensions then the
e e t o the ends must be in luded.
o obtain this it is assumed that hen the ohesion alon the e imete o the se to has ea hed its
ma imum alue, u, the alue o ohesion at some oint on the se to at distan e om is = u ,
as sho n in i . 9. .
Rotational resistance of an elemental ring , dr thick

cur
= × πrr dr
B
cur c
Moment about O = × πr dr × r = π u r 3 dr
B B
cu 3
B
Total moment of bot h ends = 2 ∫ B
0
π
r dr
4
c B πcuB3
= 2π u × =
B 4 2
his analysis i no es the ohesion o the soil abo e the base o the oundation at the t o ends, but unless
the oundation is e y dee this ill ha e little e e t on the alue o u. he te m should be added
into the o i inal e uation.
Fig. 9.3 ohesion o end se to s.

Fig. 9.4 Lo ation o ent e o iti al i le o use ith ellenius’ method.
o a su a e ootin the o mula o u is
q u = 6.28cu
his alue is hi h be ause the ent e o otation is a tually abo e the base, but in a ti e a se ies o
otational ent es a e hosen and ea h i le is analysed as o a slo e stability oblem until the lo est
u alue has been obtained. he method an be e tended to allo o i tional e e ts but is onside ed
most satis a to y hen used o ohesi e soils it as e tended by Wilson 1941 , ho e a ed a ha t
i . 9.4 hi h i es the ent e o the most iti al i le o ohesi e soils his te hni ue is not a li able
to othe ate o ies o soil o to su a e ootin s .
he sli i le method is use ul hen the soil o e ties beneath the oundation a y, sin e an a o i
mate osition o the iti al i le an be obtained om i . 9.4 and then othe i les nea to it an be
analysed. When the soil onditions a e uni o m Wilson’s iti al i le i es
q u = 5.52cu
o a su a e ootin .
9. . last ic failure theory

Forms of bearing capacity failure
e a hi 194 stated that the bea in a a ity ailu e o a oundation is aused by eithe a ene al soil
shea ailu e o a lo al soil shea ailu e. esi 19 listed un hin shea ailu e as a u the o m o
bea in a a ity ailu e.
1 General shear failure

he o m o this ailu e is illust ated in i . 9. , hi h sho s a st i ootin . he ailu e atte n is lea ly
de ned and it an be seen that de nite ailu e su a es de elo ithin the soil. ed e o om essed
soil I oes do n ith the ootin , eatin sli su a es and a eas o lasti ¦ o II . hese a eas a e
initially e ented om mo in out a ds by the assi e esistan e o the soil ed es III . n e this
assi e esistan e is o e ome, mo ement ta es la e and bul in o the soil su a e a ound the
oundation o u s. With ene al shea ailu e olla se is sudden and is a om anied by a tiltin o
the oundation.
φ φ φ φ
45° − 45° + 45° + 45° −
2 2 2 2
III III
90° I 90°
II II
φ
45° −
2
Fig. 9.5 ene al shea ailu e.
2 Local shear failure

he ailu e atte n de elo ed is o the same o m as o ene al shea ailu e but only the sli su a es
immediately belo the oundation a e ell de ned. Shea ailu e is lo al and does not eate the la e
ones o lasti ailu e hi h de elo ith ene al shea ailu e. Some hea in o the soil a ound the
oundation may o u but the a tual sli su a es do not enet ate the su a e o the soil and the e
is no tiltin o the oundation.
Punching shear failure
his is a do n a d mo ement o the oundation aused by soil shea ailu e only o u in alon the
bounda ies o the ed e o soil immediately belo the oundation. he e is little bul in o the su a e
o the soil and no sli su a es an be seen.
o both un hin and lo al shea ailu e, settlement onside ations a e in a iably mo e iti al than
those o bea in a a ity so that the e aluation o the ultimate bea in a a ity o a oundation is
usually obtained om an analysis o ene al shea ailu e.
Prandtl’s analysis
P andtl 1921 as inte ested in the lasti ailu e o metals and one o his solutions o the enet ation
o a un h into metal an be a lied to the ase o a oundation enet atin do n a ds into a soil ith
no attendant otation.
he analysis i es solutions o a ious alues o φ, and o a su a e ootin ith φ = 0, P andtl obtained
qu = 5.14cu
Ter aghi’s analysis

Wo in on simila lines to P andtl’s analysis, e a hi 194 odu ed a o mula o u hi h allo s o
the e e ts o ohesion and i tion bet een the base o the ootin and the soil and is also a li able
to shallo ≤ 1 and su a e oundations. is solution o a st i ootin is
qu = cNc + γ zNq + 0.5γBN γ
he oe ients , and γ de end u on the soil’s an le o shea in esistan e and an be obtained

om i . 9. . When φ = 0°, = . = 1.0 γ = 0.
⇒ qu = 5.7c + γ z
o u = . o a su a e ootin .
Bearing Capacity and Shallow Foundat ions 261
Fig. 9.6 e a hi’s bea in a a ity oe ients.
he in ease in the alue o om .14 to . is due to the a t that e a hi allo ed o i tional

e e ts bet een the oundation and its su o tin soil.
he oe ient allo s o the su ha e e e ts due to the soil abo e the oundation le el, and γ
allo s o the si e o the ootin , . he e e t o γ is o little onse uen e ith lays, he e the an le
o shea in esistan e is usually assumed to be the und ained alue, φu, and assumed e ual to 0°, but it
an be ome si ni ant ith ide oundations su o ted on ohesionless soil.
e a hi’s solution o a i ula ootin is
q u = 1.3cNc + γ zNq + 0.3γBN γ (where B = diameter )
o a s ua e ootin
q u = 1.3cNc + γ zNq + 0.4γBN γ
and o a e tan ula ootin
B B
q u = cNc 1+ 0.3 + γ zNq + 0.5γBN γ 1− 0.2 9
L L
S em ton 19 1 sho ed that o a ohesi e soil φ = 0° the alue o the oe ient in eases ith
the alue o the oundation de th, . is su ested alues o , a li able to i ula , s ua e and st i
ootin s, a e i en in i . 9. . In the ase o a e tan ula ootin on a ohesi e soil a alue o an
eithe be estimated om i . 9. o obtained om the o mula
Fig. 9.7 a iation o the oe ient ith de th a te S em ton, 19 1 .
B z
N c = 5 1+ 0 . 2 1+ 0 . 2
L B
ith a limitin alue o o = . 1 + 0.2 L , hi h o es onds to a atio eate than 2.

S em ton, 19 1 .
9. . Summary of earing capacit y formula

It an be seen that an ine’s theo y does not i e satis a to y esults and that, o a iable subsoil ondi
tions, the sli su a e analysis o ellenius o ides the best solution. o no mal soil onditions, E uations
– 9 an ene ally be used and may be a lied to oundations at any de th in –φ soils and to shallo
oundations in ohesi e soils. o dee ootin s in ohesi e soil the alues o su ested by S em ton
may be used in la e o the e a hi alues.
9. .5 Choice of soil parameters

s ith ea th essu e e uations, bea in a a ity e uations an be used ith eithe the und ained o
the d ained soil a amete s. s anula soils o e ate in the d ained state at all sta es du in and a te
onst u tion, the ele ant soil st en th a amete is φ′.
Satu ated ohesi e soils o e ate in the und ained state du in and immediately a te onst u tion and
the ele ant a amete is u. I e ui ed, the lon te m stability an be he ed ith the assum tion that
the soil ill be d ained and the ele ant a amete s a e ′ and φ′ ith ′ ene ally ta en as e ual to e o .
ample 9.1 ltimate earing capacity Ter aghi in short

and long term
e tan ula oundation, 2 m × 4 m, is to be ounded at a de th o 1 m belo the

su a e o a dee st atum o so t satu ated lay unit ei ht = 20 m .
nd ained and onsolidated und ained t ia ial tests established the ollo in soil
a amete s u = 24 Pa, φ′ = 2 °, ′ = 0.
ete mine the ultimate bea in a a ity o the oundation, i immediately a te on
st u tion and, ii some yea s a te onst u tion.
Solut ion:
i It may be assumed that immediately a te onst u tion the lay ill be in an und
ained state. he ele ant soil a amete is the e o e u = 24 Pa.
om i . 9. = . , = 1.0, γ = 0.0.
qu = cNc (1+ 0.3B/ L) + γ zNq
= 24 × 5.7(1+ 0.3 × 2 / 4 ) + 20 × 1× 1
= 177.3 kPa
ii It an be assumed that, a te some yea s, the lay ill be ully d ained so that the
ele ant soil a amete s a e φ′ = 2 ° and ′ = 0.
om i . 9. = 2 .1, = 12. . γ = 9. .
qu = γ zNq + 0.5γBN γ (1− 0.2B/ L)
= 20 × 1× 12.7 + 0.5 × 20 × 2× 9.7(1− 0.2 × 2 / 4)
= 428.6 kPa
ample 9.2 ltimate earing capacity Ter aghi effect of φ′
ontinuous oundation is 1. m ide and is ounded at a de th o 1. m in a dee

laye o sand o unit ei ht 1 . m.
ete mine the ultimate bea in a a ity o the oundation i the soil st en th a am
ete s a e ′ = 0 and φ′ = i °, ii 0°.
Solut ion:
i om i . 9. o φ′ = °, = . , = 41.4, γ = 42.4. o a ontinuous ootin
qu = c′ Nc + γ zNq + 0.5γBN γ
= 18.5 × 1.5 × 41.4 + 0.5× 18.5× 1.5 × 42.4
= 1737 kPa
ii om i . 9. o φ′ = 0°, = .2, = 22. , γ = 19. .
qu = 18.5 × 1.5 × 22.5 + 0.5 × 18.5 × 1.5 × 19.7
= 898 kPa
he ultimate bea in a a ity is edu ed by about 4 hen the alue o φ′ is
edu ed by about 1 .
9. etermination of the safe earing capacity
umped factor of saf ety approach

he alue o the sa e bea in a a ity is sim ly the alue o the net ultimate bea in a a ity di ided by
a suitable a to o sa ety, . he alue o is usually not less than .0, e e t o a elati ely unim o tant
st u tu e, and sometimes an be as mu h as .0. t st lan e these alues o a ea hi h but the
ne essity o them is illust ated in E am le 9.2, hi h demonst ates the e e t on u o a small a iation
in the alue o φ′.
he net ultimate bea in a a ity is the in ease in e ti al essu e, abo e that o the o i inal o e
bu den essu e, that the soil an ust a y be o e shea ailu e o u s.
he o i inal o e bu den essu e is γ and this te m should be subt a ted om the bea in a a ity
e uations, i.e. o a st i ootin
qu net = cNc + γ z(Nq − 1) + 0.5γBN γ
he sa e bea in a a ity is the e o e the abo e e ession di ided by lus the te m γ
cNc + γ z(Nq − 1) + 0.5γBN γ

Safe bearing capacity = + γz
F
In the ase o a ootin ounded in und ained lay, he e φu = 0°, the net ultimate bea in a a ity is,
o ou se, u .
he sa e bea in a a ity notion is not used du in desi n to Eu o ode he e, as ill be demonst ated
in Se tion 9. , on o mity o the bea in esistan e limit state is a hie ed by ensu in that the desi n
e e t o the a tions does not e eed the desi n bea in esistan e.
9.5 The effect of groundwater on earing capacity
9.5.1 at er ta le elow the foundat ion le el

I the ate table is at a de th o not less than belo the oundation, the e ession o net ultimate
bea in a a ity is the one i en abo e, but hen the ate table ises to a de th o less than belo
the oundation the e ession be omes
qu net = cNc + γ z(Nq − 1) + 0.5γ ′BN γ
he e
γ = unit ei ht o soil abo e ound ate le el

γ′ = e e ti e unit ei ht.
o ohesi e soils φ′ is small and the te m 0. γ′ γ is o little a ount, and the alue o the bea in
a a ity is i tually una e ted by ound ate . With sands, ho e e , the te m is e o and the te m
0. γ′ γ is about one hal o 0. γ γ, so that ound ate has a si ni ant e e t.
9.5.2 at er ta le a o e the foundat ion le el

o this ase e a hi’s e essions a e best itten in the o m
qu net = cNc + σv′ (Nq − 1) + 0.5γ ′BN γ
he e σv′ = effective overburden pressure removed.

om the e ession it is seen that, in these i umstan es, the bea in a a ity o a ohesi e soil an
be a e ted by ound ate .
When desi nin oundations to Eu o ode , unless an ade uate d aina e system and maintenan e lan
a e ensu ed, the ound ate table should be ta en as the ma imum ossible le el. his ould o ou se
be the ound su a e.
9.6 e elopments in earing capacity e uations
e a hi’s bea in a a ity e uations ha e been su ess ully used in the desi n o nume ous shallo
oundations th ou hout the o ld and a e still in use. o e e , they a e ie ed by many to be onse a
ti e as they do not onside a to s that a e t bea in a a ity su h as in lined loadin , oundation de th
and the shea esistan e o the soil abo e the oundation. his se tion des ibes de elo ments that ha e
been made to the o i inal e uations.
9.6.1 eneral form of the earing capacit y e uation

eye ho 19 o osed the ollo in ene al e uation o u
q u = cNcscicd c + γ zNq sqiq d q + 0.5γBN γ sγ iγ d γ 10
he e
s , s and sγ a e sha e a to s
i , i and iγ a e in lination a to s
d , d and d γ a e de th a to s.
the a to s, , and γ to allo o a slo in ound su a e, and , and γ to allo o any

in lination o the base, an also be in luded hen e ui ed.
It must be noted that the alues o , and γ used in the ene al bea in a a ity e uation a e
not the e a hi alues. he alues o and a e no obtained om eye ho ’s e uations 19 , as
they a e e o nised as obably bein the most satis a to y.
φ πtan φ
Nc = (Nq − 1)cot φ, Nq = tan2 45° + e
2
n o tunately the e is not the same a eement about the emainin a to γ and the ollo in e es
sions all ha e thei su o te s
γ = − 1 tan 1.4φ eye ho 19

γ = 1. − 1 tan φ ansen 19 0
γ = 2 + 1 tan φ esi 19
γ = 2 − 1 tan φ he e i tion bet een oundation base and soil, δ ≥ φ 2 hen, 19
E 199 1 2004
It should be noted that ansen su ested that the o e atin alue o φ should be that o es ondin
to lane st ain, hi h is some 10 eate than the alue o φ obtained om the t ia ial test and no mally
used. With this a oa h ansen’s e ession o γ = 1. − 1 tan 1.1φ, hi h a lies to a ontinuous
ootin but is obably not so ele ant to othe sha es o ootin s.
It seems that the e ession o e ed in E 199 1 2004 nne has be ome the e e ed o tion.
u the e am les in this ha te ill the e o e use the ollo in e essions o the bea in a a ity
oe ients
Nc = (Nq − 1)cot φ
φ πtan φ
Nq = tan2 45° + e
2
N γ = 2(Nq − 1)tan φ
y i al alues a e sho n in able 9.1.

Ta le 9.1 ea in a a ity a to s in ommon use.
φ ° c γ
0 .14 1.00 0.00

.49 1. 0.1
10 . 4 2.4 0. 2
1 10.9 .94 1.
20 14. .40 .9
2 20. 2 10. 9.01
0 0.14 1 .40 20.09
4 .12 . 0 4 .2
40 . 1 4.20 10 .0
4 1 . 1 4. 2 .
0 2 . 19.0 .09
9.6.2 Shape factors

hese a to s a e intended to allo o the e e t o the sha e o the oundation on its bea in a a ity.
he a to s ha e la ely been e aluated om labo ato y tests and the alues in esent use a e those
o osed by e ee 19 0
B Nq
sc = 1+ ⋅
L Nc
B
sq = 1+ tanφ
L
B
sγ = 1− 0.4
L
9.6. epth factors

hese a to s a e intended to allo o the shea st en th o the soil abo e the oundation. ansen 19 0
o osed the ollo in alues
≤ 1. > 1.
d 1 + 0.4 1 + 0.4 a tan

d 1 + 2 tan φ 1 − sin φ 2 1 + 2 tan φ 1 − sin φ 2 a tan
dγ 1.0 1.0
Note: he a tan alues must be e essed in adians, e. . i = 1. and = 1.0 m then a tan
= a tan 1. = . ° = 0.9 adians.
Bearing Capacit y and Shallow Foundations 26
ample 9. ltimate earing capacity eyerhof in short

and long term
e al ulate E am le 9.1 usin eye ho ’s ene al bea in a a ity o mula.
Solut ion:
i om able 9.1, o φu = 0°, = .14, = 1.0 and γ = 0.0.
Shape factors:
s = 1 + 2 4 1.0 .14 = 1.1
s = 1 + 2 4 tan 0° = 1.0
sγ = 1 − 0.4 2 4 = 0.
Depth factors:
= 1 2 = 0. . sin ansen’s alues o ≤ 1.0
d c = 1+ 0.4(1/ 2) = 1.2, d q = 1.0 (as φu = 0°), d γ = 1.0
qu = cNcscd c + γ zNq sq dq
= 24 × 5.14 × 1.1× 1.2 + 20 × 1.0 × 1.0 × 1.0
= 182.8 kPa
ii om able 9.1, o φ′ = 2 °, = 10. and γ = 9.01.
he e essions o s and d in ol e φ. hese t o a to s ill the e o e ha e di e
ent alues om those in ase i
sq = 1+ (2 / 4 )tan 25° = 1.23
d q = 1+ 2 tan 25°(1− sin 25°)2 (1/ 2) = 1.16
qu = γ zNq sq dq + 0.5γBN γ sγ d γ
= 20 × 1× 10.66 × 1.23× 1.16 + 0.5 × 20 × 2 × 9.01× 0.8 × 1.0
= 448.4 kPa
ample 9. Safe earing capacity
sin a a to o sa ety = .0 dete mine the alues o sa e bea in a a ity o ases

i and ii in E am le 9. .
Solut ion:
ase i
qu net = q u − γ z = 162.8 kPa
162.8
Safe bearing capacity = + 20 × 1
3
= 74.3 kPa
o ase ii
qu net = γ z(Nq sq d q − 1) + 0.5γBN γ sγ d γ
= 428.4 kPa
428.4
Safe bearing capacity = + 20 × 1
3
= 162.8 kPa
9.6. ffect of eccentric and inclined loading on foundat ions

oundation an be sub e ted to e ent i loads and o to in lined loads, e ent i o on ent i .
ccentric loads
Let us onside st the elati ely sim le ase o a e ti al load a tin on a e tan ula oundation o idth
and len th L su h that the load has e ent i ities e and eL i . 9. . o sol e the oblem e must
thin in te ms o the athe a ti ial on e t o e e ti e oundation idth and len th. hat a t o the
oundation that is symmet i al about the oint o a li ation o the load is onside ed to be use ul, o
e e ti e, and is the a ea o the e tan le o e e ti e len th L′ = L − 2eL and o e e ti e idth
′ = − 2e .
In the ase o a st i ootin o idth , sub e ted to a line load ith an e ent i ity e, then ′ = − 2e
and the ultimate bea in a a ity o the oundation is ound om eithe e uation o the ene al e ua
tion 10 ith the te m e la ed by ′.
he o e all e ent i ity o the bea in essu e, e, must onside the sel ei ht o the oundation and
is e ual to
P× eP
e=
P+ W
Fig. 9. E e ti e idths and a ea.

Fig. 9.9 St i oundation ith in lined load.
he e
P = ma nitude o the e ent i load

W = sel ei ht o the oundation
e = e ent i ity o P.
nclined loads
he usual method o dealin ith an in lined line load, su h as P in i . 9.9, is to st dete mine its ho i
ontal and e ti al om onents P and P and then, by ta in moments, dete mine its e ent i ity, e, in
o de that the e e ti e idth o the oundation ′ an be dete mined om the o mula ′ = − 2e.
he ultimate bea in a a ity o the st i oundation o idth is then ta en to be e ual to that o
a st i oundation o idth ′ sub e ted to a on ent i load, P, in lined at α to the e ti al.
a ious methods o solution ha e been o osed o this oblem, e. . Janbu 19 , ansen 19 ,
but ossibly the sim lest a oa h is that o osed by eye ho 19 in hi h the bea in a a ity
oe ients , and y a e edu ed by multi lyin them by the a to s i , i and iγ in his ene al e ua
tion 10 . eye ho ’s e essions o these a to s a e
ic = iq = (1− α / 90°)2
iγ = (1− α / φ)2
9. esigning spread foundations to urocode
he desi n o s ead oundations is o e ed in Se tion o Eu o ode , Pa t 1. he limit states to be

he ed and the a tial a to s to be used in the desi n a e the same as e sa hen e loo ed at the
desi n o etainin alls in Se tion . .
9. .1 esign y calculat ion

In te ms o establishin the bea in esistan e, the ode states that a ommonly e o nised method should
be used, and nne o the Standa d i es a sam le al ulation. e th a to s a e e luded in Eu o ode
and o this eason they a e e luded too om the solutions to E am les 9. and 9. in this ha te .
S eadsheets Example 9.5.xls and Example 9.6.xls, ho e e , o e the hoi e hethe to in lude the de th
a to s o not.
While the desi n o edu e e ui ed to satis y the onditions o Eu o ode in ol es essentially the
same methods as e ha e seen so a in this ha te , the e a e a e di e en es listed in nne hi h
an be onside ed o d ained onditions. hese on e n the sha e and in lination a to s as ell as the
bea in esistan e a to , γ, and a e listed belo
Nγ = 2(Nq − 1)tan φ′ (for a rough base, such as a typical foundat ion)

sq = 1+ (B′ / L′ )sin φ′ (for a rectangular foundation)
sq = 1+ sin φ′ (for a square or circular foundation)
sγ = 1− 0.3 (B′ / L′ ) (for a rectangular foundation)
sγ = 0. 7 (for a square or circular foundation)
sqNq − 1
sc = (rectangular , square and circle foundation)
Nq − 1
m m+ 1
1− iq H
ic = iq − ; iq = 1− ; i γ = iq m
Nc tan φ′ V + A ′c′ cot φ′
he e
= e ti al load a tin on oundation

= ho i ontal load o om onent o in lined load a tin on oundation
′ = desi n e e ti e a ea o oundation
B′
2+
m = mB = L′ when H acts in the direction of B′ ;
B′
1+
L′
L′
2+
m = mL = B ′ when H acts in the direction of L′ .
L′
1+
B′
Eu o ode also states that the e ti al total a tion should in lude the ei ht o any ba ll a tin on
to o the oundation in addition to the ei ht o the oundation itsel lus the a lied load it is
a yin .
ample 9.5 Traditional and urocode approaches i
ontinuous ootin is 1. m ide by 0. m dee and is ounded at a de th o 0. m in a lay soil

o unit ei ht 20 m and u = 0 Pa. he oundation is to a y a e ti al line load o ma nitude
0 m un, hi h ill a t at a distan e o 0.4 m om the ent e line. a e the ei ht density o
on ete as 24 m.
i ete mine the sa e bea in a a ity o the ootin , ta in = .0.
ii he the Eu o ode E limit state esi n oa h 1 by establishin the ma nitude o
the o e desi n a to .
Bearing Capacity and Shallow Foundations 2 1
Solut ion:
i Sa e bea in a a ity
Sel ei ht o oundation, W = 0. × 24 × 1. = 21. m un
Wei ht o soil on to o oundation, Ws = 0.2 × 20 × 1. = 9.0 m un
otal ei ht o oundation + soil, W = 21. + 9.0 = 0. m un
P× eP 50 × 0.4
Eccentricity of bearing pressure, e = = = 0..25 m
P + W 50 + 30.6
B
Sin e e ≤ , the total o e a ts ithin the middle thi d o the oundation.
6
E e ti e idth o ootin , ′ = 1. − 2 × 0.2 = 1. m
om able 9.1, o φu = 0°, = .14, = 1.0, γ = 0.
ootin is ontinuous, i.e. L → ∞ s = 1.0.
0.75
d c = 1+ 0 . 4 = 1.23
1 .3
q u net cNc scd c − γzz
Safe bearing capacity (per metre run) = + γz = + γz
3 3
30 × 5 14 × 1 0 × 1 23 − 20 × 0 5
= + 20 × 0 5
3
= 3 2 kPa
Sa e bea in load = .2 × ′ = 9 .2 m un
ii Eu o ode E limit state
1. om ination partial factor sets + M +
om able .1 γ un a = 1. γ = 1. γ u = 1.0 γ = 1.0.
cu 30
Design material property : cu;d = = = 30 kPa
γ cu 1
esi n a tions
Weight of foundation, Wd = W × γ G;unfav = 30.6 × 1.35 = 41.3 kN / m run
Applied line load , Pd = P× γ G;unfav = 50 × 1.35 = 67.5 kN / m run
E e t o desi n a tions
Total vertical force, Fd = 41.3 + 67.5 = 108.8 kN / m run
Pd × eP 67.5 × 0.4
Eccentricity, e = = = 0.248 m
Pd + Wd 67.5 + 41.3
B
Since e ≤ , the total force acts within the middle-third of the foundation.
6
Effective width of footing, B′ = 1.8 − 2 × 0.248 = 1.3 m
esi n esistan e
om be o e, = .14, = 1.0, γ = 0, s = 1.0.
Ultimate bearing capacity, qu = cu;dNcsc + γ zNq
= 30 × 5.14 × 1+ 20 × 0.75 × 1.0
=1 .2 a
2 2 Smith’s lements of Soil echanics
Ultimate bearing capacity per metre run, Q u = 169.2 × 1.3 = 220 kN / m run
Q u 220
Bearing resistance, Rd = = = 220 kN / m run
γRv 1
Rd 220
Over-design factor , Γ = = = 2.03
Fd 108.8
Sin e Γ > 1, the E limit state e ui ement is satis ed.

a to s om able .1 a e used γ un a = 1.0 γ = 1. γ u = 1.40 γ = 1.0.
cu;d = 21.4 kPa

Wd = 30.6 × γ G;unfav = 30.6 kN / m run
Pd = 50.0 × γ G;unfav = 50.0 kN / m run
Fd = 30.6 + 50.0 = 80.6 kN / m run
e = 0.248 m; B′ = 1.3 m
Q u = (cu;dNcsc + γ zNq )× B′ = 125.1× 1.3 = 163.1 kN / m run
Q u 163.1
Rd = = = 163.1 kN / m run
γRv 1
Rd 163.1
Γ= = = 2.02
Fd 80.6
ample 9.6 Traditional and urocode approaches ii
on ete oundation m ide, 9 m lon and 0. m dee is to be ounded at a de th o 1. m

in a dee de osit o dense sand. he an le o shea in esistan e o the sand is ° and its unit
ei ht is 19 m . he unit ei ht o on ete is 24 m.
a sin a lum ed a to o sa ety a oa h ta e = .0

i ete mine the sa e bea in a a ity o the oundation.
ii ete mine the sa e bea in a a ity o the oundation i it is sub e ted to a e ti al line load
o 220 m at an e ent i ity o 0. m, to ethe ith a ho i ontal line load o 0 m a tin
at the base o the oundation as illust ated in i u e 9.10.
b o the situation des ibed in ii abo e, establish the ma nitude o the o e desi n a to o
the Eu o ode E limit state, usin esi n oa h 1.
220 kN/m 0.3 m
1.5 m
0.75 m
50 kN/m
3.0 m
Fig. 9.1 E am le 9. .
Solut ion:
a Lum ed a to o sa ety
i
q u net
= + γz
3
γ z(Nq sqd q − 1) + 0.5γBN γ sγ d γ
= + γz
3
om able 9.1, o φ′ = °, = . , γ = 4 .2
3 3
sq = 1+ tan 35° = 1.23; sγ = 1− 0.4 = 0.87
9 9
1 .5
d q = 1+ 2 tan 35°(1− sin 35°)2 = 1.13; dγ = 1
3
19 × 1.5(33.3× 1.23 × 1.13 − 1) + 0.5 × 19 × 3 × 45.23 × 0.87× 1.0
= + 19 × 1.5
3
= 832.5 kPa
ii
Sel ei ht o oundation, W = 0. × 9 × × 24 = 4
otal a lied e ti al load, P = 220 × 9 = 19 0
otal a lied ho i ontal load, = 0 × 9 = 4 0
otal e ti al load a tin on soil, = 4 + 19 0 = 24
E ent i ity o bea in essu e
P× eP 1980 × 0.3
e= = = 0.24 m
P+ W 2466
B
Sin e e ≤ , the total o e a ts ithin the middle thi d o the oundation.
6
E e ti e idth o ootin , ′ = .0 − 2 × 0.24 = 2. 2 m
he oundation is e e ti ely a ted u on by a load o ma nitude, in lined at an an le to
the e ti al, α
F= V2 + H2 = 24662 + 4502 = 2506.7 kN

450
α = tan− 1 = 10.3°
2466
2 2
10.3 10.3
iq = 1− = 0.78; iγ = 1− = 0.50
90 35
2.52 2.52
sq = 1+ tan 35° = 1.2; sγ = 1× 0.4 = 0.89
9 9
1 .5
d q = 1+ 2 tan 35°(1− sin 35°)2 = 1.15; dγ = 1
2.52
γ z(Nq sqd qiq − 1) + 0.5γB′ N γ sγ d γ iγ
= + γz
3
19 × 1.5(33.3 × 1.2× 1.15× 0.78 − 1) + 0.5 × 19 × 2.52 × 5.23× 0.89 × 1.0 × 0.5
= + 19 × 1.5
3
= 520 a
b Eu o ode
Wei ht o soil on to o oundation, Ws = 0. × 9 × × 19 = 4.
otal ei ht o oundation + soil, W = 4 + 4. = 0.
om able .1 γ un a = 1. γ = 1. γφ′ = 1.0 γ = 1.0.
tan φ′
Design material property: φd′ = tan− 1 = 35°
γ φ′
esi n a tions
Wei ht o oundation, Wd = W × γ un a = 0. × 1. = 11 .
lied e ti al line load, Pd = P × γ un a = 19 0 × 1. = 2
lied ho i ontal line load, d = × γ un a = 4 0 × 1. = 0 .
E e t o desi n a tions
Total vertical force, Fd = Wd + Pd = 1175.6 + 2673 = 3848.6 kN

Pd × eP 2673 × 0.3
Eccentricity, e = = = 0.208 m
Pd + Wd 3848.6
B
Since e ≤ , the total force acts within the middle-third of the foundation.
6
Effective width of footing, B′ = 3.0 − 2 × 0.208 = 2.58 m
Effective area of footing , A ′ = 2.58 × 9 = 23.2 m2
esi n esistan e
om able 9.1, = 4 .1, = . , γ = 4 .2
om Eu o ode , nne ,
B′ 2.58
sq = 1+ sin φ′ = 1+ sin 35° = 1.16
L 9
sqNq − 1
sc = = 1.17
Nq − 1
B′
sγ = 1− 0.3 = 0.91
L
B′
2+
m= L = 1.78
B′
1+
L
m 1.78
H 607.5
iq = 1− = 1− = 0 .7 4 (V = Fd )
V + A ′c′ cot φ′ 3848.6 + 0
1− iq 1− 0.74
ic = iq − = 0.74 − = 0.72
Nc tan φ′ 46.1tan 35°
m+ 1 2.78
iγ = iq m = 0.74 1.78 = 0.62
ltimate bea in a a ity, e m2,
qu = c′dNc scic + γ d zNq sqiq + 0.5B′ γ dN γ sγ iγ

= 0 + (19 × 1.5 × 33.3 × 1.16 × 0.74 ) + (0.5 × 2.58 × 19 × 45.2× 0.91× 0.62)
= 1439 kPa
Ultimate bearing capacity, Q u = qu × L × B′ = 1439 × 9 × 2.58 = 33 414 kN
Q u 33 414
Bearing resistance, Rd = = = 33 414 kN
γRv 1
Rd 33 414
Fd 3848.6

a to s om able .1 a e used γ un a = 1.0 γ = 1. γφ′ = 1.2 γ = 1.0.
tan φ′ tan 35°

φd′ = tan− 1 = tan− 1 = 29..3°
γ φ′ 1.25
Wd = 0. × γ = 0.
Pd = 19 0 × γ = 19 0
d= 4 0 × γ = 4 0
Pd × eP 1980 × 0.3
e= = = 0.208 m (within the middle-t hird)
Pd + Wd 1980 + 870.8
B′ = 3.0 − 2 × 0.208 = 2.58 m
Nq = 16.9, N γ = 17.8, sq = 1.14, sγ = 0.91, iq = 0.74, iγ = 0.62.
ltimate bea in a a ity, e m2,
qu = c′dNc scic + γ zNq sqiq + 0.5B′ γN γ sγ iγ

= 653.5 kPa
ltimate bea in a a ity, u = . × L× ′= 1 1 4

Q u 15 174
Bearing resistance, Rd = = = 15 174 kN
γRv 1
Rd 15 174
Fd 2850.1
ample 9. Bearing resistance – undrained drained
It is o osed to la e a 2 m × 2 m s ua e ootin at a de th o 1. m in a la ial lay soil as sho n

in i u e 9.11. he 0. m thi ootin is to su o t a 0.4 m × 0.4 m ent ally lo ated s ua e olumn
hi h ill a y a e ti al ha a te isti e manent load o 00 and a e ti al ha a te isti
t ansient load o 0 . a e the unit ei ht o ein o ed on ete, γ on ete as 2 m.
he soil has the ollo in o e ties
und ained shea st en th, u = 200 Pa
e e ti e ohesion, ′ = 0 Pa
an le o shea in esistan e, φ′ = 2 °
ei ht density, γ = 20 m
he ound ate table is oin ident ith the base o the oundation.
he om lian e o the bea in esistan e limit state usin esi n oa h 1 o
i. the short term state
ii. the long term state
Solut ion:
i epresentati e actions:
Sel ei ht o on ete
Wconcrete = (B× L × t + Bcol × Lcol × ( z − t ))× γ concrete
= [(2.0 × 2.0 × 0.5) + (0.4 × 0.4 × 1.0 )] × 25
= 54.0 kN
Gk = 800 kN
Qk = 350 kN
0.4 m × 0.4 m
1.5 m
0.50 m
2.0 m
Fig. 9.11 E am le 9. .
Sel ei ht o soil
Wsoil = (B× L − Bcol × Lcol )× ( z − t )× γ soil

= (2.0 × 2.0 − 0.4 × 0.4)× (1.5 − 0..5)× 20
= 76.8 kN
i/ short -t erm st at e
. om ination partial factor sets + M +
om able .1 γ , un a = 1. γ , a = 1.0 γ = 1. γ u = 1.0 γγ = 1.0 γ = 1.0.
ii Design actions:
esi n alue o sel ei ht o on ete and soil un a ou able, e manent a tion
Wd = ( Wconcrete + Wsoil )× γ G,unfav

= (54.0 + 76.8)× 1.35 = 176.6 kN
esi n alue o the e ti al st u tu al un a ou able a tions

Vd = VG × γ G,unfav + VQ × γ Q ,unfav = (800 × 1.35) + (350 × 1.5) = 1605 kN
esi n e e t o a tions i.e. sum o e ti al o es
Fd = Wd + Vd = 176.6 + 1605 = 1781.6 kN
e bu den essu e = γsoil = 20 × 1. = 0 Pa

iii Design material properties:
cu;k 200
Design cohesion: cu;d = = = 200 kPa
γ cu 1
γk 20
Design weight density of soil: γ d = = = 20 kN / m3
γγ 1
i Design geometr :
No eccentric loading , ⇒ A ′ = B× L = 2.0 × 2.0 = 4.0 m2
o in lined loadin , ⇒ i = 1.0

oundation base ho i ontal, ⇒ b = 1.0
s = 1.2 E 199 1 2004, nne
Bearing resistance:
R / A ′ = (π + 2)cub cscic + q
Rk = 4.0 × [(5.14 × 200 × 1.0 × 1.2 × 1.0) + 30] = 5054.4 kN
Rk 5054.4
Rd = = = 5054.4 kN
γRv 1 .0
om the esults it is seen that the E limit state e ui ement is satis ed sin e the
desi n bea in esistan e 0 4.4 is eate than the desi n e e ts o a tions
1 1. .
Rd 5054.4
Fd 1781.6

om able .1 γ , un a = 1.0 γ , a = 1.0 γ = 1. γ u = 1.4 γγ = 1.0 γ = 1.0.
ii Design actions:

= (54.0 + 76.8)× 1.0 = 130.8 kN
Fd = Wd + Vd = 130.8 + 1255 = 1385.8 kN
cu;k 200
Design cohesion: cu;d = = = 142.9 kPa
γ cu 1 .4
γk 20
γγ 1
i Design geometr :
o e ent i loadin , ⇒ ’= × L = 2.0 × 2.0 = 4.0 m2

s = 1.2 E 199 1 2004, nne
Bearing resistance:
R / A ′ = (π + 2)cub c scic + q
Rk = 4.0 × [(5.14 × 142.9 × 1.0 × 1.2 × 1.0) + 30] = 3645.6 kN
k 3645.6
Rd = = = 3645.6 kN
γRv 1 .0
E limit state e ui ement satis ed sin e desi n bea in esistan e 4 . > desi n
e e ts o a tions 1 . .
Rd 3645.6
Fd 1385.8
ii/ long-t erm st at e

he ound ate le el is ta en as oin ident ith the ound su a e see Se tion 9. .2 and
E 199 1 2004 §2.4. .1 11 .
nless the ade uac of the drainage s stem can e demonstrated and its maintenance
ensured the design ground ater ta le should e ta en as the maximum possi le le el
hich ma e the ground surface.
EN 99 : § . .6.
. om ination partial factor sets M

om able .1 γ , un a = 1. γ , a = 1.0 γ = 1. γφ’ = 1.0 γγ = 1.0 γ = 1.0.
Bearing Capacit y and Shallow Foundations 2 9
ii esi n a tions
o onside the e e ts o the buoyant u li t, e an eithe use the subme ed ei ht
o the hole ootin , o use the total ei ht and subt a t the u li t o e due to ate
essu e unde oundation.

= (54.0 + 76.8)× 1.35 = 176.6 kN
esi n alue o ate essu e unde the base un a ou able ne ati e a tion – om
Sin le Sou e P in i al
Ud = U× γ G,unfav = (− 1.5 × 2.0 × 2.0 × 9.81)× 1.35 = − 79.5 kN
Fd = Wd + Vd + Ud = 176.6 + 1605 − 79.5 = 1702.1 kN

Overburden pressure: q = γ soilz = (20 − 9.81)× 1.5 = 15.29 kPa
tan φ′ tan 28°

Design angle of shearing resistance: φd′ = tan− 1 = tan− 1 = 28.0°
γ φ′ 1 .0
γk 20
γγ 1
i Design geometr :
o e ent i loadin , ⇒ ’ = × L = 2.0 × 2.0 = 4.0 m2
om E 199 1 2004, nne
φ′
Nq = e π⋅tanφ′ tan2 45 + = 14.72
2
N γ = 2 (Nq − 1) tan φd′ = 14.59
sq = 1+ sin φ′ = 1.47
sγ = 0.7
Bearing resistance:
R/A ′ = c′ Ncb c scic + q ′ Nqb q sqiq + 0.5γB′ N γ b γ sγ iγ

Rk = 4.0 × [0 + (15.29 × 14.72× 1.0 × 1.47 × 1.0) + (0.5 × (20 − 9.81)
× 2.0 × 14.59 × 1.0 × 0.7 × 1.0 )] = 1738.8 kN
Rk 1738.8
Rd = = = 1738.8 kN
γRv 1.0
E limit state e ui ement satis ed sin e desi n bea in esistan e 1 . > desi n
e e ts o a tions 1 02.1 .
Rd 1738.8
Fd 1702.1
om able .1 γ , un a = 1.0 γ , a = 1.0 γ = 1. γφ’ = 1.2 γγ = 1.0 γ = 1.0.
ii esi n a tions
ain e use the total ei ht o the oundation and subt a t the u li t o e due to
ate essu e unde oundation.
= (54.0 + 76.8)× 1.0 = 130.8 kN
esi n alue o ate essu e unde the base un a ou able ne ati e a tion – om
Sin le Sou e P in i al
Ud = U× γ G,unfav = (− 1.5 × 2.0 × 2.0 × 9.81)× 1.0 = − 58.9 kN
Fd = Wd + Vd + Ud = 130.8 + 1255 − 58.9 = 1326.9 kN
e bu den essu e = γsoil = 20 – 9. 1 × 1. = 1 .29 Pa
tan φ′ tan 28°

γ φ′ 1.25
γk 20
γγ 1
i Design geometr :
o e ent i loadin , ⇒ ’ = × L = 2.0 × 2.0 = 4.0 m2
om E 199 1 2004, nne
φ′
Nq = e π⋅tanφ′ tan2 45 + = 8 .7
2
N γ = 2 (Nq − 1) tan φd′ = 6.55
sq = 1+ sin φ′ = 1.39
sγ = 0.7
Bearing resistance:
R/ A ′ = c′ Ncb c scic + q′ Nqb q sqiq + 0.5γB′ N γ b γ sγ iγ
Rk = 4.0 × [0 + (15.29 × 8.7 × 1.0 × 1.39 × 1.0 ) + (0.5 × (20 − 9.81)
× 2.0 × 6.55 × 1.0 × 0.7× 1.0)] = 926.5 kN
Bearing Capacity and Shallow Foundat ions 2 1
Rk 926.5
Rd = = = 926.5 kN
γRv 1 .0
E limit state e ui ement satis ed sin e desi n bea in esistan e 92 . <
desi n e e ts o a tions 1 2 .9 .
Rd 926.5
Fd 1326.9
his e am le illust ates the need to he the limit state e ui ements o both ombi
nations and o both the und ained and the d ained states. In this ase, the ootin is
inade uately desi ned and the dimensions o the ootin ould ha e to be in eased
to ensu e the e ui ements a e met in all ases.
ample 9. Bearing resistance – ertical and hori ontal

loading
In a o dan e ith Eu o ode , esi n oa h 2, he om lian e o the bea in

esistan e limit state unde d ained onditions o the s ua e ad oundation sho n in
i u e 9.12.
he ootin is su o tin a on ent i s ua e olumn hi h is a yin both e ma
nent and a iable e ti al loadin , to ethe ith a t ansient ho i ontal load a lied as
sho n.
he ound ate table is oin ident ith the ound su a e, and the ollo in data
is o ided
ha a te isti e ti al e manent load, = 00
ha a te isti e ti al t ansient load, = 400
Wei ht density o soil, γsoil = 19.0 m
E e ti e ohesion, ′ = 0 Pa
n le o shea in esistan e, φ′ = 0°
ha a te isti ho i ontal t ansient load, = 100
Wei ht density o on ete, γ on ete = 24 m
V G, V Q
HQ
0.5 m
GWT
3.0 m
2.0 m
0.5 m
3.0 m
Fig. 9.12 E am le 9. .
2 2 Smit h’s lements of Soil echanics
Solut ion:
i epresentati e actions:
Sel ei ht o on ete
Wconcrete = (B× L × t + Bcol × Lcol × ( z − t )) γ concrete
= [(3.0 × 3.0 × 0.5) + (0.5 × 0.5 × 1.5)] × 24
= 117.0 kN
li t th ust unde the base o oundation
U = − d w × B× Lγ W = − 2.0 × 3.0 × 3.0 × 9.81 = − 176.6 kN
Sel ei ht o soil
Wsoil = (B× L − Bcol × Lcol )× ( z − t ) γ soil
= (3.0 × 3.0 − 0.5 × 0.5)× (2.0 − 0.5)× 19
= 249.4 kN
e bu den essu e ′ = γsoil = 19 – 9. 1 × 2.0 = 1 .4 Pa
Design Approach 2 (part ial fact or set s A1 + M1 + R2)
om able .1 γ , un a = 1. γ , a = 1.0 γ = 1. γφ = 1.0 γγ = 1.0 γ = 1.4.
ii Design actions:
Wd = ( Wconcrete + Wsoil ) γ G,unfav
= (117.0 + 249.4 )× 1.35 = 494. kN
esi n alue o the e ti al st u tu al a tions
esi n alue o ate essu e unde the base un a ou able ne ati e a tion
Ud = U× γ G,unfav = − 176.6 × 1.35 = − 238.4 kN
Fd = Wd + Vd + Ud = 494.6 + 1680 − 238.4 = 1936.2 kN
esi n alue o the ho i ontal st u tu al t ansient a tion
Hd = HQ × γ Q = 100 × 1.5 = 150 kN
iii Material properties:
c k′
Design cohesion: cd′ = = 0 kPa
γ c′
tan φ′ tan 30°

γ φ′ 1 .0
γk 19
γγ 1
i Design geometr :
he ho i ontal o e ill indu e an e ent i loadin . he ma nitude o e an be
dete mined by onside in moments about mid oint o base o ootin .
V × e = Hd × xH (V ≡ Fd )
Hd × x H 150 × 3
e= = = 0.232 m (acts within middle third )
V 1936.2
B′ = B − 2× e = 3.0 − 2× 0.232 = 2.535 m
⇒ A ′ = B′ × L = 2.535 × 3.0 = 7.606 m2
om E 1994 1 2004, nne
φ′
Nq = e π⋅tanφ′ tan2 45 + = 18.4
2
N γ = 2 (Nq − 1) tan φd′ = 20.1
B′
2+
m= L = 1.542
B′
1+
L
m 1.542
H 150.0
iq = 1− = 1− = 0 .8 8 (V = Fd )
V + A ′c′ cot φ′ 1936.2 + 0
m+ 1
iγ = iq m = 0.882.542/ 1.542 = 0.81
B′
sq = 1+ sin φ′ = 1.42
L
B′
sγ = 1− 0.3 = 0.75
L
oundation base ho i ontal, ⇒ b = b γ = 1.0

Bearing resistance:
R/ A ′ = c ′ Ncb c scic + q ′ N qb q sqiq + 0.5γB′ N γ b γ sγ iγ

Rk = 7.606 × [0 + (18.4 × 18.4 × 1.0 × 1.42 × 0.88) + (0.5 × (19 − 9.81)
× 2.535 × 20.1× 1.0 × 0.75 × 0.81)] = 4313 kN
Rk 4313
Rd = = = 3081 kN
γRv 1 .4
om the esults it is seen that the E limit state is satis ed sin e the desi n
bea in esistan e 0 1 is eate than the desi n e e ts o a tions 19 .
Rd 3081
Fd 1936
Ta le 9.2 P esumed sa e bea in a a ity, , alues based on S 004 19

s .
s Pa
oc s
alues based on assum tion that oundation is a ied do n to un eathe ed o
a d i neous and neissi 10000
a d sandstones and limestones 4000
S hists and slates 000
a d shale and mudstones, so t sandstone 2000
So t shales and mudstones 1000– 00
a d hal , so t limestone 00
ohesionless soils
alues to be hal ed i soil subme ed
om a t a el, sand and a el > 00
edium dense a el, o sand and a el 00–200
Loose a el, o sand and a el < 200
om a t sand > 00
edium dense sand 00–100
Loose sand < 100
ohesi e soils
Sus e tible to lon te m onsolidation settlement
e y sti boulde lays and ha d lays 00– 00
Sti lays 00–1 0
i m lays 1 0–
So t lays and silts <
e y so t lays and silts ot a li able
9. .2 esign y prescripti e met hod

s mentioned in ha te , Eu o ode Pa t 1 states that a es i ti e method may be used to he
a limit state on o asions he e al ulation o the soil o e ties is not ossible o ne essa y, o ided
that ene ally onse ati e ules o desi n a e used. itish Standa d S 004 19 o ided a list o sa e
bea in a a ity alues e odu ed in able 9.2 and this list o ms the basis o su h a es i ti e
a oa h o the ase o the he in o the bea in esistan e limit state. he alues a e based on the
ollo in assum tions
i he site and ad oinin sites a e easonably le el.

ii he ound st ata a e easonably le el.
iii he e is no so te laye belo the oundation st atum.
i he site is ote ted om dete io ation.
oundations desi ned to these alues ill no mally ha e ade uate ote tion to satis y the e ui ements
o the bea in esistan e limit state, o ided that they a e not sub e ted to in lined loadin . It should
be emembe ed ho e e that settlement e e ts ould also ha e to be onside ed, and thus a se i eabil
ity limit state he see E am le 11. should be unde ta en.
o ohesi e soils the onsisten y is elated to the und ained st en th, u. Su h a elationshi is su
ested in S 9 0 and is e odu ed in able 9. .
9. on homogeneous soil conditions
he bea in a a ity e uations – 10 a e based on the assum tion that the oundation soil is homo e
neous and isot o i .
Ta le 9.3 nd ained shea st en th o ohesi e soils.
onsist enc cu Pa Fiel eha iour
ad > 00 ittle
e y sti 00–1 0 ittle o e y tou h
Sti 1 0– annot be moulded in n e s
im –40 an ust be moulded in n e s
So t 40–20 Easily moulded in n e s
e y so t < 20 E udes bet een n e s i s uee ed
In the ase o a iable soil onditions the analysis o bea in a a ity is best a ied out usin a nite
element analysis, althou h it an be a ied out usin some o m o sli i le method, as des ibed ea lie
in this ha te . his a oa h an ta e time and desi ns based on one o the bea in a a ity o mulae
a e onse uently uite o ten used.
o the ase o a oundation estin on thin laye s o soil, o thi nesses 1, 2, , . . . n and o total
de th , o les 19 2 su ests that these laye s an be t eated as one laye ith an a e a e alue a
and an a e a e φ alue φa , he e
c1H1 + c2H2 + c 3H3 + + cnHn

cav =
H
H1 tan φ1 + H2 tan φ2 + H3 tan φ3 + + Hn tan φn
φav = tan− 1
H
esi 19 su ested that, o the ase o a oundation ounded in a laye o so t lay hi h o e lies
a sti lay, the ultimate bea in a a ity o the oundation an be e essed as
q u = cuNcm + γ z
he e u = the und ained st en th o the so t lay and m = a modi ed o m o , the alue o hi h

de ends u on the atio o the u alues o both lays, the thi ness o the u e laye , the oundation
de th and the sha e and idth o the oundation. alues o m a e uoted in esi ’s a e .
he on e se situation, i.e. that o a oundation ounded in a laye o sti lay hi h o e lies a so t lay,
as studied by o n and eye ho 19 9 , ho uoted a o mula o m based on a un hin shea
ailu e analysis.
t st lan e a sa e ay o dete minin the bea in a a ity o a oundation mi ht be to base it on
the shea st en th o the ea est soil belo it, but su h a o edu e an be une onomi al, a ti ula ly
i the ea soil is o e lain by mu h st on e soil. mo e suitable method is to al ulate the sa e bea in
a a ity usin the shea st en th o the st on e mate ial and then to he the amount o o e st essin
that this ill ause in the ea e laye s.
9.9 stimates of earing capacity from in situ testing
9.9.1 The plate loading test

he test o edu e as int odu ed in Se tion . . . In the test an e a ation is made to the e e ted
oundation le el o the o osed st u tu e and a steel late, usually om 00 to 0 mm s ua e, is la ed
in osition and loaded by means o a hyd auli loadin system o entled e. u in loadin the settle
ment o the late is measu ed and a u e simila to that illust ated in i . 9.1 is obtained.
Fig. 9.13 y i al late loadin test esults.
n dense sands and a els and sti lays the e is a onoun ed de a tu e om the st ai ht line ela
tionshi that a lies in the initial sta es o loadin , and the u alue is then dete mined by e t a olatin
ba a ds as sho n in the u e . With a so t lay o a loose sand the late e e ien es a mo e o less
onstant ate o settlement unde load and no de nite ailu e oint an be established.
In s ite o the a t that a late loadin test an only assess a met e o t o o the soil laye belo
the test le el, the method an be e t emely hel ul in stony soils he e undistu bed sam lin is not os
sible o ided it is e eded by a bo in o amme, to o e that the soil does not e hibit si ni ant
a iations.
he test an i e e ati esults in sands hen the e is a a iation in density o e the site, and se e al
tests should be a ied out to dete mine a sensible a e a e. his o edu e is ostly, a ti ula ly i the
ound ate le el is nea the oundation le el and ound ate lo e in te hni ues onse uently be ome
ne essa y.
s ould be e e ted, the settlement see ha te 11 o a s ua e ootin e t at a onstant essu e
in eases as the si e o the ootin in eases.
e a hi and Pe 194 in esti ated this e e t and odu ed the elationshi
2
2B
S = S1
B + 0.3
he e
S1 = settlement o a loaded a ea 0. 0 m s ua e unde a i en loadin intensity

S = settlement o a s ua e o e tan ula ootin o idth in met es unde the same essu e .
In o de to use late loadin test esults the desi ne must st de ide u on an a e table alue o
the ma imum allo able settlement. nless the e a e othe onditions to be ta en into a ount it is ene
ally a e ted that ma imum allo able settlement is 2 mm.
he method o dete minin the allo able bea in essu e o a oundation o idth m is a a ent
om the o mula. I S is ut e ual to 2 mm and the nume i al alue o is inse ted in the o mula, S1
ill be obtained. om the late loadin test esults e ha e the elationshi bet een S1 and i . 9.1 ,
so the alue o o es ondin to the al ulated alue o S1 is the allo able bea in essu e o the
oundation sub e t to any ad ustment that may be ne essa y o e tain ound ate onditions. he
ad ustment o edu e is the same as that em loyed to obtain the allo able bea in essu e om the
Bearing Capacit y and Shallow Foundations 2
Fig. 9.14 llo able bea in essu e om the standa d enet ation test a te e a hi and Pe , 194 .
9.9.2 Standard penetration test

his test as des ibed in Se tion . .2 and the esults om it an be used to establish an a o imate
allo able bea in essu e, in e ed om a e table settlement alues.
a in dete mined the 1 0 alue, the dete mination o the allo able bea in essu e is ene ally
based u on an em i i al elationshi e ol ed by e a hi and Pe 194 that is based on the measu ed
settlements o a ious oundations on sand i . 9.14 . he allo able bea in essu e o these u es
hi h a e a li able to both s ua e and e tan ula oundations as de ned by e a hi and Pe as
the essu e that ill not ause a settlement eate than 2 mm.
When se e al oundations a e in ol ed the no mal desi n o edu e is to dete mine an a e a e alue
o 1 0 om all the bo eholes. he allo able bea in essu e o the idest oundation is then obtained
ith this u e and this bea in essu e is used o the desi n o all the oundations. he o edu e
ene ally leads to only small di e ential settlements, but e en in e t eme ases the di e ential settlement
bet een any t o oundations ill not e eed 20 mm.
he u es o i . 9.14 a ly to unsatu ated soils, i.e. hen the ate table is at a de th o at least
1.0 belo the oundation. When the soil is subme ed the alue o allo able bea in essu e obtained
om the u es, , should be edu ed, a o din to the e ession
Dw
q a = q × 0 .5 × 1 +
D+ B
he e
= de th o ate table
= de th o oundation le el
= idth o oundation
ample 9.9 llowa le earing pressure from S T results
e e to E am le .2. st i ootin , m ide, is to be ounded at a de th o m.

ssumin that the st en th ha a te isti s o the sand a e onstant ith de th, dete
mine the allo able bea in essu e.
Solut ion:
om E am le .2, 1 0 = 2
om i . 9.14, o a o e ted = 2 and = m
llo able bea in essu e = 2 0 Pa
ut this alue is o dr soil and the sand belo the oundation is also belo ound ate
le el and is the e o e subme ed. he e o e,
Dw 1.5
q a = q × 0.5 × 1+ = 250 × 0.5 × 1+ = 156 kPa
D+ B 3+ 3
ercises
ercise 9.1
st i ootin m ide is to be ounded at a de th o 2 m in a satu ated soil o

unit ei ht 19 m . he soil has an an le o shea in esistan e, φ′ o 2 ° and an
e e ti e ohesion, ′, o Pa. ound ate le el is at a de th o 4 m. do tin
a a to o sa ety o , dete mine a alue o the sa e bea in a a ity o the
oundation.
I the ound ate le el as to ise to the ound su a e, dete mine the ne
alue o sa e bea in a a ity.
ns er 1 Pa 24 Pa
ercise 9.2
soil laye has the ollo in o e ties
c′ = 7 kPa; φ′ = 20°; γ = 20 kN / m3.
ootin o dimensions . m × 2. m is to be ounded at a de th o 1. m into

this laye . ete mine the ultimate bea in a a ity o the soil.
ns er 4 Pa
ercise 9.
ontinuous on ete ootin γ = 24 m o b eadth 2.0 m and thi ness 0. m

is to be ounded in a lay soil u = 22 Pa γ = 19 m at a de th o 1.0 m. he
ootin ill a y an a lied e ti al load o ma nitude e met e un. he

load ill a t on the ent e line o the ootin .
sin Eu o ode esi n oa h 1, dete mine the ma nitude o the o e
desi n a to o the bea in esistan e limit state unde und ained onditions..
ns er 1. 1 1 1. 12
I you e e to in lude de th a to s in the desi n o edu e, hat ould be the

e ised alue o the o e desi n a to o ea h ombination
ns er 1. 9 1 1 1. 1 12
Note: do tin de th a to s in the desi n ill in a iably lead to hi he alues o

o e desi n a to .
ercise 9.
e tan ula oundation 2. m × m × 0. m dee is to be ounded at a de th

o 1.2 m in a dense sand ′ = 0 φ′ = 2° γ = 19.4 m . he unit ei ht o on
ete = 24 m . he oundation ill a y a e ti al line load o 2 0 m at an
e ent i ity o 0.4 m.
y ollo in Eu o ode , esi n oa h 1 establish the o o tion o the a ail
able esistan e that ill be used.
ns er 1 1 1 24 12
Note: he o o tion o a ailable esistan e that ill be used is dete mined by

ta in the e i o al o the o e desi n a to .
Ch a p t e r 10
Pile Foundations
10.1 Introduction
Pile oundations a e used to t ans e the load o the st u tu e to the bea in soil o o lo ated at a si ni ant
de th belo ound su a e. Piles a e lon and slende membe s that t ans e the load to soil o hi h bea in
a a ity that lie beneath shallo e soils o lo e bea in a a ity. Piles may be made om on ete, steel o
timbe , o om some om osite o these mate ials and a e installed eithe by d i in , d illin o a in . ile
a is ed to the to o the ile and it is this a onto hi h the st u tu al loads a e t ansmitted.
In addition to iles bein used to t ansmit the oundation load to a solid st atum by end bea in o
th ou hout a dee mass o soil th ou h soil ile i tion , ile oundations a e also used to esist ho i ontal
o u li t loads he e su h o es may a t.
he e a e se e al ty es o ile and these a e des ibed in the omin se tions.
10.2 Classi cation of piles
Piles an be lassi ed by di e ent ite ia, su h as thei mate ial e. . on ete, steel, timbe , thei method
o installation e. . d i en o bo ed , the de ee o soil dis la ement du in installation, o thei si e e. .
la e diamete , small diamete . o e e , in te ms o ile desi n, the most a o iate lassi ation
ite ion is the beha iou o the ile on e installed e. . end bea in ile, i tion ile, ombination ile .
10.2.1 End bearing

hese iles t ans e thei load to a m st atum lo ated at a onside able de th belo the base o the
st u tu e and they de i e most o thei a yin a a ity om the enet ation esistan e o the soil at the
toe o the ile i . 10.1a . he ile beha es as an o dina y olumn and should be desi ned as su h. E en
in ea soil a ile ill not ail by bu lin and this e e t need only be onside ed i a t o the ile is
unsu o ted, i.e. i it is in eithe ai o ate .
10.2.2 Frict ion

e e, the a yin a a ity is de i ed mainly om the adhesion o i tion o the soil in onta t ith the
sha t o the ile i . 10.1b .
10.2.3 Combination
his is an e tension o the end bea in ile hen the bea in st atum is not ha d, su h as a m lay. he
ile is d i en a enou h into the lo e mate ial to de elo ade uate i tional esistan e i . 10.1 . u the
a iation o the end bea in ile is iles ith enla ed bea in a eas. his is a hie ed by o in a bulb o
on ete into the so t st atum immediately abo e the m laye to i e an enla ed base. simila e e t is
odu ed ith bo ed iles by o min a la e one o bell at the bottom ith a s e ial eamin tool.

290
Pile Foundat ions 291
Fig. 10.1 lassi ation o iles.
10.3 Met od of installation
he installation o ess is e e y bit as im o tant as the desi n o ess o ile oundations. he e a e t o

main methods o ile installation ile d i in , and bo in by me hani al au e . e o e ile desi n an om
men e the ty e o ile and its method o installation should be no n. In o de to a oid dama e to the
ile du in installation, the method o installation should a tually be onside ed du in the desi n o ess.
10.3.1 ri en piles
hese a e e ab i ated iles that a e installed into the ound th ou h the use o a ile d i e as illus
t ated in i . 10.2. he ile is hoisted into osition on the ile d i e and ali ned a ainst the unne s so
that the ile is d i en into the ound at e a tly the e ui ed an le, to e a tly the e ui ed de th. ost
ommonly the ile is d i en into the soil by st i in the to o the ile e eatedly ith a neumati o
e ussi e hamme . o e e this is a noisy method o installation and indu es a si ni ant amount o
ib ation in the ound so usa e is limited to situations he e noise and ib ation limits e mit.
t sites he e noise is a on e n, ib ato y hamme s an be used in la e o e ussi e hamme s. hese
hamme s a e ed to the to o the ile and em loy a ib atin unit to indu e ib ations do n th ou h
the ile to ease its installation into the ound. hey a e suitable o use in anula soils and ene ate
mu h less noise than e ussi e hamme s. Wate ettin an be used to aid the enet ation o iles into
dense sands o sandy a el.
In situations he e hamme s a e not ossible o a e table, iles an be installed by a in see Jacked
pile belo . his method uses hyd auli ams to d i e the ile into the ound, utilisin eithe ad a ent
iles o st u tu es to o ide the a in ea tion o e. he method tends to be used most in mi o ilin ,
he e the ea tion loads an be o ided by the st u tu e bein unde inned, o o d i in steel sheet
ilin into the ound.
ost ommonly d i en iles a e made om e ast on ete. Steel and timbe iles a e also a ailable.
Precast concrete
hese a e usually o s ua e o o ta onal se tion. ein o ement is ne essa y ithin the ile to hel ith
stand both handlin and d i in st esses. P est essed on ete iles a e also used and a e be omin mo e
o ula than o dina y e ast as less ein o ement is e ui ed.
Timber
imbe iles ha e been used om ea liest e o ded times and a e still used o e manent o he e
timbe is lenti ul. In the , timbe iles a e used mainly in tem o a y o s, due to thei li htness and
sho esistan e, but they a e also used o ie s and ende s and an ha e a desi n li e o u to 2 yea s
o mo e i e t om letely belo the ate table. o e e , they an dete io ate a idly i used in ound
in hi h the ate le el a ies and allo s the u e a t to ome abo e the ate su a e. P essu e
292 mit ’s Elements of oil Mec anics
Runners
Hammer
Precast pile
Fig. 10.2 Pile d i in i .
eosotin is the usual method o ote tion. u h o ent al mste dam is onst u ted on timbe iles
he e the ound ate table is e y lose to the ound su a e.
Steel piles: Tubular, box or H-section

hese a e suitable o handlin and d i in in lon len ths. hey ha e a elati ely small oss se tional
a ea and enet ation is easie than ith othe ty es. he is om o osion is not as eat as one mi ht
thin althou h ta oatin o athodi ote tion an be em loyed in e manent o .
Jett ed pile
When d i in iles in non ohesi e soils the enet ation esistan e an o ten be onside ably edu ed by
ettin a st eam o hi h essu ed ate into the soil ust belo the ile. he e ha e been ases he e
iles ha e been installed by ettin alone. he method e ui es onside able e e ien e, a ti ula ly hen
nea to e istin oundations.
Jacked pile
ene ally built u ith a se ies o sho t se tions o e ast on ete, this ile is a ed into the ound
and o essi ely in eased in len th by the addition o a ile se tion hene e s a e be omes a ailable.
Pile Foundations 293
he a in o e is easily measu ed and the load to ile enet ation elationshi an be obtained as
a in o eeds. Ja ed iles a e o ten used to unde in e istin st u tu es he e la o s a e e ludes
the use o ile d i in hamme s.
Screw pile
s e ile onsists o a steel, o on ete, ylinde ith heli al blades atta hed to its lo e end. he
ile is made to s e do n into the soil by otatin the ylinde ith a a stan at the to o the ile.
s e ile, due to the la e si e o its s e blades, an o e la e u li t esistan e.
10.3.2 ored and cast in situ piles

hese iles a e o med ithin a d illed bo ehole. u in the d illin o ess the sides o the bo ehole
a e su o ted to e ent the soil om olla sin in a ds and tem o a y se tions o steel ylind i al
asin a e ad an ed alon ith the d illin o ess to o ide this e ui ed su o t. s the d illin
o esses, the soil is emo ed om ithin the asin and b ou ht to the su a e. n e the ull de th
o the bo ehole has been ea hed, the asin is adually ithd a n, the ein o ement a e is la ed
and the on ete hi h o ms the ile is um ed into the bo ehole. o e y dee bo eholes the instal
lation o many se tions o tem o a y asin an be an e ensi e and slo o ess, and an alte nati e
means o su o tin the sides is th ou h the use o a bentonite slu y in the same manne as o a dia
h a m all see Se tion . .2 .
n alte nati e te hni ue hi h does not use bo ehole side su o t is the continuous ight auger
ile. With this te hni ue a ontinuous i ht au e ith a hollo stem is used to eate the bo ehole. he
sides o the bo ehole a e su o ted by the soil on the i hts o the au e and so no asin is e ui ed.
n e the e ui ed de th has been ea hed, the on ete is um ed do n the hollo stem and the au e
is steadily ithd a n. he steel ein o ement is la ed on e the au e is lea o the bo ehole.
10.3.3 ri en and cast in place piles

hese iles a e o med in a elati ely simila manne to the bo ed iles, e e t that the asin is d i en
to ull de th by a ile d i e , athe than ad an ed in sho t se tions as the hole is o med. he asin is
losed at the bottom end by a deta hable and sa i ial th eaded d i in shoe. n e the asin is d i en
to de th, the ein o ement a e is la ed and the on ete ou ed to o m the ile. he asin is then
unth eaded om the d i in shoe and b ou ht to the su a e as indi ated in i . 10. .
a iant on this a oa h is the Westpile shell pile, hi h uses 1 m lon ein o ed on ete tubes to
o m the asin .
Casing placed Casing driven Reinforcement Concrete Casing

to full depth placed placed removed
Fig. 10.3 i en and ast in la e ile installation.

Fig. 10.4 Installation o a an i ile.
he Franki pile is anothe e am le. steel tube is e e ted e ti ally o e the la e he e the ile is to
be d i en, and about a met e de th o a el is la ed at the end o the tube. d o hamme , 1 00 to
4000 mass, om a ts the a e ate into a solid lu hi h then enet ates the soil and ta es the steel
tube do n ith it. When the e ui ed set has been a hie ed the tube is aised sli htly and the a e ate
b o en out. y on ete is no added and hamme ed until a bulb is o med. ein o ement is la ed in
osition and mo e d y on ete is la ed and ammed until the ile to omes u to ound le el. he
se uen e o o e ations is illust ated in i . 10.4.
10.3. arge diameter bored piles

he d i en o bo ed and ast in la e iles dis ussed e iously ene ally ha e ma imum diamete s in
the o de o 0. m and a e a able o o in loads ound about 2 . With mode n buildin s olumn
loads in the o de o 20 a e not un ommon. olumn a yin su h a load ould need about ten
on entional iles, la ed in a ou and a ed by a on ete slab, obably about 2 m2 in a ea.
onse uen e o this oblem has been the in easin use o the la e diamete bo ed ile. his ile
has a minimum sha t diamete o 0. m and may be unde eamed to i e a la e bea in a ea i ne es
sa y. Su h a ile is a able o o in loads in the o de o 2 and, i ta en do n th ou h the so t
to the ha d mate ial, ill minimise settlement oblems so that only one su h ile is e ui ed to su o t
ea h olumn o the buildin . La e diamete bo ed iles ha e been installed in de ths do n to 0 m.
10. Pile load testing
he only eally eliable means o dete minin a ile’s load a a ity is th ou h a ile load test. hese tests
a e e ensi e, a ti ula ly i the ound is a iable and a la e numbe o iles must the e o e be tested,
but they do o ide eliable data by hi h the desi n o u the iles an be based. In the tests, ull s ale
iles a e used and these a e installed in the same manne as those la ed o the e manent o .
u in ile testin , a load is a lied to the to o the ile and the settlement o the ile is e o ded
a ainst o e o time, de endin on the test. ests an be ate o ised as eithe static load o dynamic
load tests. In addition, soil test esults an be used to aid the dete mination o the ile load a a ity.
10. .1 tatic load tests

Maintained load test (MLT)
In this test, a load is a lied to the ile in dis ete in ements, usually e ual to 2 o the desi nated
o in load o the ile, and the esultin ile settlement is monito ed. Subse uent load in ements a e
only a lied hen the ate o indu ed settlement d o s belo a s e i ed ite ia.
Pile Foundations 29
Fig. 10.5 aintained load test.
he load is ene ally a lied th ou h a hyd auli a hi h uses a beam assembly a ed to ad a ent
iles to o ide the ea tion o e, see i 10. . lte nati ely, stati ei hts an be a lied to o ide
the load i . 10. a o to o ide the a ea tion o e i . 10. b . he test no mally lasts bet een 24
and 4 hou s and is the most suitable in dete minin the load settlement e o man e o a ile unde
o in loads.
he o m o load to settlement elationshi obtained om a loadin test is sho n in i . 10. d. Loadin
is ontinued until ailu e o u s, e e t o la e diamete bo ed iles hi h, ha in a o in load o
about 2 , ould e ui e massi e a lied loadin s i ailu e loads e e to be a hie ed. ene al a ti e
has be ome to test load these iles to the o in load lus 0 .
In te ms o uidan e on the test o edu e om the desi n odes, Eu o ode , Pa t 1 ma es e e en e
to the S su ested method o the a ial ile loadin test, des ibed by Smolt y 19 . lso, it is
li ely that the o th omin Eu o ean standa d o stati load ile testin S E IS 224 , Pa ts 1–
ill ado t the e ommendations and o edu es des ibed by e o et al. 200 .
onstant rate o penetration test ( P)

n alte nati e to the maintained load test is the onstant ate o enet ation test. e e, athe than a ly
a sin le load and ait o the settlement to mo e o less sto , the load is steadily in eased so as to
indu e a ontinuous ate o settlement o the ile. hus the ile is a ed do n a ds at a onstant ate
o enet ation. he ultimate ile load is onside ed to be the load at hi h eithe a shea ailu e ta es
la e ithin the soil o the enet ation o the ile e uals 10 o its diamete .
esign failure load
he desi n ma imum o in load o a ile is usually ta en as the load that auses a

settlement e ual to 10 o the ile diamete e. . o a 2 0 mm diamete test ile, the
desi n ailu e load ould be the load that auses a settlement o 2 mm . oth the L
and the P tests o ide lots o settlement a ainst load, and thus ea h test an be
used to dete mine the desi n ailu e load.
10. .2 namic load tests

hese tests a e less o ula than stati load tests and monito the es onse o a ile sub e ted to hamme
blo s a lied at the ile head. he measu ed es onse a amete s a e analysed to i e edi tions o
the soil esistan e that ould be mobilised by the ile unde stati load onditions, based on st ess a e
theo y. he analysis an also o ide edi tion o the load settlement e o man e o the ile.
10. .3 round tests

ound in esti ation ill in a iably be a ied out o any oundation o e t. esults om soil sam les
an be used to i e an indi ation o the shea st en th a amete s o the soils a tin alon the sha t o
the ile and at the ile base. hese a amete s an be used in the desi n o ess as ill be seen in Se
tions 10. and 10. .
10. etermination of t e bearing capacit of a pile
ile is su o ted in the soil by the esistan e o the toe to u the enet ation lus the i tional o
adhesi e o es alon its embedded len th.
ltimate bea in a a ity = ltimate base esistan e + ltimate s in i tion
Qu = Qb + Q s
10. .1 Co esi e soils

b o iles in ohesi e soils is based on eye ho ’s e uation 19 1
Q b = Nc × cb × A b
Whe e
= bea in a a ity a to , idely a e ted as e ual to 9.0

b = undistu bed und ained shea st en th o the soil at base o ile.
s is i en by the e uation
Q s = α × cu × A s
Whe e
α = adhesion a to
u = a e a e undistu bed und ained shea st en th o soil ad oinin ile
s = su a e a ea o embedded len th o ile.
en e
Q u = c bN c A b + α c u A s
T e ad esion actor α
ost o the bea in a a ity o a ile in ohesi e soil is de i ed om its sha t esistan e, and the oblem
o dete minin the ultimate load esol es into dete minin a alue o α. o so t lays α an be e ual to
o eate than 1.0 as, a te d i in , so t lays tend to in ease in st en th. In o e onsolidated lays α
Pile Foundations 29
has been ound to a y om 0. to 0. . he usual alue assumed o London lay as, o many yea s,
ta en as 0.4 but mo e e ently a alue o 0. o this ty e o soil has be ome mo e a e ted.
10. .2 Co esionless soils

he ultimate load o a ile installed in ohesionless soil is estimated usin only the alue o the d ained
a amete , φ′, and assumin that any ont ibution due to ′ is e o.
Q b = q b A b = σv′ Nq A b
he e
σ′ = the e e ti e o e bu den essu e at the base o the ile

= the bea in a a ity oe ient
b = the a ea o the ile base.
he sele tion o a suitable alue o is ob iously a u ial a t o the desi n o the ile. he alues
su ested by e e ant e et al. 19 1 a e o ten used and a e e odu ed in i .10. . ote that the ull
alue o is used as it is assumed that the ei ht o soil emo ed o dis la ed is e ual to the ei ht
o the ile that e la ed it.
Q s = fsA s
Whe e
s = a e a e alue o the ultimate s in i tion o e the embedded len th o the ile

s = su a e a ea o embedded len th o ile.
eye ho 19 9 su ested that o the a e a e alue o the ultimate s in i tion
fs = K s σv′ tan δ
1000
600
Bearing capacity factor Nq
300
100
30
10
25 30 35 40 45
Angle of shearing resistance (degrees)
Fig. 10.6 a iation o bea in a a ity a to ith an le o shea in esistan e.

Table 10.1 y i al alues o δ and s su ested by oms 19 .
Ks
Relat ive densit y of soil
Pile mat erial δ Loose ense
Steel 20° 0. 1.0

on ete 0. φ′ 1.0 2.0
imbe 0. φ′ 1. 4.0
he e
s = the oe ient o late al ea th essu e

σv′ = a e a e e e ti e o e bu den essu e a tin alon the embedded len th o the ile sha t
δ = an le o i tion bet een the ile and the soil.
en e
Q s = A sK s σv′ tan δ
and
Q u = σv′ Nq A b + A sK s σv′ tan δ
y i al alues o δ and s e e de i ed by oms 19 , and a e listed in able 10.1.

esi 19 ointed out that the alue o b , i.e. σv′ Nq does not in ease inde nitely but has a limitin
alue at a de th o some 20 times the ile diamete . he e is the e o e a ma imum alue o σv′ Nq that an
be used in the al ulations o b.
In a simila manne the e is a limitin alue that an be used o the a e a e ultimate s in i tion, s.
his ma imum alue o s o u s hen the ile has an embedded len th bet een 10 and 20 ile diamete s.
esi 19 0 su ested that the ma imum alue o the a e a e ultimate s in esistan e should be obtained
om the o mula
4
fs = 0.08(10 )1.5(Dr )
he e = the elati e density o the ohesionless soil.

In a ti e s is o ten ta en as 100 Pa i the o mula i es a eate alue.
nli e iles embedded in ohesi e soils, the end esistan es o iles in ohesionless soils a e o on
side able si ni an e and sho t iles a e the e o e mo e e ient in ohesionless soils.
E ample 10.1 ndrained anal sis
ile o diamete 400 mm and len th m is to be installed into a dee de osit o lay.
he lay has an und ained shea st en th o 1 0 Pa at a de th o m and an a e a e
und ained shea st en th o 120 Pa o e the de th 0– m.
ssumin = 9.0 and α = 0. , dete mine the ultimate bea in a a ity o the ile.
ol t ion
Q b = cb × Nc × A b
π× 0.42
= 180 × 9.0 ×
4
= 203.5 kPa
Q s = α × cu × A s
= 0.6 × 120 × π× 0.4 × 6
= 542.6 kPa
Qu = Qb + Q s
= 203.5 + 542.6
= 746.1 kPa
E ample 10.2 rained anal sis
00 mm diamete bo ed on ete ile is to be o med in the soil o le sho n in

i . 10. .
he ound onditions a e as ollo s
anula ll γ = 20 m
φ′ = 0°
s = 1.0
ense a el γ = 21 m
φ′ = °
s = 2.0
0
Depth
(m)
Loose granular fill
Dense gravel
Glacial clay
11
Fig. 10. E am le 10.2.

la ial lay γ = 20 m
u at .0 m = 120 Pa
u at .0 m = 14 Pa
u at 11.0 m = 220 Pa
adhesion a to , α = 0.
= 9.0
ete mine the ultimate bea in a a ity o the ile o
a embedded len th = m
b embedded len th = 11 m
ol t ion
Fill:
20 × 3.0
Q s = A sK s γ tan δ = (π× 0.5× 3)× 1.0 × × tan(0.75 × 30°) = 58.6 kN
2
a el
21× 4.0
Q s = A sK s γ tan δ = (π× 0.5× 4)× 2.0 × 60 + × tan(0.75 × 35°) = 632.1 kN
2
lay len th = m
120 + 145
Q s = α × c u × A s = 0 .6 × × (π× 0.5 × 1.0) = 124.9 kN
2
0 .5 2
Q b = cb × Nc × A b = 145 × 9.0 × π× = 256.2 kN
4
lay len th = 11 m
120 + 220
Q s = α × c u × A s = 0 .6 × × (π× 0.5 × 4.0) = 640.9 kN
2
0 .5 2
Q b = cb × Nc × A b = 220 × 9.0 × π× = 388.8 kN
4
ltimate bea in a a ity
Qu = Qb + Q s
a m u = 2 .2 + . + 2.1 + 124.9 = 10 1.
b 11 m u= . + . + 2.1 + 40.9 = 1 20.4
10. .3 eterm inat ion of soil piling paramet ers from in situ tests
With ohesionless soils it is ossible to ma e easonable estimates o the alues o b and s om in situ
enet ation tests. eye ho 19 su ests the ollo in o mulae to be used in on un tion ith the
ri en piles
40ND
Sands and gravel qb ≈ ≤ 400N (kPa)
B
Pile Foundat ions 301
40ND
Non-plastic silts qb ≈ ≤ 300N (kPa)
B
ored piles
14ND
Any type of granular soil qb ≈
B
Large diameter driven piles fs ≈ 2 kPa
Average diameter driven piles fs ≈ kPa
Bored piles fs ≈ 0.67 kPa
Whe e
= the uncorrected blo ount at the ile base

= the a e a e uncorrected alue o e the embedded len th o the ile
= embedded len th o the ile in the end bea in st atum
= idth, o diamete , o ile.
n alte nati e method is to use the esults o the one enet ation test. y i al esults om su h a test
a e sho n in i . 10. and a e i en in the o m o a lot sho in the a iation o the one enet ations
esistan e ith de th.
o the ultimate base esistan e, , the one esistan e is ta en as bein the a e a e alue o o e
the de th 4d as sho n, he e d = diamete o sha t. hen
Q b = Cr A b
he ultimate s in i tion, s, an be obtained om one o the ollo in
Cr
fs = kPa for driven piles in dense sand
200
Fig. 10. y i al esults om a one enet ation test.

Cr
fs = kPa for driven piles in loose sand
400
Cr
fs = kPa for driven piles in non-plastic silt s
150
he e Cr = a e a e one esistan e alon the embedded len th o the ile e ee , 19 .

hen s = s s and, as be o e, u = b + s.
E ample 10.3 llo able load from in situ testing results
m thi laye o medium sand o e lies a dee de osit o dense a el. se ies o
standa d enet ation tests a ied out th ou h the de th o the sand has established
that the a e a e blo ount, , is 22. u the tests sho that the a el has a standa d
enet ation alue o = 40 in the e ion o the inte a e ith the sand. e ast ile
o s ua e se tion 0.2 × 0.2 m2 is to be d i en do n th ou h the sand and to enet ate
su iently into the a el to i e ood end bea in .
do tin a sa ety a to o .0 dete mine the allo able load that the ile ill be able
to a y.
ol t ion
Ultimate bearing capacity of the pile = Q u = Q s + Q b
b ll end bea in e e ts ill o u in the a el. o

D
q b ≈ 40 N kPa or 400 × N kPa (whichever is the lesser )
B
i.e.
D
q b = 40 × 40 × = 400 × 40 = 16 000 kPa
0.25
16 000 × 0.25
Penetration into gravel, D = = 2 .5 m
40 × 40
and
Q b = 16 000 × 0.252 = 1000 kN
s in sand s = s s = 22 × × 0.2 × 4 = 110

s in a el s = s s = 40 × 2. × 0.2 × 4 = 100
i.e.
Q u = 210 + 1000 = 1210 kN
1210
Allowable load = = 400 kN
3
E am le 10. illust ates that, as dis ussed ea lie , the end bea in e e ts a e mu h eate than
those due to side i tion. It an be a ued that, in o de to de elo side i tion sha t esistan e ully,
a si ni ant do n a d mo ement o the ile is e ui ed hi h annot o u in this e am le be ause o

the end esistan e o the a el. s a esult o this henomenon, it is ommon a ti e to a ly a di e
ent a to o sa ety to the sha t esistan e than that a lied to the end bea in esistan e. y i ally a
a to o sa ety o a ound 1. is a lied to sha t esistan e, and a a to o sa ety bet een 2. and .0 is
a lied to the end bea in esistan e.
etu nin to E am le 10. , and ado tin b = , s = 1. , the allo able load no
be omes
1000 210
+ = 473 kN
3 1.5
10. . egat i e s in frict ion or do ndrag

I a soil settles o onsolidates a ound a ile then the ile ill tend to su o t the soil and the e an be
a onside able in ease in the load on the ile. his e e t is no n as do nd a and is uanti ed as the
additional shea st ess a lied to the su a e o a ile by the soil as it settles.
he main auses o do nd a a e
i bea in iles d i en into e ently la ed ll, hi h then be ins to settle

ii ll la ed a ound the iles a te d i in hi h auses onsolidation in the soil belo
iii onsolidation due to a edu tion in the o e ate essu e in the soil
i onsolidation due to ile installation o a ti ula on e n in sensiti e and no mally onsolidated
lays .
I ne ati e i tion e e ts a e li ely to o u then the iles must be desi ned to a y the additional
load. In e t eme ases the alue o ne ati e s in i tion an e ual the ositi e s in i tion. o e e , the
ma imum alue o ne ati e s in i tion annot a t o e the enti e embedded len th o the ile, and it
is ound to be i tually e o at the to o the ile and ea hes the ma imum alue at its base.
10. esigning pile foundations to Eurocode
he in i les o Eu o ode , as des ibed in ha te , a ly to the desi n o ile oundations and the
desi n o ile oundations is o e ed in Se tion o Eu o ode Pa t 1.
he e a e 11 limit states listed that should be onside ed, thou h only those limit states most ele ant
to the a ti ula situation ould no mally be onside ed in the desi n. hese in lude the loss o o e all
stability, bea in esistan e ailu e o the ile, u li t o the ile and st u tu al ailu e o the ile. In this
ha te e ill loo only at he in a ainst ound esistan e ailu e th ou h the om essi e loadin
o the ile.
Pile desi n methods a e table to Eu o ode a e in the main based on the esults o stati ile load
tests, and the desi n al ulations should be alidated a ainst the test esults. When onside in the
om essi e ound esistan e limit state the tas is to demonst ate that the desi n a ial om ession
load on a ile o ile ou , d , is less than o e ual to the desi n om essi e ound esistan e, d ,
a ainst the ile o ile ou . In the ase o ile ou s, d is ta en as the lesse alue o the desi n
ound esistan e o an indi idual ile and that o the hole ou .
In ee in ith the ules o Eu o ode , the desi n alue o the om essi e esistan e o the ound
is obtained by di idin the ha a te isti alue by a a tial a to o sa ety. he ha a te isti alue is
obtained by one o th ee a oa hes om stati load tests, om ound tests esults o om dynami
tests esults.
onside in esi n oa h 1, the ollo in a tial a to sets see Se tion . .1 a e used o the
desi n o a ially loaded iles
ombination 1 1+ 1+ 1
ombination 2 2+ 1o 2 + 4
1 is used o al ulatin ile esistan e 2 is used o al ulatin un a ou able a tions on iles.
10. .1 ot e on t e ational nne E 199 1 200

s mentioned in ha te , the ational nne allo s ea h nation to o ide ationally ete mined
Pa amete s Ps that should be used in la e o the alues ublished in the main Eu o ode do ument.
o Eu o ode Pa t 1, Ps in lude a tial a to s and ules o use he e national hoi e is e mitted
in the main Eu o ode. he a tial a to s o the E limit state in the ational nne a e the same
as those listed in Eu o ode Pa t 1, ith the e e tion o the a tial esistan e a to s γ and the o
elation a to s ξ o ile oundations. It is im o tant to note the e o e that du in ile oundation desi n
in the , the alues o ided in the ational nne must be used, athe than the alues ublished in
the main Eu o ode do ument. In the ollo in se tions, both sets o alues a e o ided.
10. .2 ltimate compressi e resist ance from static load tests

he ha a te isti alue o the om essi e ound esistan e, , is obtained by ombinin the measu ed
alue om the ile load tests ith a o elation a to , ξ elated to the numbe o iles tested . o e
e li itly, is ta en as the lesse alue o
(Rc;m )mean (Rc ;m )min

Rc ;k = and Rc ;k =
ξ1 ξ2
Whe e
m mean = the mean measu ed esistan e

m min = the minimum measu ed esistan e
ξ1, ξ2 = o elation a to s obtained om able 10.2 Eu o ode , Pa t 1 o able 10.2 ational
nne .
It may be that the ha a te isti om essi e esistan e o the ound is mo e a o iately dete mined
om the ha a te isti alues o the base esistan e, b and the sha t esistan e, s
Rc ;k = Rb ;k + Rs;k
Table 10.2 o elation a to s – stati load tests

esults om E 199 1 2004, able 9 .
mber of iles t est ed
1 2 3 4 ≥5
ξ1 1.4 1. 1.2 1.1 1.0

ξ2 1.4 1.2 1.0 1.0 1.0
Pile Foundations 30
Table 10.2 o elation a to s – stati load tests

esults om to S E 199 1 2004, able . .9 .
mber of iles t est ed
1 2 3 4 ≥5
ξ1 1. 1.4 1.42 1. 1.
ξ2 1. 1. 1.2 1.1 1.0
Table 10.3 Piles in om ession a tial a to sets 1, 2, and 4 om E 199 1 2004, ables
, and .
R1 R2 R3 R4
Part ial
fa t or set riven ored F ll ll riven ored F
ase, γb 1.0 1.2 1.1 1.1 1.0 1. 1. 1.4

Sha t, γs 1.0 1.00 1.0 1.1 1.0 1. 1. 1. 0
otal, γt 1.0 1.1 1.1 1.1 1.0 1. 1. 1.40
Table 10.3 Piles in om ession a tial a to sets 1, 2, and 4 om to S E 199 1 2004,

ables . . , . . and . . .
R1 R2 R3 R4
Part ial
fa t or set riven ored F ll ll riven ored F
ase, γb 1.0 1.0 1.0 1.1 1.0 1. 1. 2.0 1. 2.0 1.

Sha t, γs 1.0 1.0 1.0 1.1 1.0 1. 1. 1. 1.4 1. 1.4
otal, γt 1.0 1.0 1.0 1.1 1.0 1. 1. 2.0 1. 2.0 1.
: he pairs of values listed in a le . indicate that there is a choice of value to e used depending on hether
or not e plicit veri cation of the servicea ility limit state i.e. settlement has een carried out. he higher value is to
e used hen no e plicit veri cation is undertaken and the lo er value is used hen there is e plicit veri cation.
E plicit veri cation includes situations here servicea ility is veri ed y load tests on more than of the constructed
piles or situations here settlement is of no concern.
he desi n om essi e esistan e o the ound may be de i ed by eithe
Rc ;k
Rc;d =
γt
Rb ;k Rs;k
Rc;d = +
γb γs
he e γb , γs and γt a e a tial a to s on base esistan e, sha t esistan e and the total esistan e es e
ti ely. he a tial a to s o iles in om ession e ommended in Eu o ode a e i en in able 10.
Eu o ode , Pa t 1 o able 10. ational nne .
E ample 10. tatic load tests to ational nne
se ies o stati load tests on a set o ou bo ed iles a e the ollo in esults
Test no.
1 2 3 4
easu ed load 2 42 412
om an unde standin o the ound onditions, it is assumed that the atio o base
esistan e to sha t esistan e is 1. ete mine the desi n om essi e esistan e o the
ound in a o dan e ith Eu o ode , esi n oa h 1, ollo in the ational
nne and assume e li it SLS e i ation has ta en la e.
ol t ion
382 + 425 + 365 + 412
(Rc ;m )mean = = 396 kN
4
(Rc ;m )min = 365 kN
om able 10.2 , ξ 1 = 1. ξ2 = 1.1
(Rc ;m )mean 396
Rc ;k = = = 287 kN
ξ1 1.38
(Rc ;m )min 365
Rc ;k = = = 317 kN
ξ2 1.15
that is
Rc ;k = 287 kN (i.e. the minimum value)
Sin e the atio o base esistan e to sha t esistan e is 1, e ha e
ha a te isti base esistan e, b = 2 × 0. = 21
ha a te isti sha t esistan e, s = 2 × 0.2 = 2
esign pproach om ination :

Pa tial a to set 1 is used
Rc ;k 287
Rc ;d = = = 287 kN
γt 1 .0
o
Rb ;k Rs;k 215 72
Rc ;d = + = + = 287 kN
γb γs 1.0 1.0
esign pproach om ination :

Pa tial a to set 4 is used
Rc ;k 287
Rc ;d = = = 169 kN
γt 1. 7
Pile Foundations 30
o
Rb ;k Rs;k 215 72
Rc ;d = + = + = 178 kN
γb γs 1 . 7 1. 4
he desi n om essi e esistan e o the ound is thus dete mined
Rc ;d = min(287, 287, 169, 178) = 169 kN
E ample 10. Maintained load tests to E 199 1 200
st u tu e is to be su o ted by a se ies o 9 bo ed iles, a an ed symmet i ally

beneath a ile a . Ea h ile has diamete o 00 mm. he ile a ill a y a e ti al
e esentati e e manent load, P o 10 in ludes sel ei ht and a e ti al e e
sentati e t ansient load, P o 2 00 a lied ith no e ent i ity.
esults om t o maintained load tests a ied out on test iles a e sho n in i 10.9.
he om lian e o the bea in esistan e limit state by dete minin the o e desi n
a to o
a esi n oa h 1
b esi n oa h 2
se the a tial and o elation a to s om E 199 1 2004.
ol t ion
om able 10.2
ξ1 = 1.30; ξ2 = 1.20
he measu ed esistan e , m is ta en as the ile load e o ded at a settlement e ual
to 10 o the ile diamete = 0 mm .
Rc ,m = 2750 kN (Test 1), Rc;m = 2900 kN (Test 2)
Pile Load (MN)

0 0.5 1 1.5 2 2.5 3 3.5 4
0
20
Settlement (mm)
Test 2
40
Test 1
60
80
100
Fig. 10. aintained load test esults.

Rmin = 2750 kN
Rmean = (2750 + 2900) / 2 = 2825 kN
Rc ;k = min
(Rc;m )mean (Rc ;m )min
ξ1
;
ξ2 {
= min
2825 2750
1 .3
; }
1 .2
= 2173 kN
om able .1 and able 10.

1 1 γ ,un a = 1. γ = 1. 0 γt = 1.1
1 2 γ ,un a = 1.00 γ = 1. 0 γt = 1. 0
2 γ ,un a = 1. γ = 1. 0 γt = 1.10
onside a sin le ile

PG = 10000 / 9 = 1111 kN
PQ = 2800 / 9 = 311 kN
a esign pproach :
om ination :
VG,d = 1111× 1.35 = 1500 kN
VQ ,d = 311× 1.5 = 467 kN
Fd = 1500 + 467 = 1967 kN
Rc,k 2173
Rc ,d = = = 1890 kN
γt 1.15
Rc ,d 1890
Γ= = = 0.96
Fd 1967
om ination :
VG,d = 1111× 1.0 = 1111 kN
Q ,d = 311× 1.3 = 404 kN

Fd = 1111+ 404 = 1515 kN
Rc,k 2173
Rc ,d = = = 1449 kN
γt 1 .5
Rc ,d 1449
Γ= = = 0.96
Fd 1515
b esi n oa h 2
Fd = 1967 kN
Rc,k 2173
Rc ,d = = = 1975 kN
γt 1 .1
Rc ,d 1975
Γ= = = 1.0
Fd 1967
i.e. hilst om lian e o the bea in limit state is not satis ed usin esi n oa h
1 it is by esi n oa h 2.
10. .3 ltim ate compressi e resist ance from ground tests results
he desi n om essi e esistan e an be dete mined om ound tests esults. e e the ha a te isti
om essi e esistan e, , is ta en as the lesse alue o
(Rb ;cal + Rs;cal )mean (Rb ;cal + Rs;cal )min

c ;k = and Rc ;k =
ξ3 ξ4
Whe e
b al mean = the mean al ulated base esistan e

s al mean = the mean al ulated sha t esistan e
b al min = the minimum al ulated base esistan e
s al min = the minimum al ulated sha t esistan e
ξ , ξ4 = o elation a to s obtained om able 10.4 Eu o ode , Pa t 1 o able 10.4 ational
nne .
he al ulated base and sha t esistan es a e dete mined usin the e uations set out in Se tion 10. .
Table 10.4 o elation a to s – ound tests esults om E 199 1 2004,

able 10 .
mber of t est ro les
1 2 3 4 5 10
ξ 1.4 1. 1. 1. 1 1.29 1.2 1.2

ξ4 1.4 1.2 1.2 1.20 1.1 1.12 1.0
Table 10.4 o elation a to s – ound tests esults om to S E 199

1 2004, able . .10 .
mber of t est ro les
1 2 3 4 5 10
ξ 1. 1.4 1.42 1. 1. 1. 1. 0
ξ4 1. 1. 9 1. 1.29 1.2 1.20 1.1
E ample 10. round tests results
10 m lon by 0. m diamete ile is to be ounded in a uni o m so t lay. he

ollo in test esults e e established in a eote hni al labo ato y as a t o a site
in esti ation
ore ole no. 1 2 3 4
ean und ained st en th alon 2 0

sha t, u sha t Pa
ean und ained st en th at base, 90 9 9 100
u basePa
he ile ill a y a e manent a ial load o 00 in ludes the sel ei ht o the ile
and an a lied t ansient a iable a ial load o 1 0 .
he the bea in esistan e E limit state in a o dan e ith Eu o ode , esi n
oa h 1 by establishin the ma nitude o the o e desi n a to . ssume = 9
and α = 0. and assume e li it SLS e i ation has been unde ta en.
ol t ion
πD2 π× 0.72
Area of base of pile, A b = = = 0.385 m2
4 4
he total esistan e is dete mined om the esults om ea h bo ehole
(Rb ;cal )1 = (Nc × cu × A b ) + (π× D × L × α × cu )

= (9 × 90 × 0.385) + (π× 0.7× 10 × 0.7× 65) = 1312 kN
(Rb ;cal )2 = (9 × 79 × 0.385) + (π× 0.7× 10 × 0.7× 62) = 1228 kN
(Rb ;cal )3 = (9 × 96 × 0.385) + (π× 0.7× 10 × 0.7× 70 ) = 1410 kN
(Rb ;cal )4 = (9 × 100 × 0.385) + (π× 0.7× 10 × 0.7× 73) = 1470 kN
1312 + 1228 + 1410 + 1470
(Rc ;cal )mean = = 1355 kN
4
(Rc ;cal )min = 1228 kN (i.e. Borehole 2)
om able 10.4 , ξ = 1. ξ4 = 1.29.
(Rc ;cal )mean 1355

Rc ;k = = = 982 kN
ξ3 1.38
(Rc ;cal )min 1228
Rc ;k = = = 952 kN
ξ4 1.29
that is, al min o e ns and this lo e alue o is ta en as the ha a te isti om

essi e esistan e.
he e o e, usin ξ4
9 × 79 × 0.385
Characteristic base resistance, Rb ,k = = 212 kN
1.29
π× 0.7× 10 × 0.7× 62
Characteristic shaft resistance, Rs,k = = 74
40 kN
1.29
1. esign pproach om ination :

esi n esistan e a tial a to set 1 is used able 10.
Rb ;k Rs;k 212 740

Rc ;d = + = + = 952 kN
γb γs 1 .0 1 .0
esi n a tions a tial a to set 1 is used able .1
Fc ;d = 500 × 1.35 + 150 × 1.5 = 900 kN

952
Over-design factor, Γ = = 1.06
900
2. esign pproach om ination :

esi n esistan e a tial a to set 4 is used able 10.
Rb ;k Rs;k 212 740
Rc ;d = + = + = 568.5 kN
γb γs 2.0 1.6
esi n a tions a tial a to set 2 is used able .1
Fc;d = 500 × 1.0 + 150 × 1.3 = 695 kN
568.5
Over-design factor, Γ = = 0.82
695
Sin e Γ < 1, the desi n o the ile does not satis y the E limit state e ui ement.
10. . ltimate compressi e resist ance from d namic tests results

lthou h stati load tests and ound tests a e the most ommon methods o dete minin the om es
si e esistan e o the ile, the esistan e an also be estimated om dynami tests o ided that the test
o edu e has been alib ated a ainst stati load tests.
10. Pile groups
10. .1 ct ion of pile groups

Piles a e usually d i en in ou s and onne ted at the to to a ile a onto hi h the st u tu al load
is la ed i . 10.10 . he one o soil o o hi h is st essed by the enti e ou e tends to a mu h
eate idth and de th than the one beneath a sin le ile.
ailu e o the ou may o u eithe by ailu e o an indi idual ile o by ailu e o the o e all mass o
soil su o tin the ou .
i. End-bearing piles
In the ase o end bea in iles the essu e bulbs o the indi idual iles ill o e la i the s a in
bet een the iles is less than times the diamete o a sin le ile. his is the usual ondition. P o ided
diameter, d B
D
Pile group
(plan)
Single pile Pile group
Fig. 10.10 Pile ou a an ement.

that the bea in st ata a e m th ou hout the a e ted de th o this ombined bulb, then the bea in
a a ity o the ou ill be e ual to the sum o the indi idual st en ths o the iles. o e e , he e a
om essible laye e ists ithin o immediately belo the shaded one, he s must be made to ensu e
that the laye ill not be o e st essed.
ii. Frict ion/ combinat ion piles

ile groups in granular soils:
Pile installation in sands and a els auses om a tion o the soil bet een the iles. his densi a
tion o the soil leads to an in ease in the st en th o the soil su h that the bea in a a ity o the
ou e eeds the sum o the bea in a a ities o the indi idual iles that om ise the ou .
o e e , as a onse ati e a oa h in desi n it is usual to ta e the group bea in a a ity to be
e ual to the sum o the individual bea in a a ities. he s a in o the iles is usually a ound t o to
th ee times the diamete , o b eadth, o the indi idual iles.
ile groups in cohesive soils:
y ont ast, in lays, the load a yin a a ity o a ou o e ti ally loaded iles is onside ably
less than the sum o the a a ities o indi idual iles om isin the ou , and this henomenon must
be onside ed in the desi n else e essi e settlement mi ht o u .
n im o tant ha a te isti o ile ou s in ohesi e soils is the henomenon o lock failure. his is
hen the enti e blo o soil ontainin the iles ails alon the e imete o the ou .
o blo ailu e
Q u = 2D(B + L)cu + 1.3cbNcBL
he e
, , L a e the dimensions indi ated in i . 10.10

c u is the a e a e und ained st en th alon the sides o the iles
b is the und ained st en th at the base o the iles
is the bea in a a ity oe ient usually ta en as 9.0
s mentioned, in lays the a a ity o an indi idual ile ithin a losely s a ed ou is lo e than that
o an e ui alent “ isolated” ile. his e e t is etty insi ni ant and so may be i no ed in desi n.
mo e on e n ho e e , is the a t that the blo a a ity o the ou is less than the sum o the indi idual
ile a a ities. he s a in o the iles is thus in uential. I the iles a e la ed lose to ethe i.e. less
than a distan e o a o imately 1. d a a t the st en th o the ou may be o e ned by the esistan e
a ainst blo ailu e and thus blo ailu e be omes a li ely ailu e mode. o e ent blo ailu e, the
iles should be s a ed about 2d – d a a t.
In su h ases
Q u = E n Q up
he e
E = e ien y o ile ou 0. o s a in s 2d– d

u = ultimate bea in a a ity o sin le ile
n = numbe o iles in ou .
10. .2 et tlement ef fects in pile groups

uite o ten it is the allo able settlement, athe than the bea in esistan e, that de ides the o in
load that a ile ou may a y.
2 D
D 4 3
1
Fig. 10.11 ans e o load in i tion iles.
o bea in iles the total oundation load is assumed to a t at the base o the iles on a oundation
o the same si e as the lan o the ile ou . With this assum tion it be omes a sim le matte to e amine
settlement e e ts.
With i tion iles it is i tually im ossible to dete mine the le el at hi h the oundation load is e e
ti ely t ans e ed to the soil. n a o imate method, o ten used in desi n, is to assume that the e e ti e
t ans e le el is at a de th o 2 belo the to o the iles. It is also assumed that the e is a s ead o
the total load, one ho i ontal to ou e ti al. he settlement o this e ui alent oundation i . 10.11
an then be dete mined by the no mal methods.
E ercises
E ercise 10.1
sin le test ile, 00 mm diamete , is d i en th ou h a de th o m o lay hi h

has an und ained ohesi e st en th a yin om 10 Pa at its su a e to 0 Pa at a
de th o m. Estimate the sa e load that the ile an a y.
ns er 0
E ercise 10.2
h ee stati load tests e e a ied out on iles and a e the ollo in esults
Test o. 1 2 3
easu ed load 1210 1 0 1490
ound in esti ation has e ealed that the esistan e o the soil in eases a idly
ith de th, su h that the base esistan e may be onside ed e ual to ou times
the sha t esistan e.
ete mine the desi n om essi e esistan e o the ound in a o dan e ith
both esi n oa h 1 and esi n oa h 2.
ns er 1 94 2 102
E ercise 10.3
11 m lon × 0. m diamete ile is to be d i en in a dee de osit o lay. he

ollo in test esults e e established in a eote hni al labo ato y as a t o a site
in esti ation
ore ole o. 1 2 3 4
ean und ained st en th alon 120 1 0 200 1

sha t, u sha t Pa
u the tests e ealed that the mean und ained st en th at the base o the ile an
be a o imated to 1. times the sha t mean st en th o ea h bo ehole.
he ile ill a y a e manent a ial load o 00 in ludes the sel ei ht o
the ile and an a lied t ansient a iable a ial load o 2 0 .
he the bea in esistan e E limit state in a o dan e ith Eu o ode ,
esi n oa h 1 by establishin the ma nitude o the o e desi n a to . ssume
= 9 and α = 0. .
ns er 1 1 Γ = 1.1 1 2 Γ = 1.1
E ercise 10.
st u tu e is to be su o ted by a se ies o 12 d i en iles, a an ed symmet i ally

beneath a ile a . Pile eomet y and loadin data a e listed belo
P = 00 ξ = 1.
P = 00 ξ4 = 1.2
= 0. m L= 1 . m
ound tests esults om bo eholes ha e i en the ollo in alues o und
ained shea st en th
1 2 3
u,sha t 2 4 1
u,base 0 42
ssume = 9 and α = 0. .
he om lian e o the bea in esistan e limit state by dete minin the o e
desi n a to o
i. esi n oa h 1
ii. esi n oa h 2.
ns er 1 1 Γ = 1.12 1 2 Γ = 1.10 2 Γ = 1.02

Ch a p t e r 11
Foundation Settlement and
Soil Compression
11.1 Settlement of a foundation
P obably the most di ult o the oblems that a soils en inee is as ed to sol e is the a u ate edi
tion o the settlement o a loaded oundation.
he oblem is in t o distin t a ts i the alue o the total settlement that ill o u , and ii the ate
at hi h this alue ill be a hie ed.
When a soil is sub e ted to an in ease in om essi e st ess due to a oundation load the esultin soil
om ession onsists o elasti om ession, ima y om ession and se onda y om ession.
Elastic compression
his om ession is usually ta en as o u in immediately a te the a li ation o the oundation load.
Its e ti al om onent auses a e ti al mo ement o the oundation immediate settlement that in the
ase o a a tially satu ated soil is mainly due to the e ulsion o ases and to the elasti bendin eo i
entation o the soil a ti les. With satu ated soils immediate settlement e e ts a e assumed to be the
esult o e ti al soil om ession be o e the e is any han e in olume.
Primary com pression

he sudden a li ation o a oundation load, besides ausin elasti om ession, eates a state o e ess
hyd ostati essu e in satu ated soil. hese e ess o e ate essu e alues an only be dissi ated by
the adual e ulsion o ate th ou h the oids o the soil, hi h esults in a olume han e that is time
de endent. soil e e ien in su h a olume han e is said to be onsolidatin , and the e ti al om
onent o the han e is alled the onsolidation settlement.
Secondary compression
olume han es that a e mo e o less inde endent o the e ess o e ate essu e alues ause se
onda y om ession. he natu e o these han es is not ully unde stood but they a e a a ently due to
a o m o lasti o esultin in a dis la ement o the soil a ti les. Se onda y om ession e e ts an
ontinue o e lon e iods o time and, in the onsolidation test see Se tion 11. .2 , be ome a a ent
to a ds the end o the ima y om ession sta e due to the thinness o the sam le, the e ess o e
ate essu es a e soon dissi ated and it may a ea that the main a t o se onda y om ession o u s
a te ima y om ession is om leted. his e e t is absent in the ase o an in situ lay laye be ause
the la e dimensions in ol ed mean that a onside able time is e ui ed be o e the e ess o e essu es

315
d ain a ay. u in this time the e e ts o se onda y om ession a e also ta in la e so that, hen
ima y om ession is om lete, little, i any, se onda y e e t is noti eable. he te ms ‘ ima y’ and
‘se onda y’ a e the e o e seen to be athe a bit a y di isions o the sin le, ontinuous onsolidation
o ess. he time elationshi s o these t o a to s ill be enti ely di e ent i they a e obtained om t o
test sam les o di e ent thi nesses.
11.2 Immediate settlement
11.2.1 Cohesive soils

I a satu ated lay is loaded a idly, the soil ill be de o med du in the load a li ation and e ess
hyd ostati o e essu es a e set u . his de o mation o u s ith i tually no olume han e, and due
to the lo e meability o the lay, little ate is s uee ed out o the oids. e ti al de o mation due to
the han e in sha e is the immediate settlement.
his han e in sha e is illust ated in i . 11.1a, he e an element o soil is sub e ted to a e ti al ma o
in i al st ess in ease Δ σ1, hi h indu es an e ess o e ate essu e, Δ u. he late al e ansion
auses an in ease in the mino in i al st ess, Δ σ .
he o mula o immediate settlement o a e ible oundation as o ided by e a hi 194 and is
pB(1− ν 2 ) Np
ρi =
E
Whe e
= uni o m onta t essu e

= idth o oundation
E = oun ’s modulus o elasti ity o the soil
ν = Poisson’s atio o the soil = 0. in satu ated soil
= an in uen e a to de endin u on the dimensions o the e ible oundation.
his elationshi i es the immediate settlement at the o ne s o a e tan ula ootin , len th L and
idth . In the ase o a uni o mly loaded, e e tly e ible s ua e ootin , the immediate settlement
unde its ent e is t i e that at its o ne s.
a ious alues o a e i en in able 11.1.
y the in i le o su e osition it is ossible to dete mine the immediate settlement unde any oint
o the base o a oundation E am le 11.2 . s oil hea o ea th emban ment an be ta en as e ible
Fig. 11.1 om essi e de o mation.

Foundation Settlement and Soil Compression 31
Table 11.1 alues o .
L/ B Np
1.0 0.
2.0 0.
.0 0.
4.0 0.9
.0 1.00
Table 11.2 alues o I .
L/ B Ip
i le 0.
1 0. 2
2 1.00
1.22
10 1.2
and to dete mine the immediate settlement o de osits belo su h a onst u tion the oe ients o able
11.1 should be used.
oundations a e ene ally mo e i id than e ible and tend to im ose a uni o m settlement hi h
is ou hly the same alue as the mean alue o settlement unde a e ible oundation. he mean alue
o settlement o a e tan ula oundation on the su a e o a semi elasti medium is i en by the
e ession
pB(1− ν 2 ) Ip
ρi =
E
he e
I = an in uen e a to de endin u on the dimensions o the oundation.
S em ton 19 1 su ested the alues o I i en in able 11.2.
Immediate settlement of a thin clay layer

he oe ients o ables 11.1 and 11.2 only a ly to oundations on dee soil laye s. e ti al st esses
e tend to about 4.0 belo a st i ootin and the o mulae, st i tly s ea in , a e not a li able to laye s
thinne than this, althou h little e o is in u ed i the oe ients a e used o laye s o thi nesses eate
than 2.0 . d a ba o the method is that it an only be a lied to a laye immediately belo the
oundation.
o ases hen the thi ness o the laye is less than 4.0 a solution is ossible ith the use o oe
ients e a ed by Steinb enne 19 4 , hose o edu e as to dete mine the immediate settlement
at the to o the laye assumin in nite de th and to al ulate the settlement at the bottom o the laye
a ain assumin in nite de th belo it. he di e en e bet een the t o alues is the a tual settlement
o the laye .
Fig. 11.2 Immediate settlement o thin lay laye .
he total immediate settlement at the o ne o a e tan ula oundation on an in nite laye is
pB(1− ν 2 ) Ip
ρi =
E
he alues o the oe ient I hen ν = 0. a e i en in i . 11.2 . o dete mine the settlement o a

oint beneath the oundation the a ea is di ided into e tan les that meet o e the oint the same
o edu e used hen dete minin e ti al st ess in ements by Steinb enne ’s method . he summation
o the settlements o the o ne s o the e tan les i es the total settlement o the oint onside ed.
his method an be e tended to dete mine the immediate settlement o a lay laye hi h is at some
de th belo the oundation. In i . 11.2b the settlement o the lo e laye o thi ness 2 − 1 is obtained
by st dete minin the settlement o a laye e tendin om belo the oundation that is o thi ness 2
usin E2 om this alue is subt a ted the ima ina y settlement o the laye 1 a ain usin E2 .
It should be noted that the settlement alues obtained by this method a e o a e e tly e ible oun
dation. sually the alue o settlement at the ent e o the oundation is e aluated and edu ed by a
i idity a to ene ally ta en as 0. to i e a mean alue o settlement that a lies o e the hole
oundation.
E ample 11.1 i id foundation
ein o ed on ete oundation, o dimensions 20 m × 40 m e e ts a uni o m essu e

o 200 Pa on a semi in nite satu ated soil laye E = 0 Pa .
ete mine the alue o immediate settlement unde the oundation usin able 11.2.
Solut ion:
L 40
= = 2 .0
B 20
om able 11.2, I = 1.0.
pB (1− ν 2 ) Ip 200 × 20 × 0.75 × 1.0
ρi = = = 0.06 m = 60 mm
E 50000
Foundation Sett lement and Soil Compression 31
E ample 11.2 Fle i le foundation
he lan o a o osed s oil hea is sho n in i . 11. a. he ti ill be about 2 m

hi h and ill sit on a thi , so t allu ial de osit E = 1 Pa . It is estimated that the
e entual uni o m bea in essu e on the soil ill be about 00 Pa. Estimate the imme
diate settlement unde the oint at the su a e o the soil.
Solut ion:
he o edu e is to di ide the lan a ea into a numbe o e tan les, the o ne s o
hi h must meet at the oint in i . 11. b it is seen that th ee e tan les a e e ui ed.
s the st u tu e is e ible and the soil de osit is thi , the oe ients o able 11.1
should be used
L
e tan le 1 100 m × 50 m = 2.0 = 0.
B
L
e tan le 2 50 m × 50 m = 1.0 = 0.
B
L
e tan le 50 m × 30 m = 1.67 = 0. 4
B
p
ρi = (1− ν 2 )(Np1B1 + Np 2B2 + Np 3B3 )
E
300 × 0.75
= (0.76 × 50 + 0.56 × 50 + 0.64 × 30 )
15 000
= 1.28 m
Fig. 11.3 E am le 11.2.
The effect of depth

o 194 sho ed that o dee oundations > the al ulated immediate settlements a e mo e than
the a tual ones, and a edu tion may be a lied. I = the edu tion is a o imately 2 , in easin
to about 0 o in nitely dee oundations.
ost oundations a e shallo , ho e e , and althou h this edu tion an be allo ed o hen a laye o
soil is some de th belo a oundation, the settlement e e ts in this ase a e small so it is not ustoma y
a ti e to edu e them u the .
Determ ination of E
he modulus o elasti ity, E, is usually obtained om the esults o a onsolidated und ained t ia ial test
a ied out on a e esentati e sam le o the soil that is onsolidated unde a ell essu e a o imatin
to the e e ti e o e bu den essu e at the le el om hi h the sam le as ta en. he soil is then shea ed
und ained to obtain the lot o total de iato st ess a ainst st ain this is ne e a st ai ht line and to
dete mine E a line must be d a n om the o i in u to the alue o de iato st ess that ill be e e i
en ed in the eld hen the oundation load is a lied. In dee laye s the e is the oblem o assessin
hi h de th e esents the a e a e, and ideally the laye should be s lit into thinne laye s ith a alue
o E dete mined o ea h.
e tain amount o analysis o is ne essa y in o de to a y out the abo e o edu e. he in e
ments o in i al st ess Δ σ1 and Δ σ must be obtained so that the alue o Δ σ1 − Δ σ is no n, and a
sa ety a to o .0 is ene ally a lied a ainst bea in a a ity ailu e. S em ton 19 1 oints out that
hen the a to o sa ety is .0 the ma imum shea st ess indu ed in the soil is not eate than o
the ultimate shea st en th, so that a alue o E an be obtained di e tly om the t ia ial test esults by
sim ly dete minin the st ain o es ondin to o the ma imum de iato st ess and di idin this
alue into its o es ondin st ess. he method odu es esults that a e ell ithin the an e o a u a y
ossible ith othe te hni ues.
11.2.2 Cohesionless soils

in to the hi h e meabilities o ohesionless soils, both the elasti and the ima y e e ts o u mo e
o less to ethe . he esultin settlement om these a to s is te med the immediate settlement.
he han e o bea in a a ity ailu e in a oundation su o ted on a ohesionless soil is emote, and
o these soils it has be ome standa d a ti e to use settlement as the desi n ite ion. he allo able
bea in essu e, , is ene ally de ned as the essu e that ill ause an a e a e settlement o 2 mm
in the oundation.
he dete mination o om the esults o the standa d enet ation test has been dis ussed in ha te
9. I the a tual bea in essu e is not e ual to the alue o then the alue o settlement is not no n
and, sin e it is di ult to obtain this alue om labo ato y tests, eso t must be made to in situ test esults.
ost methods used e ui ed the alue o , the enet ation esistan e o the one enet ation test,
hi h is usually e essed in Pa o Pa.
Meyerhof ’s method
ui estimate o the settlement, ρ, o a ootin on sand as o osed by eye ho 19 4
∆ pB
ρ=
2Cr
he e
= the least dimension o the ootin

Cr = the a e a e alue o o e a de th belo the ootin e ual to
Δ = the net oundation essu e in ease, hi h is sim ly the oundation loadin less the alue o e ti
′ .
al e e ti e st ess at oundation le el, σv0
he t o othe methods ommonly in use e e o osed by e ee and a tens 19 and by

S hme tmann 19 0 . oth methods e ui e a alue o and, i eithe is to be used ith standa d enet a
tion test esults, it is ne essa y to ha e the o elation bet een and .
b iously the alue o obtained om the one enet ation test must be elated to the numbe o
e o ded blo s, , obtained om the standa d enet ation test. a ious o e s ha e attem ted to nd
this elationshi ith mode ate su ess. ei h and i on 19 1 sho ed that, o e a numbe o sites,
a ied om 4 0 × to 19 0 × Pa.
he elationshi most ommonly used at the esent time is that o osed by eye ho 19
Cr = 400 × N kPa
he e = a tual numbe o blo s e o ded in the standa d enet ation test.

It oes ithout sayin that, hene e ossible, alues obtained om a tual one tests should be
used in e e en e to alues estimated om alues.
he elationshi s bet een and dete mined by a ious o e s and the im li ations in ol ed ha e
been dis ussed by ei h 19 .
De Beer and Martens’ met hod

om the esults o the in situ tests a ied out, a lot o o alues a ainst de th is e a ed, simila
to that sho n in i . 10. . With the aid o this lot the o le o the om essible soil beneath the o
osed oundation an be di ided into a suitable numbe o laye s, e e ably o the same thi ness,
althou h this is not essential.
In the ase o a dee soil de osit the de th o soil onside ed as a e ted by the oundation should
not be less than 2.0 , ideally 4.0 , he e = oundation idth.
he method o oses the use o a onstant o om essibility, S, he e
Cr
C S = 1. 5
p o1
he e
= stati one esistan e Pa

o1 = e e ti e o e bu den essu e at the oint tested
otal immediate settlement is
H p o 2 + ∆ σz
ρi = ln
CS p o2
Whe e
Δ σ = e ti al st ess in ease at the ent e o the onsolidatin laye o thi ness

o2 = e e ti e o e bu den essu e at the ent e o the laye be o e any e a ation o load a li ation.
Note: eye ho 19 su ests that a mo e ealisti alue o S is
Cr
C S = 1. 9
p o1
Su h a e nement may be an ad anta e i the al ulations use alues hi h ha e been dete mined
om one enet ation tests, but i the alues used ha e been obtained om the elationshi = 400 Pa,
su h a e nement seems nai e.
Schmertm ann’s met hod

i inally o osed by S hme tmann in 19 0 and modi ed by S hme tmann et al. 19 , the method is
no ene ally e e ed to e ee and a tens’ a oa h.
Fig. 11.4 a iation o I ith de th a te S hme tmann, 19 0 .
he method is based on t o main assum tions
i the eatest e ti al st ain in the soil beneath the ent e o a loaded oundation o idth o u s at
de th 2 belo a s ua e oundation and at de th o belo a lon oundation
ii si ni ant st esses aused by the oundation loadin an be e a ded as insi ni ant at de ths eate
than = 2.0 o a s ua e ootin and = 4.0 o a st i ootin .
he method in ol es the use o a e ti al st ain in uen e a to , I , hose alue a ies ith de th. alues
o I , o a net oundation essu e in ease, Δ , e ual to the e e ti e o e bu den essu e at de th 2,
a e sho n in i . 11.4.
he o edu e onsists o di idin the sand belo the ootin into n laye s, o thi nesses Δ z1, Δ z2,
Δ z3 . . . Δ zn. I soil onditions e mit it is sim le i the laye s an be made o e ual thi ness, Δ . he
e ti al st ain o a laye is ta en as e ual to the in ease in e ti al st ess at the ent e o the laye , i.e.
Δ multi lied by I , hi h is then di ided by the odu t o and a a to . en e
n
Iz
ρ = C1C2∆ p ∑ xC ∆ z
1 r
1
he e
= 2. o a s ua e ootin and . o a lon ootin

I = the st ain in uen e a to , alued o ea h laye at its ent e, and obtained om a dia am simila
to i . 11.4 but ed a n to o es ond to the oundation loadin
C1 = a correction factor for the depth of the foundation
σ′
= 1.0 − 0.5 v (= 1.0 for a surface footing )
∆p
2 = a o e tion a to o ee
= 1 + 0.2 lo 10 10t t = time in yea s a te the a li ation o oundation loadin o hi h the settle
ment alue is e ui ed .
Foundation Set tlement and Soil Compression 323
s mentioned abo e, i . 11.4 must be ed a n. his is a hie ed by obtainin a ne ea alue o I

om the e ession
0.5
∆p
Iz = 0.5 + 0.1
′
σvp
′ = the e e ti e e ti al o e bu den
he e σvp essu e at a de th o 0. o a s ua e oundation and at
a de th o 1.0 o a lon oundation.
E ample 11.3 Settlement on a cohesionless soil
oundation, 1. m s ua e, ill a y a load o 00 Pa and ill be ounded at a de th

o 0. m in a dee de osit o anula soil. he soil may be e a ded as satu ated
th ou hout ith a unit ei ht o 20 m , and the a o imate to elationshi is
sho n in i . 11. a.
I the ound ate le el o u s at a de th o 1. m belo the su a e o the soil
dete mine a alue o the settlement at the ent e o the oundation, a by e ee and
a tens’ method, b by S hme tmann’s method.
Solut ion:
a e ee and a tens’ method
he soil de osit is dee , the e o e in esti ate to a de th o about to 4 belo
oundation. In on un tion ith i . 11. a it is seen that a de th o m belo the
oundation an be on eniently di ided into ou laye s o soil, t o o 1 m and t o
o 1. m thi ness, as sho n in the tabulated o in s, but not in i . 11. .
Net pressure, p = 300 − (0.75 × 20) = 285 kPa
Fig. 11.5 E am le 11. . a to elationshi b to elationshi at b o

e am le a iation o I a t b o e am le .
1.5Cr
Layer T i ne r a o1 at layer ent re a Cs =
p o1
1 1.0 400 × 12 = 4 00 20 × 1.2 = 2 2

2 1.0 400 × 1 = 400 20 × 2.2 − 9. 1 × 0. = . 2
1. 400 × 24 = 9 00 20 × . − 9. 1 × 2.0 = 0.4 2
4 1. 9 00 20 × .0 − 9. 1 × . = . 219
se Steinb enne ’s method Se tion . . to dete mine e ti al essu e in ements.

hen = L = 1. 2 = 0. m, and o1 = o2 o ea h laye .
p0 + Δ z H
Layer B/ z = L/ / z Iσ 4Iσ Δ σz = 4pIσ ln × (A)
P0 Cs
1 0. 0. = 1. 0.21 0. 2 24 2. 21 0.00 24
2 0. 1. = 0. 0.0 0. 2 100 1.29 0.00 09
0. 2. = 0.2 0.0 0.12 4 0. 1 0.002 0
4 0. 4.2 = 0.1 0.01 0.0 1 0.2 01 0.001
Σ 0.01 1
otal settlement = 0.01 1 × 1000 = 1 . mm, say 1 mm

b S hme tmann’s method
o a s ua e ootin si ni ant de ths e tend to 2.0 and σvp′ is ta en as the e e
ti e e ti al o e bu den essu e at a de th o 0. belo the oundation, i.e. in this
e am le, 0. m, so that σvp′ = 20(0.75 + 0.75) = 30 kPa. et oundation essu e
in ease Δ = 00 − 20 × 0. = 2 Pa. en e
0.5
∆p
Iz = 0.5 + 0.1
′
σvp
= 0.5 + 0.1(285 / 30)0.5 = 0.81
he a iation o I o de ths u to 2 belo the oundation is sho n in i . 11. .
he alues sho n in i . 11. b a e obtained om the alues usin the elation
shi = 0.4 Pa. With these alues, it is ossible to de ide u on the numbe
and thi nesses o the laye s that the soil an be di ided into. o this e am le, o
the u ose o illust ation, only ou laye s ha e been hosen and these a e sho n
in i . 11. b . o eate a u a y the numbe o laye s should be about o a
s ua e ootin and u to 1 o a lon ootin . o a s ua e oundation S hme t
mann e ommends that the alue o the a to = 2. . he al ulations a e set out
belo .
Layer Δ zi ept belo oun at ion a Iz IzΔ zi

r
t o ent re o layer xCr
1 0. 0.2 4. 0.2 0.011

2 0. 0. 4. 0. 1 0.0 4
1.0 1. .4 0. 0.0
4 1.0 2. 9. 0.1 0.00
Σ 0.09
σv′ 15
C1 = 1.0 − 0.5 = 1− 0.5 × = 0.97
∆p 285
ssume that 2 = 1.0, then
ρ = 0.97× 285× 0.09 = 24.9 mm
otal settlement o ent e o oundation = 2 mm
The plate loading test

he esults om a late loadin test see Se tion . . an be used to edi t the a e a e settlement o
a o osed oundation on anula soil. he test should be a ied out at the o osed oundation le el
and the soil tested must be elati ely homo eneous o some de th.
I ρ1 is the settlement o the test ootin unde a e tain alue o bea in essu e, then the a e a e
settlement o the oundation, ρ, unde the same alue o bea in essu e an be obtained by the em i i
al elationshi o osed by e a hi and Pe 194
2
2B
ρ = ρ1
B + B1
he e
1 = idth o diamete o test ootin

= idth o diamete o o osed oundation.
ne as e t o usin the esults om a late loadin test o settlement edi tions is that it is im o tant
to no the osition o the ound ate le el.
It may be that the bulb o essu e om the test ootin is a tly o om letely abo e the ound ate
le el he eas, hen the oundation is onst u ted, the ound ate le el ill be si ni antly ithin the
bulb o essu e. Su h a situation ould lead to a tual settlement alues as mu h as t i e the alues
edi ted by the o mula.
11.3 Consolidation settlement
his e e t o u s in lays he e the alue o e meability e ents the initial e ess o e ate essu es
om d ainin a ay immediately. he desi n loadin used to al ulate onsolidation settlement must be
onsistent ith this e e t.
la e heel load ollin alon a oad ay estin on a lay ill ause an immediate settlement that is
in theo y om letely e o e able on e the heel has assed, but i the same load is a lied e manently
the e ill in addition be onsolidation. Jud ement is ne essa y in de idin hat o tion o the su e im
osed loadin a ied by a st u tu e ill be sustained lon enou h to ause onsolidation, and this in ol es
a uite di e ent o edu e om that used in a bea in a a ity analysis, hi h must allo o total dead
and su e im osed loadin s.
11.3.1 ne dimensional consolidation

he o e ate in a satu ated lay ill ommen e to d ain a ay soon a te immediate settlement has
ta en la e the emo al o this ate leadin to the olume han e is no n as onsolidation i . 11.1b .
he element ont a ts both ho i ontally and e ti ally unde the a tions o ∆ σ′ and Δ σ1, hi h adually
in ease in ma nitude as the e ess o e ate essu e, Δ u, de eases. E entually, hen Δ u = 0, then
∆ σ′ = ∆ σ and ∆ σ1′ = ∆ σ1, and at this sta e onsolidation eases, althou h se onda y onsolidation may
still be a a ent.
I it an be a an ed o the late al e ansion due to the han e in sha e to e ual the late al om es
sion onse uent u on the han e in olume, and o these han es to o u to ethe , then the e ill be
no immediate settlement and the esultin om ession ill be one dimensional ith all the st ain o u
in in the e ti al di e tion. Settlement by one dimensional st ain is by no means un ommon in a ti e,
and most natu al soil de osits ha e e e ien ed one dimensional settlement du in the o ess o de osi
tion and onsolidation.
he onsolidation o a lay laye su o tin a oundation hose dimensions a e mu h eate than the
laye ’s thi ness is essentially one dimensional as late al st ain e e ts a e ne li ible sa e at the ed es.
11.3.2 he consolidation test

he a a atus ene ally used in the labo ato y to dete mine the ima y om ession ha a te isti s o
a soil is no n as the onsolidation test a a atus o oedomete and is illust ated in i . 11. a.
he soil sam le ene ally mm diamete and 20 mm thi is en ased in a steel uttin in . Po ous
dis s, satu ated ith ai ee ate , a e la ed on to o and belo the sam le, hi h is then inse ted in
the oedomete .
e ti al load is then a lied and the esultin om ession measu ed by means o a t ansdu e at
inte als o time, eadin s bein lo ed until the sam le has a hie ed ull onsolidation usually o a
e iod o 24 hou s . u the load in ements a e then a lied and the o edu e e eated, until the ull
st ess an e e e ted in situ has been o e ed by the test i . 11. b .
he test sam le is ene ally ooded ith ate soon a te the a li ation o the st load in ement
in o de to e ent o e su tion.
te the sam le has onsolidated unde its nal load in ement the essu e is eleased in sta es at
24 hou inte als and the sam le allo ed to e and. In this ay an e ansion to time u e an also be
obtained.
te the loadin has been om letely emo ed the nal thi ness o the sam le an be obtained, om
hi h it is ossible to al ulate the oid atio o the soil o ea h sta e o onsolidation unde the load
in ements. he a h o oid atio to onsolidation essu e an then be d a n, su h a u e ene ally
bein e e ed to as an e– u e i . 11. a .
It should be noted that the alues o e e to e e ti e st ess, o a te onsolidation the e ess o e
essu es be ome e o and the a lied st ess in ement is e ual to the e e ti e st ess in ement.
Transducer
Water
Porous
Soil discs
Load Load
(a) Consolidation apparatus
Fig. 11. he onsolidation test.

Foundat ion Settlement and Soil Compression 32
Fig. 11. oid atio to e e ti e essu e u es.
I the sam le is e om essed a te the initial y le o om ession and e ansion, the e– u e o

the hole o e ation is simila to the u es sho n in i . 11. b the e om ession u e is atte than
the o i inal om ession u e, ima y om ession bein made u o i a e e sible a t and ii an
i e e sible a t. n e the onsolidation essu e is e tended beyond the o i inal onsolidation essu e
alue the e onsolidation essu e , the e– u e ollo s the t end o the o i inal om ession u e.
ll ty es o soil, hethe sand, silt o lay, ha e the o m o om ession u es illust ated in i . 11. .
he u es sho n an be odu ed uite ui ly in the labo ato y o tea hin u oses, usin a d y sand
sam le, but onsolidation oblems a e mainly on e ned ith lays and the oedomete is the e o e only
used to test these ty es o soil.
11.3.3 olumetric chan e

he olume han e e unit o o i inal olume onstitutes the olumet i han e. I a mass o soil o
olume 1 is om essed to a olume 2, the assum tion is made that the han e in olume has been
aused by a edu tion in the olume o the oids.
V1 − V2
Volumetric change =
V1
(1+ e1) − (1+ e2 )
=
1+ e1
e1 − e2
=
1+ e1
he e
e1 = oid atio at 1
e2 = oid atio at 2.
he slo e o the e– u e is i en the symbol ‘a’, then
e1 − e2 2
a= m / kN
p1 − p 2
i.e.
de
a=
dp
he slo e o the e– u e is seen to de ease ith in ease in essu e in othe o ds, a is not a
onstant but ill a y de endin u on the essu e. Settlement oblems a e usually only on e ned ith
a an e o essu e that bet een the initial essu e and the nal essu e , and o e this an e a is ta en
as onstant by assumin that the e– u e bet een these t o essu e alues is a st ai ht line.
11.3. he o e oedometer
n alte nati e o m to the onsolidation ell sho n in i . 11. as des ibed by o e and a den 19
and is listed in S 1 Pa t .
he oedomete is hyd auli ally o e ated and a a ious an e o ell si es a e a ailable so that test
s e imens as la e as 00 mm diamete and 2 0 mm thi an be tested. he ma hine is a ti ula ly use ul
o testin sam les om lay de osits he e ma o ab i e e ts a e si ni ant.
onstant essu e system a lies a hyd auli essu e, ia a on oluted ubbe a made om ubbe
some 2 mm thi , on to the to o the test s e imen. e ti al settlement is measu ed at the ent e o the
sam le by means o a hollo b ass s indle, 10 mm diamete , atta hed to the a and assin out th ou h
the ent e o the to late to a suitable dial au e o t ansdu e .
aina e o the sam le an be made to a y a o din to the natu e o the test and an be eithe e ti
al o adial, the latte bein a an ed to be eithe in a ds o out a ds. he e elled ate e its ia the
s indle and it is ossible to measu e o e ate essu es du in the test, as ell as a lyin a ba
essu e to the s e imen i e ui ed. he a a atus an also be used o e meability tests, as des ibed
in S 1 1990.
11.3.5 Coef cient of volum e compressi ilit mv

his alue, hi h is sometimes alled the oe ient o olume de ease, e esents the om ession o
a soil, e unit o o i inal thi ness, due to a unit in ease in essu e, i.e.
m v = Volumetric change/ Unit of pressure increase
I 1 = o i inal thi ness and 2 = nal thi ness
V1 − V2 H1 − H2
Volumetric change = = (as area is constant )
V1 H1
e − e2
= 1
1+ e1
e1 − e2
a=
dp
a dp
⇒ Volumetric change =
1+ e1
a dp 1 a
⇒ mv = = m2 / MN
1+ e1 dp 1+ e1
o most a ti al en inee in oblems m alues an be al ulated o a essu e in ement o 100 Pa

in e ess o the esent e e ti e o e bu den essu e at the sam le de th.
n e the oe ient o olume de ease has been obtained e no the om ession unit thi ness
unit essu e in ease. It is the e o e an easy matte to edi t the total onsolidation settlement o a lay
laye o thi ness
Table 11.3 m an es o di e ent soil ty es.
2
Soil / N
Peat 10.0–2.0
Plasti lay no mally onsolidated allu ial lays 2.0–0.2
Sti lay 0.2 –0.12
a d lay boulde lays 0.12 –0.0 2
Total settlement = ρc = m v dp H
y i al alues o m a e i en in able 11. .

In the labo ato y onsolidation test the om ession o the sam le is one dimensional as the e is late al
on nement, the initial e ess o e ate essu e indu ed in a satu ated lay on loadin bein e ual to
the ma nitude o the a lied ma o in i al st ess due to the a t that the e is no late al yield . his
a lies no matte hat ty e o soil is tested, o ided it is satu ated.
ne dimensional onsolidation an be odu ed in a t ia ial test s e imen by means o a s e ial o
edu e no n as the 0 test see isho and en el, 19 2 .
E ample 11. Consolidation test
he ollo in esults e e obtained om a onsolidation test on a sam le o satu ated

lay, ea h essu e in ement ha in been maintained o 24 hou s.
T i ne o a ple a t er
re ure a on oli at ion
0 20.0
0 19.
100 19. 2
200 19.
400 19.1
00 1 .9
0 19.2
te it had e anded o 24 hou s the sam le as emo ed om the a a atus

and ound to ha e a ate ontent o 2 . he a ti le s e i a ity o the soil
as 2. .
Plot the oid atio to e e ti e essu e u e and dete mine the alue o the oe
ient o olume han e o a essu e an e o 2 0– 0 Pa.
Solut ion:
w = 0.25; Gs = 2.65
o e= s as soil is satu ated = 0.2 × 2. = 0. 2. his is the oid atio o
es ondin to a sam le thi ness o 19.2 mm.
dH de (1+ e1 ) 1.662
= ⇒ de = dH = dH = 0.0865 dH
H1 1+ e1 H1 19.25
Fig. 11. E am le 11.4.
he alues o e at the end o ea h onsolidation an be al ulated om this

e ession.
re ure a e e
0 20.0 + 0. + 0.0 0. 2
0 19. + 0.40 + 0.0 0. 9
100 19. 2 + 0.2 + 0.02 0.
200 19. + 0.10 + 0.009 0. 1
400 19.1 − 0.10 − 0.009 0.
00 1 .9 − 0. 0 − 0.02 0.
0 19.2 0 0 0. 2
om the e– u e in i . 11. a
e at 2 0 Pa = 0.
e at 0 Pa = 0.
0.666 − 0.658
a=
100
= 0.000 08 m2 / kN
a 0.000 08
⇒ mv = =
1+ e1 1.666
= 4.8× 10 m2 / kN
−5
lt ernat i e et o or et er ining
m an be e essed in te ms o thi nesses
dH 1 1 dH
mv = =
H1 dp H1 dp
d d is the slo e o the u e o thi ness o sam le a ainst essu e. en e m an
be obtained by ndin the slo e o the u e at the e ui ed essu e and di idin by
the o i inal thi ness. he thi ness essu e u e is sho n in i . 11. b om it
at 2 0 Pa = 19.2
at 0 Pa = 19.19
19.28 − 19.19 0.09

mv = =
19.28 × 100 19.28 × 100
= 4.7 × 10− 5 m2 / kN
I a laye o this lay, 20 m thi , had been sub e ted to this essu e in ease then
the onsolidation settlement ould ha e been
ρc = m vH dp = 0.000 047 × 20 × 100 × 1000 = 96 mm
Note: he a ti e o o in ba om the end o the onsolidation test, i.e. om

the e anded thi ness, in o de to obtain an e– u e is ene ally a e ted as bein
the most satis a to y as the e is little doubt that the sam le is mo e li ely to be ully
satu ated a te e ansion than at the sta t o the test.
o e e , it is ossible to obtain the e– u e by o in om the o i inal
thi ness.
oid atio is i en by the e ession
Vv V − Vs A (H − Hs ) H − Hs
e= = = =
Vs Vs AHs Hs
he e
= a ea o sam le
= hei ht o thi ness
s = e ui alent hei ht o solids s .
M
Vs =
Gsρw
Ms
⇒ Hs =
Gsρw A
y ay o illust ation let us use the test esults o E am le 11.4 to ethe ith the ol
lo in in o mation
i inal dimensions o test sam le mm diamete , 20 mm thi ness
ass o sam le a te emo in om lete om onsolidation a a atus at end o test
and d yin in o en = 1 . .
π
M s = 135.6 g; A= × 752 = 4418 mm2
4
135.6 × 1000
⇒ Hs = = 11.58 mm
2.65 × 1× 4418
o , as sho n abo e
H − Hs
e=
Hs
en e the oid atio to essu e elationshi an be ound.

H − Hs
re ure a T i ne e=
Hs
20 − 11.58
0 20 = 0.727
11.58
0 19. 0. 9
100 19. 2 0.
200 19. 0. 1
400 19.1 0.
00 1 .9 0.
Note: Su h lose a eement bet een the t o methods o dete minin the e– ela
tionshi ould only ha en in a theo eti al e am le. In a ti e one o ten nds la e
dis e an ies bet een the t o methods.
11.3.6 he vir in consolidation curve

lay is ene ally o med by the o ess o sedimentation om a li uid in his h the soil a ti les e e
adually de osited and om essed as mo e mate ial as la ed abo e them. he e– u e o es ond
in to this natu al o ess o onsolidation is no n as the i in onsolidation u e i . 11.9a .
his u e is a o imately lo a ithmi . I the alues a e lotted to a semi lo s ale e to a natu al s ale,
to a lo a ithmi s ale , the esult is a st ai ht line o e uation
p 0 + dp
e = e0 − CC log10
p0
Fig. 11. e– and e–lo u es o natu al onsolidation and o a no mally onsolidated lay.
en e e2 an be e essed in te ms o e1
p2
e2 = e1 − CC log10
p1
is no n as the om ession inde o the lay.
Compression curve f or a norm ally consolidated clay

no mally onsolidated lay is one that has ne e e e ien ed a onsolidation essu e eate than that
o es ondin to its esent o e bu den. he om ession u e o su h a soil is sho n in i . 11.9b.
he lay as o i inally om essed, by the ei ht o mate ial abo e, alon the i in onsolidation
u e to some oint . in to the emo al o essu e du in sam lin the soil has e anded to oint
. en e om to the soil is bein e om essed he eas om to the i in onsolidation u e
is ollo ed.
he semi lo lot is sho n in i . 11.9b. s be o e on the st ai ht line a t
p2
e2 = e1 − CC log10
p1
Compression curve f or an overconsolidat ed clay

n o e onsolidated lay is one hi h has been sub e ted to a e onsolidation essu e in e ess o its
e istin o e bu den i . 11.10a , the esultin om ession bein mu h less than o a no mally onsoli
dated lay. he semi lo lot is no lon e a st ai ht line and a om ession inde alue o an o e on
solidated lay is no lon e a onstant.
om the e– u e it is ossible to dete mine an a o imate alue o the e onsolidated essu e
ith the use o a a hi al method o osed by asa ande 19 . i st estimate the oint o eatest
u atu e, , then d a a ho i ontal line th ou h and the tan ent to the u e at . ise t
the an le to i e the line , and lo ate the st ai ht a t o the om ession u e in i . 11.10a
the st ai ht a t ommen es at oint E . inally o e t the st ai ht a t o the u e u a ds to ut
in . he oint then i es the alue o the e onsolidation essu e.
Fig. 11.1 om ession u es o an o e onsolidated lay.

Evaluat ion of consolidat ion set tlement f rom the compression index
dH e1 − e2
=
H1 1+ e1
e1 − e2
⇒ dH = H1
1+ e1
p2
e1 − e2 = CC log10
p1
CC p
⇒ ρc = dH = log10 2 H1
1+ e1 p1
his e uation is only ele ant hen a lay is bein om essed o the st time and the e o e annot be
used o an o e onsolidated lay.
Determ ination of compression index CC

e a hi and Pe 194 ha e sho n that the e is an a o imate elationshi bet een the li uid limit
o a no mally onsolidated lay and its om ession inde . his elationshi has been established e e i
mentally and is
CC ≈ 0.009(wL − 10%)
E ample 11.5 ppro imate settlement of a soft cla
so t, no mally onsolidated lay laye is 1 m thi ith a natu al ate ontent o

4 . he lay has a satu ated unit ei ht o 1 .2 m , a a ti le s e i a ity o
2. and a li uid limit o . oundation load ill sub e t the ent e o the laye to
a e ti al st ess in ease o 10.0 Pa.
ete mine an a o imate alue o the settlement o the oundation i ound ate
le el is at the su a e o the lay.
Solut ion:
Initial e ti al e e ti e st ess at ent e o laye
15
= (17.2 − 9.81)
2
= 55.4 kPa
Final effective vertical stress = 55.4 + 10 = 65.4 kPa
Initial void ratio, e1 = wGs = 0.45 × 2.68 = 1.21
CC = 0.009(65 − 10) = 0.009 × 55 = 0.495
0.495 65.4
ρc = × log10 × 15
2.21 55.4
= 0.024 m = 240 mm
his method an be used o a ou h settlement analysis o a elati ely unim o tant
small st u tu e on a so t lay laye . o la e st u tu es, onsolidation tests ould be
a ied out.
11. pplication of consolidation test results
he an e o essu e ene ally onside ed in a settlement analysis is the in ease om 1 the e istin
e ti al e e ti e o e bu den essu e to 2 the e ti al e e ti e essu e that ill o e ate on e the
oundation load has been a lied and onsolidation has ta en la e , so that in the e ious dis ussion
e1 e esents the oid atio o es ondin to the e e ti e o e bu den essu e and e2 e esents the nal
oid atio a te onsolidation. In some te t boo s and a e s the initial oid atio, e1, is i en the symbol e0.
btainin a test sam le entails emo in all o the st esses hi h a e a lied to it, this edu tion
in e e ti e st ess ausin the sam le to eithe s ell o de elo ne ati e o e ate essu es ithin
itsel . in to the est ainin e e t o the sam lin tube most soil sam les tend to ha e a ne ati e
o e essu e.
In the onsolidation test the sam le is subme ed in ate to e ent e a o ation losses, ith the esult
that the ne ati e o e essu es ill tend to d a in ate and the sam le onse uently s ells. o ob iate
this e e t the no mal o edu e is to sta t the test by a lyin the st load in ement and then to add
the ate , but i the sam le still tends to s ell an in eased load in ement must be added and the test
eadin s sta ted a ain. he oint e1 is ta en to be the osition on the test e– u e that o es onds
to the e e ti e o e bu den essu e at the de th om hi h the sam le as ta en in the ase o a
uni o m de osit a ious alues o e1 an be obtained o sele ted oints th ou hout the laye by eadin
o the test alues o oid atio o es ondin to the ele ant e e ti e o e bu den essu es. ene ally
the test e– u e lies a little belo the a tual in situ e– u e, the amount o de a tu e de endin u on
the de ee o distu ban e in the test sam le. ea in in mind the ina u a ies in ol ed in any analysis,
this de a tu e om the onsolidation u e ill ene ally be o small si ni an e unless the sam le is
se e ely distu bed and most settlement analyses a e based on the a tual test esults.
n alte nati e method, mainly a li able to o e onsolidated lays, as o osed by S hme tmann
19 , ho ointed out that e1 must be e ual to s, he e is the in situ ate ontent at the oint
onside ed, and that in a onsolidation test on an ideal soil ith no distu ban e, the oid atio o the
sam le should emain onstant at e1 th ou hout the essu e an e om e o to the e e ti e o e bu den
essu e alue. S hme tmann ound that the test e– u e tends to ut the in situ i in onsolidation
u e at a oid atio alue some he e bet een and 42 o e1 and on luded that a easonable u e
o this inte se tion is e = 0.42e1.
In o de to obtain the o e ted u e, ith distu ban e e e ts emo ed, the test sam le is eithe
loaded th ou h a essu e an e that e entually edu es the oid atio o the sam le to 0.42e1 o else
the test is e tended a enou h o e t a olated alues to be obtained, at least one y le o e ansion
and e om ession bein a ied out du in the test. he a o imate alue o the e onsolidation
essu e is obtained and the test esults a e ut in the o m o a semi lo lot o oid atio to lo i .
11.10b . he alue o e1 is obtained om s, bein ound om a se a ate test sam le usually uttin s
obtained du in the e a ation o the onsolidation test sam le . It is no ossible to lot on the test
u e oint and a ho i ontal line is d a n to ut the o dinate o the e istin o e bu den essu e
at oint a line is ne t d a n a allel to the mean slo e o the labo ato y ebound u e to ut the
e onsolidation essu e o dinate at oint , and the alue o oid atio e ual to 0.42e1 is obtained and
established on the test u e oint . inally oints and a e oined. he o e ted u e the e o e
onsists o the th ee st ai ht lines a allel to the essu e a is ith a onstant oid atio alue e1 ,
e esentin the e om ession o the soil u to the e onsolidation essu e , and e esentin
initial om ession alon the i in onsolidation line .
a t om the elimination o distu ban e e e ts the method is use ul be ause it e mits the use o a
o mula simila to the om ession inde o a no mally onsolidated lay
C p
ρc = log10 2 H
1+ e1 p1
he e is the slo e o the o e ted u e ene ally e om ession . I the essu e an e e tends into
initial om ession the al ulation must be a ied out in t o a ts usin the t o di e ent alues.
11.5 eneral consolidation
In the ase o a oundation o nite dimensions, su h as a ootin sittin on a thi bed o lay, late al
st ains ill o u and the onsolidation is no lon e one dimensional. I t o satu ated lays o e ual
om essibility and thi ness a e sub e ted to the same si e o oundation and loadin , the esultin set
tlements may be uite di e ent e en thou h the onsolidation tests on the lays ould i e identi al
esults. his is be ause late al st ain e e ts in the eld may indu e une ual o e essu es he eas in the
onsolidation test the indu ed o e essu e is al ays e ual to the in ement o a lied st ess.
o a satu ated soil
∆ u = ∆ σ3 + A (∆ σ1 − ∆ σ3 ) (see Section 4.10 )
Let
p1′ = initial e e ti e ma o in i al st ess

Δ σ1 = in ement o total ma o in i al st ess due to the oundation loadin
Δ u = e ess o e ate essu e indu ed by the load.
he e e ti e ma o in i al st ess on load a li ation ill be
p 1′ + ∆ σ1 − ∆ u
he e e ti e ma o in i al st ess a te onsolidation ill be
p 1′ + ∆ σ1
Let
p ′3 = initial e e ti e mino in i al st ess

Δ σ = in ement o total mino in i al st ess due to the oundation loadin .
he ho i ontal e e ti e st ess on load a li ation ill be
p ′3 + ∆ σ3 − ∆ u
I the e ession o Δ u is e amined it ill be seen that Δ u is eate than Δ σ . he ho i ontal e e ti e

st ess the e o e edu es hen the load is a lied and the e ill be a late al e ansion o the soil. en e
in the ea ly sta es o onsolidation, the lay ill unde o a e om ession in the ho i ontal di e tion o
an e e ti e st ess in ease o Δ u − Δ σ the st ain om this e om ession ill be small but as onsolida
tion ontinues the e e ti e st ess in eases beyond the o i inal alue o p ′3 and the st ain e e ts ill
be ome la e until onsolidation eases.
Sett lement analysis

he method o settlement analysis most ommonly in use is that o osed by S em ton and e um
19 . In this o edu e the late al e ansion and om ession e e ts a e i no ed, sin e the autho s
maintain that su h a sim li ation annot int odu e a ma imum e o o mo e than 20 and hen they
om a ed the a tual settlements o se e al st u tu es ith edi ted alues usin thei method the eat
est di e en e as in a t only 1 .
I no in se onda y onsolidation, the total settlement o a oundation is i en by the e ession
ρ = ρi + ρc
he e
ρi = immediate settlement
ρ = onsolidation settlement.
In the onsolidation test
ρoed = m v∆ σ1h 1
he e h = sam le thi ness.

Sin e the e is no late al st ain in the onsolidation, Δ σ1 = Δ u. en e
ρoed = m v∆ uh
H
ρcoed = ∫ 0
mv∆ udH 2
he e = thi ness o onsolidatin laye .

In a satu ated soil Δ u = Δ σ + Δ σ1 − Δ σ . his may be e essed as
∆ σ3
∆ u = ∆ σ1 A + (1− A )
∆ σ1
and, substitutin o Δ u in E uation 2 e obtain a t ue estimation o the onsolidation settlement, ρ
H
∆ σ3
ρc = ∫ 0
mv∆ σ1 A +
∆ σ1
(1− A ) dH
E uation an be e essed in te ms o E uation 2 , by int odu in the o e tion a to μ
ρc = µρ = ρcoed
H
= µ ∫ 0
m v∆ σ1dH
he e
H
∆ σ3
µ=
∫ 0
m v∆ σ1 A +
∆ σ1
(1− A ) dH
H
∫ 0
mv∆ σ1dH
I m and a e assumed onstant ith de th the e uation o μ edu es to
µ = A + (1− A )α 4
he e
H
α=
∫ 0
∆ σ3dH
H
∫ 0
∆ σ1dH
Table 11.4 alues o α.
/B ir ular oot ing St rip oot ing
0 1.00 1.00
0.2 0. 0. 4
0. 0 0. 0 0.
1.0 0. 0.
2.0 0. 0 0.2
4.0 0.2 0.20
10.0 0.2 0.14
∞ 0.2 0
Poisson’s atio o a satu ated soil is ene ally ta en as 0. at the sta e hen the load is a lied so α
is a eomet i al a amete hi h an be dete mined. a ious alues o α that e e obtained by S em ton
and e um a e i en in able 11.4.
he alue o the o e essu e oe ient an no be substituted in E uation 4 and a alue o μ
obtained, ty i al esults bein
So t sensiti e lays . . . ossibly eate than 1.0

o mally onsolidated lays . . . ene ally less than 1.0
e a e o e onsolidated lays . . . a o imately 0.
ea ily o e onsolidated lays . . . e ha s as little as 0.2
E ample 11.6 otal settlement
sam le o the lay o E am le 11.4 as sub e ted to a onsolidated und ained t ia ial
test ith the esults sho n in i . 11.11b. he sam le as ta en om a laye 20 m thi
and has a satu ated unit ei ht o 1 . m.
It is o osed to onst u t a ein o ed on ete oundation, len th 0 m and idth
10 m, on the to o the laye . he uni o m bea in essu e ill be 200 Pa. ete mine
Fig. 11.11 E am le 11. .

the total settlement o the oundation unde its ent e i the ound ate le el o us
at a de th o m belo the to o the laye .
Solut ion
he e ti al essu e in ement at the ent e o the laye an be obtained by s littin
the lan a ea into ou e tan les i . 11.11a and usin i . .10
∆ σ1 = 110 kPa
In o de to obtain the E alue o the soil, Δ σ should no be e aluated so that the
de iato st ess Δ σ1 − Δ σ an be obtained.
lte nati ely the a o imate method an be used
o ma imum de iato st ess = 0. × 400 = 2 0 Pa
St ain at this alue = 0. om i . 11.11b
en e
260 × 100
E= = 32 500 kPa = 32.5 MPa
0 .8
I e iat e et t le ent
sin the e tan les o i . 11.11a and i . 11.2
L 15 H 20
= = 3 .0 = = 4.0
B 5 B 5
en e
Ip = 0.48 × 4.0 = 1.92
pB(1− ν 2 ) Ip
ρi =
E
200
= × 5 × 0.75 × 1.92 × 0.8 (0.8 = rigidity factor )
32 500
= 0.036 m = 36 mm
on oli at ion et t le ent

Initial effective overburden pressure = 18.5 × 10 − 9.81× 5
= 136 kPa
en e the an e o essu e in ol ed is om 1 to 24 Pa.
sin the e– u e o i . 11. a
e1 = 0.6800; e2 = 0.666
de 0.680 − 0.666 0.014
a= = = = 0.000 127 m2 / kN
dp 110 110
a 0.000 127
mv = = = 7.6 × 10− 5 m2 / kN
1+ e1 1.680
ρc = m v dp H = 7.6 × 110 × 20 × 10− 5 = 0.167 m = 167 mm
otal settlement = + 1 = 20 mm
Some edu tion ould ossibly be a lied to the alue o ρ i the alue o μ as no n.
lt ernat i e et o or et er ining ρ
In one dimensional onsolidation the olumet i st ain must be e ual to the a ial st ain,
i.e.
dH ρc de
= =
H H 1+ e1
hen e
de
ρc = H
1+ e1
In the e am le
0.680 − 0.666
ρc = × 20
1.680
= 0.008 834 × 20 = 0.167 m
= 167 mm
E ample 11. otal settlement usin S results
he lan o a o osed a t oundation is sho n in i . 11.12a. he uni o m bea in

essu e om the oundation ill be 0 Pa and a site in esti ation has sho n that the
u e . 2 m o the subsoil is a satu ated oa se sand o unit ei ht 19.2 m ith
ound ate le el o u in at a de th o .0 m belo the to o the sand. he esult
om a standa d enet ation test ta en at a de th o 4. m belo the to o the sand
a e = 20. elo the sand the e is a 0. m thi laye o lay = 0. , E = 1 .1 Pa,
Es ellin = 4.4 Pa . he lay ests on ha d sandstone i . 11.12b .
ete mine the total settlement unde the ent e o the oundation.
Solut ion
sin the e ee and a tens’ a oa h
e ti al essu e in ements
oss oundation essu e = 0 Pa
elie due to e a ation o sand = 1. 2 × 19.2 = 29 Pa
et oundation essu e in ease, Δ = 0 − 29 = 21 Pa
he oundation is s lit into ou e tan les, as sho n in i . 11.12a, and i . .10 is
then used to dete mine alues o Iσ.
ept belo
oun at ion B/ z L/ z Iσ 4Iσ Δ σz a
.0 .0 9.0 0.24 0.9 1

9.1 1.0 .0 0.20 0. 12 2 1
1 .2 0. 1. 0.1 2 0. 0 19
21. 0.4 1.29 0.11 0.4 2 14
2 .4 0. 1.00 0.0 0. 44 110
. 0.2 0. 2 0.0 0.2
Foundation Sett lement and Soil Compression 3 1
Fig. 11.12 E am le 11. .
I e iat e et t le ent
Sand test alue o = 20
p o′ = 4.57× 19.2 − 1.52 × 9.81 = 73 kPa

Cr = 400 × 20 = 8000 kPa
1.5 × 8000
Cs = = 165
73
6.1 73 + 317
ρi = ln = 0.062 = 62 mm
165 73
s the SP as a ied out on subme ed soil the e is no need to in ease this alue
to allo o ound ate e e ts.
en e ρi in the sand = 2 mm.

lay in i . 11.2, 1 = .1 m and 2 = . m.

L 27.44 H 36.6
For H2: = = 3.0; = = 4 .0
B 9.15 B 9.15
en e I = 0.4 .
L H 6.1
For H1: = 3.0; = = 0.67
B B 9.15
en e I = 0.1 .
Settlement unde ent e o oundation note as hea e e e ts ill be allo ed o , use
oss onta t essu e. I hea e is not allo ed o net oundation essu e should be
used .
pB
ρi = (1− ν 2 )4Ip × Rigidity factor
E
350
= × 9.15 × 0.75× 4(0.475 − 0.18)× 0.8
16100
= 0.141 m = 141 mm
ea e e e ts elie o essu e due to sand e a ation = 29 Pa
29
⇒ Heave = × 9.15 × 0.75 × 4(0.475 − 0.18)× 0.8
64 400
= 0.0029 m = 3 mm
en e ρi in the lay = 1 mm.
s an be seen om this e am le the e e ts o hea e a e usually only si ni ant
hen a eat de th o mate ial is e a ated.
on oli at ion et t le ent

he lay laye has been di ided into e laye s o thi ness, , e ual to .1 m.
Δ σz Δ σz
0.00014 2 1 0.2 1
0.000114 19 0.1
0.000041 14 0.0 1
0.0000 110 0.049
0.00004 0.024
0. 21 m = 21 mm
his alue o settlement an be edu ed by the a to

µ = A + (1− A )α
na o imate alue o α an be obtained om able 11.4.
en e
α = 0.2
μ = 0. + 0.2 × 0.2 = 0. 2
ρ = 21 × 0. 2 = 44 mm
otal settlement = 2 + 1 + 44 = 4 mm
11.6 Eurocode servicea ilit limit state
s mentioned in ha te , the se i eability limit state SLS should be he ed in addition to the ultimate
limit state LS du in a eote hni al desi n. his is a ti ula ly the ase he e the SLS may be mo e
li ely to be e eeded than the LS. his an be the ase ith the settlement o shallo oundations and
indeed E 119 1 2004 states that i the atio o the und ained bea in a a ity to the a lied se i eabil
ity loadin is less than i.e. the undrained o e desi n a to < , al ulations o settlement should be
unde ta en. I the und ained o e desi n a to is less than 2, the settlement al ulations should ta e
a ount o non linea sti ness e e ts in the ound.
he o isions o se i eability limit state desi n ith es e t to shallo oundations a e i en in E
199 1 2004 Se tion and these uide the desi ne to onside oundation dis la ement i.e. settlement,
o hea e and otation aused by the a lied a tions. nne o oses the use o the ad usted elasti ity
method as des ibed ea lie in this ha te Se tion 11.2.1 to dete mine the settlement, s o a ounda
tion o idth b estin on a homo eneous soil.
s = p × b × f / Em
he e
Em is the desi n alue o the modulus o elasti ity

f is a settlement oe ient
p is the bea in essu e, linea ly dist ibuted on the base o the oundation
he settlement oe ient f is a un tion o the si e and sha e o the oundation, the a iation o sti ness
ith de th, the thi ness o the om essible o mation, Poisson’s atio, the dist ibution o the bea in
essu e and the oint o hi h the settlement is al ulated, and an be de i ed usin any a o iate
method su h as S em ton’s I alues able 11.2 . In e o min settlement al ulations, all a tial a to s
on a tions and mate ial o e ties ha e alue o unity i.e. γ = γ = 1.0 as demonst ated by thei e lu
sion in E am le 11. .
E ample 11. Eurocode Servicea ilit limit state chec
I the soil beneath the ootin o E am le 9. is a dee de osit o homo enous lay o
und ained shea st en th, u = 200 Pa, e o m the se i eability limit state he by
he in the total settlement a ainst the allo able settlement o 2 mm.
he soil has desi n modulus o elasti ity, Em = 0 Pa and oe ient o olume
om essibility, m = 0.04 m2 .
Solut ion:
Net bearing pressure , p = (G′foundation + Gk + Q k ) / A
G′foundation = weight of footing − weight of overburden removed
= (117 + 249.4 − 176.6) − (19 × 2 × 32)
= 189.8 − 342
= − 1 2.2 kN
⇒ p = (− 152.2 + 800 + 400 ) / 32 = 116.4 kPa
I e iat e et t le ent :
p (1− υ2 )Bf
s0 =
Em
116.4 × (1− 0.52 )× 3.0 × 0.82
s0 = (using Table 11.2)
60 000
= 3.6 mm
on oli at ion et t le ent :

onside the base lan o the ootin as 4 e tan les 1. m × 1. m and use i .10
to establish in eases in e ti al st ess at ent es o laye s beneath the ootin . ete
mine the st ess in ements to de th o 2.0 = .0 m o e 4 laye s, ea h 1. m thi .
Iσ is dete mined om adum’s ha t i . .10 .
St re in re ent at
z ent re o layer
Layer = n = b/ z Iσ 4 × Iσ Δ σz a
1 0. 2.0 0.2 0.94 = 0.94 × 1 = 12 .9

2 2.2 0. 0.11 0.4 2 4.2
. 0.4 0.0 0.24 2.
4 .2 0.29 0.0 0.14 19.0
Consolidation settlement , s1 = Σ m v h ∆ σz
= 0.04 × 1.5× (128.9 + 64.2 + 32.6 + 19.0)
= 14.7 mm
⇒ Total settlement = 3.6 + 14.7 = 18.3 mm

he anti i ated total settlement is the e o e less than the e mitted 2 mm and thus
the se i eability limit state e ui ement is satis ed.
11. Isotropic consolidation
ost soil sam les tested in the t ia ial a a atus see ha te 4 a e isot o i ally onsolidated, i.e. on
solidated unde an all ound hyd ostati essu e, be o e the ommen ement o the shea in a t o the
test. It is a e iated that othe o ms o onsolidation a e ossible, e. . 0 onsolidation, but these o ms
ill not be onside ed he e.
he o m o the om ession u e o an isot o i ally onsolidated lay is sho n in i . 11.1 a. It
should be noted that the lot is in the o m o a – ′ lot, the e ti al a is bein 0 and the ho i ontal
a is 0 ′. he –ln ′ lot is sho n in i . 11.1 b and om this dia am e see that, i e a e e a ed
to i no e the sli ht di e en es bet een the e ansion and the e om ession u es, the semi lo lot
o the isot o i onsolidation u e o most lays an be assumed to be made u om a set o st ai ht
lines and to ha e the idealised o m o i . 11.1 .
ny oint on the line e esents no mal onsolidation he eas a oint on the line , o indeed
any oint belo , e esents o e onsolidation. s line e esents the idealised ondition that
the e ansion and e om ession u es oin ide, it is obably best to i e it a ne name, and it is
the e o e usually alled the s ellin line.
Fig. 11.13 y i al sha e o the isot o i no mal onsolidation o a satu ated ohesi e soil.
Fig. 11.14 Idealised o m o –ln ′ lot.
I the ma imum e ious essu e on a s ellin line is p m′ and the essu e at , a oint on the s ellin
line, is ′ then e an say that the de ee o o e onsolidation e esented by oint is Rp = p m′ /p ′ .
ote the use o the subs i t ‘ ’ in to indi ate isot o i onsolidation.
i . 11.14 is a lose u o i . 11.1 . In the dia am let the slo e o , the no mal isot o i onsoli
dation line, be − λ, and the slo e o the s ellin line, , be − κ. = the s e i olume o a soil no mally
onsolidated at ln ′ alue o 0.0. his i es ln ′ = 0. hen the e uation o line is
v = N − λ ln p ′
s ellin line, su h as , an lie any he e beneath the line as its osition is de endent u on the
alue o the ma imum essu e on the line, m, hi h dete mines the osition o .
Let κ = the s e i olume o an o e onsolidated soil at ′ = unity i.e. 1.0 Pa . hen the e uation
o line is
v = vκ − κ ln p ′
λ, and κ a e measu ed alues and must be ound om a o iate tests.
Note: he no mal onsolidation line, , is o ten e e ed to as the λ line, i.e. the lambda line, and the
s ellin line is o ten alled the κ line, i.e. the a a line.
Fig. 11.15 Isot o i and one dimensional onsolidation.
11. .1 E uivalent isot ropic consolidation pressure p e′

onside a a ti ula s e i olume, . hen the alue o onsolidation essu e hi h o es onds to
on the no mal isot o i onsolidation u e is no n as the e ui alent onsolidation essu e and is i en
the symbol p ′e. In i . 11.14 the oint P e esents a soil ith a s e i olume, , and an e istin e e
ti e onsolidation essu e p ′x . he o edu e o dete minin p e′ is illust ated in the dia am. ote that
as P is belo , it e esents a state o o e onsolidation.
o a no mally onsolidated lay, sub e ted to an und ained t ia ial test, p ′e = σr′ but ith d ained tests
p ′e ill a y.
11. .2 Comparison et een isot ropic and one dimensional consolidation

I a sam le o lay is sub e ted to one dimensional onsolidation in an oedomete and anothe sam le o
the lay is sub e ted to isot o i onsolidation in a t ia ial ell then the idealised o ms o the –ln ′ lots
o the tests ill be mo e o less as illust ated in i . 11.1 .
he alues o the slo es o the t o no mal onsolidation lines a e e y lose and, o all a ti al u
oses, an both be assumed to be e ual to − λ. Simila ly the slo es o the s ellin lines an both be
ta en as e ual to − κ.
ote that the alues o ln ′ o the one dimensional test a e ta en as e ual to ln σ′, he e σ′ = the
no mal st ess a tin on the oedomete sam le.
s the om ession inde is e essed in te ms o ommon lo a ithms e see that
Cc
λ≈
2 .3
11. o dimensional stress paths
s dis ussed in ha te 4, the state o st ess in a soil sam le an be sho n a hi ally by a oh i le

dia am. In a t ia ial om essi e test the a ial st ain o the test s e imen in eases u to ailu e and the
a ious states o st ess that the sam le e e ien es om the sta t o the test until ailu e an ob iously
be e esented by a se ies o oh i les. he same st ess states an be e esented in a mu h sim le
o m by e essin ea h su essi e st ess state as a oint. he line oinin these su essi e oints is
no n as a stress path.
Fig. 11.1 Points o ma imum shea st ess.
St ess aths an be o many o ms and e ha e al eady used some the st ess–st ain elationshi s
lotted in τ− σ and p-q s a e in ha te 4 to sho t ia ial test esults and the lots in e–lo s a e
used in i . 11.9 to illust ate om ession u es, et . In his analysis o oundation settlement oblems,
Lambe 19 4, 19 used st ess aths o ma imum shea .
I a oh i le dia am o st ess is e amined i . 11.1 the oint o ma imum shea has the
o o dinates s and t he e
σ1 + σ3 σ1 − σ3
s= and t=
2 2
σ1 and σ bein the total in i al st esses.

In te ms o e e ti e st esses, σ1′ and σ′ , the oint o ma imum shea has the o o dinates s′ and t′ he e
σ1′ + σ3′
s′ =
2
I a soil is sub e ted to a an e o alues o σ1′ and σ′ the oint o ma imum shea st ess an be obtained
o ea h st ess i le the line oinin these oints, in the o de that they o u ed, is te med the st ess
ath o st ess e to o ma imum shea . ny othe oint instead o ma imum shea an be used to dete
mine a st ess ath, e. . the oint o ma imum obli uity, but Lambe maintains that the st ess aths o
ma imum shea a e not only sim le to use but also mo e a li able to onsolidation o .
y i al e e ti e st ess aths obtained om a se ies o onsolidated und ained t ia ial tests on sam les
o no mally onsolidated lay to ethe ith the e e ti e st ess i les at ailu e a e sho n in i . 11.1 .
11. .1 at ios of σ 3′ / σ 1′
onside i . 11.1 . he line tan ential to the st ess i les is the st en th en elo e, in lined at φ′ to the
no mal st ess a is. I ea h oh i le is onside ed it is seen that the atio σ3′ / σ1′ is a onstant, to hi h
the symbol is a lied.
The f line
I the oints o ma imum shea o ea h e e ti e st ess i le p ′f and a e oined to ethe the st ess ath
o ma imum shea st ess at ailu e is obtained. his line is alled the line and is in lined at an le α′ to
the no mal st ess a is ob iously tan α′ = sin φ′.
Fig. 11.1 y i al e e ti e st ess aths obtained om onsolidated und ained t ia ial tests on a no mally
onsolidated lay.
The o line
o a soil unde oin one dimensional onsolidation the atio σ3′ / σ1′ is a ain onstant and its alue is i en
the symbol 0. Plottin the ma imum shea st ess oints o these st ess i les enables the st ess ath o
one dimensional onsolidation, the 0 line, to be dete mined this line is in lined at an le β to the no mal
st ess a is.
0 is the oe ient o ea th essu e at est. o onsolidation o 0 may be de ned o a soil ith
a histo y o one dimensional st ain as the atio
Lateral effective stress

K0 =
Vertical effective stress
11. .2 Stress paths in the oedom eter

i u e 11.1 sho s the st ess onditions that a ise du in and a te the a li ation o a essu e in e
ment in the onsolidation test. Initially the sam le has been onsolidated unde a e ious load and the
o e essu e is e o the oh i le is e esented by , the oint , i le I. s soon as the e ti al
essu e in ease, Δ σ1, is a lied, the total st esses mo e om to i le 1 . s the soil is satu ated
Δ u = Δ σ1 and the e e ti e st ess i le is still e esented by oint . s onsolidation ommen es the
o e ate essu e, Δ u, be ins to de ease and ∆ σ1′ be ins to in ease. he onsolidation is one
dimensional and the e o e an in ease in the ma o in i al e e ti e st ess, ∆ σ1′ , ill indu e an in ease
in the mino in i al e e ti e st ess ∆ σ3′ = K0∆ σ1′ . en e the e e ti e st ess i les mo e steadily to a ds
oint i les II, III and I , he e e esents ull onsolidation.
he total st ess i les an be dete mined om a study o the e e ti e st ess i les. o e am le the
di e en e bet een Δ σ1 and ∆ σ1′ o i le III e esents the o e ate essu e ithin the sam le at that
time hen e Δ σ at this sta e in the onsolidation is ∆ σ′ o i le III lus the alue o the o e ate
essu e. It an be seen the e o e that Δ u de eases ith onsolidation and the si e o the oh i le
o total st ess in eases until the oint is ea hed i les 2, and 4 . b iously i les 4 and I a e
oin ident.
Fig. 11.1 St ess aths in the onsolidation test.
Fig. 11.1 E e ti e st ess ath o the ene al onsolidation o a no mally onsolidated lay.
11. .3 Stress path for eneral consolidation

he e e ti e st ess lot o i . 11.19 e esents a ty i al ase o ene al onsolidation. he soil is no mally
onsolidated and oint e esents the initial 0 onsolidation is the e e ti e st ess ath on the
a li ation o the oundation load and is the e e ti e st ess ath du in onsolidation.
S em ton and e um’s assum tion that late al st ain e e ts du in onsolidation an be i no ed
esu oses that the st ain due to the st ess ath is the same as that odu ed by the st ess ath
E. he a t that the method o osed by S em ton and e um i es easonable esults indi ates that
the e e ti e st ess ath du in the onsolidation o soil in a ty i al oundation oblem is indeed ai ly
lose to the e e ti e st ess ath E o i . 11.19. he e a e o asions hen this ill not be so, ho e e ,
and the st ess ath method o analysis an i e a mo e easonable edi tion o settlement alues see
Lambe, 19 4, 19 . he al ulation o settlement in a so t soil laye unde an emban ment by this o
edu e has been dis ussed by Smith 19 a , and the method is also a li able to s oil hea s.
E ample 11. Effective stress paths
laye o so t, no mally onsolidated lay is 9.2 m thi and has an e istin e e ti e

o e bu den essu e at its ent e o Pa.
It is o osed to onst u t a e ible oundation on the su a e o the lay, and the
in eases in st esses at the ent e o the lay, beneath the ent e o the oundation, a e
estimated to be Δ σ1 = 2 . Pa and Δ σ = 19.2 Pa.
onsolidated und ained t ia ial tests a ied out on e esentati e undistu bed
sam les o the lay a e the ollo in esults
ell pre ure = 35 a
St rain e iat or t re a ore at er pre ure a
0 0 0
1 10.4 0.4
2 20. 4.
29.0 9.
4 .2 1 .2
. 1 .
. 1 .9
. . 19. ailu e
ell pre ure = a
St rain e iat or t re a ore at er pre ure a
0 0 0
1 20. 4.1
2 42. 12.
4.4 22.1
4 .4 0.4
.1 4.
1. .9
. 40. ailu e
y onside in a oint at the ent e o the lay and belo the ent e o the ounda
tion, d a the e e ti e st ess aths o und ained shea obtained om the tests and
indi ate the e e ti e st ess aths o the immediate and onsolidation settlements that
the oundation ill e e ien e.
ssume that 0 = 1 − sin φ and dete mine an a o imate alue o the immediate
settlement o the oundation.
Solut ion:
he st ste is to lot out the t o e e ti e st ess aths. he al ulations a e best set
out in tabula o m
ell pre ure = 35 a
σ1 − σ3 σ 1′ + σ 3′
St rain σ1 − σ3 u t= s′ =
2 2
0 0 0 0
1 10.4 0.4 .2 9.
2 20. 4. 10. 40.
29.0 9. 14. 9.
4 .2 1 .2 1 . .4
. 1 . 1 .9 .
. 1 .9 1 . .
. . 19. 1 .9 4.
ell pre ure = a
0 0 0 0 0
1 20. 4.1 10. .2
2 42. 12. 21. .
4.4 22.1 2 .2 .1
4 .4 0.4 1. 1.
.1 4. .0 .2
1. .9 . .9
. 40. .9 .2
he st ess aths a e sho n in i . 11.20. om the line tan α = sin φ = tan 2 . ° = 0. 4 .

⇒ K0 = 1− 0.543 = 0.457
Effective stresses at centre of layer before application of foundation load (initial
σ1′I = 85 kPa
lay is no mally onsolidated, the e o e
σ3′ I = 0.457× 85 = 38.8 kPa
85 + 38.8 85 − 38.8
⇒ s′ = = 61.9; t= = 23.1
2 2
he oo dinates s′ and t a e lotted on i . 11.20 to i e the oint , the initial state
o st ess in the soil.
Effective stress at centre of clay after application and consolidation of foundation load
( nal
σ1′F = σ1′I + ∆ σ1 = 85 + 28.8 = 113.8 kPa
σ3′ F = σ3′ I + ∆ σ3 = 38.8 + 19.2 = 58.0 kPa
113.8 + 58 113.8 − 58
⇒ s′ = = 85.9; t= = 27.9
2 2
Fig. 11.2 E am le 11.9.
he oo dinates s′ and t a e lotted in i . 11.20 to i e the oint , the state o the

e e ti e st esses in the soil a te onsolidation. s illust ated in i . 11.19 the st ess
ath om to e esents the e e t o the immediate settlement, he eas the st ess
ath om to e esents the e e ts o the onsolidation settlement. he oblem
is to establish the oint , the oint that e esents the e e ti e st ess state in the soil
immediately a te the a li ation o the oundation load.
u in onsolidation, at all times,
1 1
t= (σ1 − σ3 ) = (σ1′ − σ3′ ).
2 2
en e, no matte ho the indi idual alues o e e ti e st ess a y du in onsolidation,
the alue o t emains onstant. he line must be a allel to the ho i ontal a is.
en e the oint must lie some he e alon the ho i ontal line th ou h .
om to the e e ti e und ained st ess ath is un no n but it is ossible to s et h
in an a o imate, but su iently a u ate ath, by om a in the t o test st ess aths
on eithe side o it. his has been done in the u e. he immediate settlement an
no be ound. n the dia am the st ain ontou s lines oinin e ual st ain alues on
the t o test aths a e d a n. It is seen that the oint lies a little abo e the e
ent st ain ontou .2 . Point lies on the st ain ontou . en e the st ain su
e ed ith immediate settlement = − .2 = 1. .
1.8
⇒ ρi = × 9.25 = 0.167 m
100
E ercises
E ercise 11.1
sin the test esults om E am le 4.9, dete mine an a o imate alue o E o

the soil and al ulate the a e a e settlement o a oundation, m × 1 m, ounded
on a thi laye o the same soil ith a uni o m essu e o 00 Pa.
ns er mm
E ercise 11.2
e tan ula , e ible oundation has dimensions L = 4 m and = 2 m and is loaded

ith a uni o m essu e o 400 Pa. he oundation sits on a laye o dee lay,
E = 10 Pa. ete mine the immediate settlement alues at its ent e and at the
ent al oints o its ed es.
ns er t ent e = 92 mm
t ent e o lon ed e = mm
t ent e o sho t ed e = mm
E ercise 11.3
e tan ula oundation, 10 × 2 m2, is to a y a total uni o m essu e o 400 Pa

and is to be ounded at a de th o 1 m belo the su a e o a satu ated sand o
onside able thi ness. he bul unit ei ht o the sand is 1 m and standa d
enet ation tests a ied out belo the ate table indi ate that the de osit has an
a ea e alue o 1 .
I the ate table o u s at the o osed oundation de th, dete mine a alue
o the settlement o the ent e o the oundation. se e ee and a tens’
method.
ns er 0 mm
E ercise 11.
satu ated sam le o a no mally onsolidated lay a e the ollo in esults hen
tested in a onsolidation a a atus ea h loadin in ement as a lied o 24
hou s .
on oli at ion T i ne o
pre ure a a ple
0 1 . 2
. 1 . 4
10 . 1 .4
214. 1 .1
429.2 1 .
0 1 . 1
te the sam le had been allo ed to e and o 24 hou s it as ound to ha e a

ate ontent o 0.2 . he a ti le s e i a ity o the soil as 2. .
i Plot the oid atio to e e ti e essu e.

ii Plot the oid atio to lo e e ti e essu e and hen e dete mine a alue o the
om ession inde o the soil.
iii .1 m laye o the soil is sub e ted to an e istin e e ti e o e bu den es
su e at its ent e o 10 . Pa, and a oundation load ill in ease the essu e
at the ent e o the laye by 0. Pa.
ete mine the obable total onsolidation settlement o the laye a by the
oe ient o olume om essibility and b by the om ession inde . E lain hy
the t o methods i e sli htly di e ent ans e s.
ns er a Settlement by oe ient o olume om essibility = 90 mm

b Settlement by om ession inde = 9 mm
he om ession inde method is not so a u ate as it e esents the a e a e o

onditions th ou hout the enti e essu e an e he eas the oe ient o olume
om essibility a lies to the a tual essu e an e onside ed.
Ch a p t e r 12
ate of oundation ettlement
he settlement o a oundation in ohesionless soil and the elasti settlement o a oundation in lay an
be assumed to o u as soon as the load is a lied. he onsolidation settlement o a oundation on lay
ill only ta e la e as ate see s om the soil at a ate de endin u on the e meability o the lay.
12.1 Analogy of consolidation settlement
he model sho n in i . 12.1 hel s to i e an unde standin o the onsolidation o ess. When load is
a lied to the iston it ill be a ied initially by the ate essu e eated, but due to the ee hole
the e ill be a slo bleedin o ate om the ylinde a om anied by a o essi e settlement o the
iston until the s in is om essed to its o es ondin load. In the analo y, the s in e esents the
om essible soil s eleton and the ate e esents the ate in the oids o the soil the si e o the ee
hole is analo ous to the e meability o the soil.
Consolidation attained at t ime t

The degree of consolidation, U, =
Total consolidation
12.2 Distribution of the initial excess pore pressure, u i
I e onside oints belo the ent e o a oundation it is seen that the e a e th ee main o ms o os
sible ui dist ibution.
ni o m dist ibution an o u in thin laye s i . 12.2a , so that o all a ti al u oses ui is onstant
and e uals Δ σ1 at the ent e o the laye .
ian ula dist ibution is ound in a dee laye unde a oundation, he e ui a ies om a ma imum
alue at the to to a ne li ible alue ta en as e o at some de th belo the oundation i . 12.2b i .
he de th o this a iation de ends u on the dimensions o the ootin . i u e 12.2b ii sho s ho a
t ian ula dist ibution may a y om ui = 0 at the to o a laye to ui = a ma imum alue at the bottom
this ondition an a ise ith a ne ly la ed laye o soil, the a lied essu e bein the soil’s ei ht.
a e oidal dist ibution esults om the uite ommon situation o a lay laye lo ated at some de th
belo the oundation i . 12.2 i . In the ase o a ne emban ment a yin a su e im osed load, a
e e sed o m o t a e oidal dist ibution is ossible i . 12.2 ii .
12.3 Terzaghi’s theory of consolidation
e a hi’s st esented this theo y in 192 and the most a ti al o on the edi tion o settlement
ates is based u on the di e ential e uation he e ol ed. he main assum tions in the theo y a e as ollo s.

355
35 mit h’s lements of oil echanics
Fig. 12.1 nalo y o onsolidation settlement.
Fig. 12.2 o ms o initial e ess o e essu e.
i Soil is satu ated and homo eneous.

ii he oe ient o e meability is onstant.
iii a y’s la o satu ated o a lies.
i he esultin om ession is one dimensional.
Wate o s in one di e tion.
i olume han es a e due solely to han es in oid atio, hi h a e aused by o es ondin han es
in e e ti e st ess.
he e ession o o in a satu ated soil has been established in ha te 2. he ate o olume han e
in a ube o olume d .dy.d is
∂ 2h ∂ 2h ∂ 2h
kx 2
+ k y 2 + k z 2 dx.dy.dz
∂x ∂y ∂z
ate of oundat ion ettlement 35
o one dimensional o assum tion the e is no om onent o hyd auli adient in the and y di e
tions, and uttin = the e ession be omes
∂ 2h
Rate of change of volume = k dx.dy.dz
∂ z2
he olume han es du in onsolidation a e assumed to be aused by han es in oid atio.

Po osity
Vv e
n= =
V 1+ e
hen e
e
Vv = dx.dy.dz
1+ e
nothe e ession o the ate o han e o olume is the e o e
∂ e
dx.dy.dz
∂t 1+ e
E uatin these t o e essions
∂ 2h 1 ∂e
k =
∂ z2 1+ e ∂ t
he head, h, ausin o is the e ess hyd ostati head aused by the e ess o e ate essu e, u.
u
h=
γw
k ∂ 2u 1 ∂e
⇒ 2
=
γw ∂ z 1+ e ∂ t
With one dimensional onsolidation the e a e no late al st ain e e ts and the in ement o a lied
essu e is the e o e nume i ally e ual but o o osite si n to the in ement o indu ed o e essu e.
en e an in ement o a lied essu e, d , ill ause an e ess o e ate essu e o du = − d . o
de
a= −
dp
hen e
de
a= (see Section 11.3.3)
du
de = a du
Substitutin o de
k ∂ 2u ∂u
(1+ e) 2 = a
γw ∂z ∂t
35 mit h’s lements of oil echanics
∂ 2u ∂ u
⇒ cv =
∂ z2 ∂t
he e = the oe ient o onsolidation and e uals
k k
(1+ e) =
γwa γ wm v
In the o e oin theo y, is measu ed om the to o the lay and om lete d aina e is assumed at
both the u e and lo e su a es, the thi ness o the laye bein ta en as 2 . he initial e ess o e
essu e, ui, = − d .
he bounda y onditions an be e essed mathemati ally
hen = 0, u = 0
hen = 2 , u = 0
hen t = 0, u = ui
solution o
∂ 2u ∂ u
cv =
∂ z2 ∂t
that satis es these onditions an be obtained and i es the alue o the e ess o e essu e at de th
at time t, u
m= ∞
2ui Mz − M2 T
uz = ∑m= 0
M
sin
H
e
he e
ui = the initial e ess o e essu e, uni o m o e the hole de th

M = 21 π(2m + 1) he e m is a ositi e inte e a yin om 0 to ∞
cvt
= 2 , no n as the time a to .
H
in to the d aina e at the to and bottom o the laye the alue o ui ill immediately all to e o
at these oints. With the mathemati al solution it is ossible to dete mine, u at time t o any oint ithin
the laye . I these alues o o e essu es a e lotted, a u e no n as an iso h one an be d a n
th ou h the oints i . 12. b . he ma imum e ess o e essu e is seen to be at the ent e o the
laye and, o any oint, the a lied essu e in ement, ∆ σ1 = u + ∆ σ1′ . te a onside able time u ill
be ome e ual to e o and Δ σ1 ill e ual ∆ σ1′ .
Fig. 12.3 a iation o e ess o e essu e ith de th and time.

ate of oundation ettlement 35
he lot o iso h ones o di e ent time inte als is sho n in i . 12. . o a a ti ula oint the de ee
o onsolidation, , ill be e ual to
ui − uz
ui
he mathemati al e ession o is
m= ∞
2 Mz − m2 T
Uz = 1− ∑M
m= 0
sin
H
e
12. A erage degree of consolidation
Instead o thin in in te ms o , the de ee o onsolidation o a a ti ula oint at de th , e thin

in te ms o , the a e a e state o onsolidation th ou hout the hole laye . he amount o onsolidation
still to be unde one at a e tain time is e esented by the a ea en losed unde the a ti ula iso h one,
and the total onsolidation is e esented by the a ea o the initial e ess o e essu e dist ibution
dia am i . 12. a . he onsolidation a hie ed at this iso h one is the e o e the total onsolidation less
the a ea unde the u e sho n hat hed in i . 12. b .
e a e de ee o onsolidation,
2Hui − Area under isochrone

U=
2Hui
he mathemati al e ession o is
m= ∞
2
∑M
2T
U = 1− 2
e− M
m= 0
theo eti al elationshi bet een and an the e o e be established and is sho n in i . 12.4, hi h
also i es the elationshi o ui dist ibutions that a e not uni o m, m = u1 u2.
12.5 Drainage path length
onsolidatin soil laye is usually en losed, ha in at its to eithe the oundation o anothe laye o
soil and beneath it eithe anothe soil laye o o . I the mate ials abo e and belo the laye a e e i
ous, the ate unde essu e in the laye ill t a el eithe u a ds o do n a ds a on ete oundation
is ta en as bein e ious om a ed ith a lay laye . his ase is no n as t o ay d aina e and the
d aina e ath len th, i.e. the ma imum len th that a ate a ti le an t a el i . 12. a
Thickness of layer
= =H
2
I one o the mate ials is im e meable, ate ill only t a el in one di e tion – the one ay d aina e ase
– and the len th o the d aina e ath = thi ness o laye = 2 i . 12. b .
he u es o i . 12.4 e e to ases o one ay d aina e d aina e ath len th = 2 . in to the
a o imations in ol ed, the u e o m = 1 is o ten ta en o the othe ases ith the assum tion that
ui is the initial e ess o e essu e at the ent e o the laye . o ases o t o ay d aina e the u e
o m = 1 should be used and the d aina e ath len th, o the dete mination o , is ta en as .
3 mith’s lements of oil echanics
Fig. 12.4 heo eti al onsolidation u es.
Permeable Permeable
2H 2H
Permeable Impermeable
(a) Two-way drainage (b) One-way drainage
Fig. 12.5 aina e ath len th.
12. Determination of the coef cient of consolidation, c , from the

consolidation test
I , o a a ti ula essu e in ement a lied du in a onsolidation test, the om ession o the test
sam le is lotted a ainst the s ua e oot o time, the esult sho n in i . 12. ill be obtained.
he u e is seen to onsist o th ee distin t a ts , and .
● AB (initial compression or frictional lag)

small but a id om ession sometimes o u s at the ommen ement o the in ement and is ob
ably due to the om ession o any ai esent o to the eo ientation o some o the la e a ti les
at e of oundation ett lement 3 1
Fig. 12.6 y i al onsolidation test esults.
in the sam le. In the ma o ity o tests this e e t is absent and oints and a e oin ident. Initial
om ession is not onside ed to be due to any loss o ate om the soil and should be t eated as a
e o e o o hi h a o e tion is made.
● BC (primary compression)
ll the om ession in this a t o the u e is ta en as bein due to the e ulsion o ate om the
sam le, althou h some se onda y om ession ill also o u . When the o e essu e has been
edu ed to a ne li ible amount it is assumed that 100 onsolidation has been attained.
● CD (secondary compression)
he amount by hi h this e e t is e ident is a un tion o the test onditions and an ha dly be elated
to an in situ alue.
The square root of t ime ‘ tt ing’ m ethod

It ill be a e iated that the u e des ibed abo e is an a tual onsolidation u e and ould not be
obtainable om one o the theo eti al u es o i . 12.4, hi h an only be used to lot the ima y
om ession an e. o e aluate the oe ient o onsolidation it is ne essa y to establish the oint ,
e esentin 100 ima y onsolidation, but it is di ult om a study o the test u e to ith
a u a y and a o edu e in hi h the test u e is ‘ tted’ to the theo eti al u e be omes ne essa y.
method as des ibed by aylo 194 . I the theo eti al u e a ainst √ is lotted o the ase
o a uni o m initial e ess o e essu e dist ibution, the u e ill be li e that sho n in i . 12. a.
to alues o e ual to about 0 , the u e is a st ai ht line o e uation = 1.1 √ , but i this st ai ht
line is e tended to ut the o dinate = 90 the abs issa o the u e is seen to be 1.1 times the abs issa
o the st ai ht line. his a t is used to t the test and theo eti al u es.
With the test u e a o e ted e o must st be established by o e tin the st ai ht line a t o the
ima y om ession ba to ut the e ti al a is at E i . 12. . se ond line, sta tin th ou h E, is no
d a n su h that all abs issas on it a e 1.1 times the o es ondin alues on the labo ato y u e, and
the oint at hi h this se ond line uts the labo ato y u e is ta en to be the oint e esentin 90
ima y onsolidation i . 12. b .
o establish , 90 is st ound om the theo eti al u e that ts the d aina e onditions the u e
m = 1 t 90 is dete mined om the test u e
c v t 90
T90 =
H2
i.e.
T90H2
cv =
t 90
3 2 mit h’s lements of oil echanics
Fig. 12.7 he s ua e oot o time ‘ ttin ’ method.
It is seen that the oint o 90 onsolidation athe than the oint o 100 onsolidation is used to
establish his is sim ly a matte o suitability. onsolidation test sam le is al ays d ained on both
su a es and in the o mula is ta en as hal the mean thi ness o the sam le o the essu e an e
onside ed. t st lan e it ould seem that ould not ossibly be onstant, e en o a ai ly small
essu e an e, be ause as the e e ti e st ess is in eased the oid atio de eases and both and m
de ease a idly. o e e , the atio o m emains sensibly onstant o e a la e an e o essu e so
it is usti able to assume that is in a t onstant.
ne d a ba o the onsolidation theo y is the assum tion that both Poisson’s atio and the elasti
modulus o the soil emain onstant he eas in eality they both a y as onsolidation o eeds. in
to this ontinuous a iation the e is a ontinuous han e in the st ess dist ibution ithin the soil hi h, in
tu n, auses a ontinuous han e in the alues o e ess o e ate essu es. heo ies that allo o this
e e t o the han e in a lied st ess ith time ha e been e a ed by iot 1941 and e tended by
othe s, but the a o imations in ol ed to ethe ith the so histi ation o the mathemati s usually o e
the use ba to the o i inal e a hi e uation.
12. Determination of the permeability coef cient from the

consolidation test
a in established , an be obtained om the o mula = m γ . It should be noted that sin e the

mean thi ness o the sam le is used to dete mine , m should be ta en as a / (1+ e ) he e e is the mean
oid atio o e the a o iate essu e an e.
12. Determination of the consolidation coef cient from the triaxial test
It is ossible to dete mine the alue o a soil om the onsolidation a t o the onsolidated und ained
t ia ial test. In this ase the onsolidation is th ee dimensional and the alue o obtained is eate than
ould be the ase i the soil e e tested in the oedomete . ilte a e d ains a e usually la ed a ound
the sam le to eate adial d aina e so that the time o onsolidation is edu ed. he e e t o th ee
dimensional d aina e is allo ed o in the al ulation o , but the alue obtained is not usually de end
able as it is elated to the elati e e meabilities o the soil and the lte a e o e, 19 9 .
ate of oundation ettlement 3 3
he time ta en o onsolidation to o u in the t ia ial test ene ally i es a ood indi ation o the
ne essa y ate o st ain o the und ained shea a t o the test, but it is not ad isable to use this time to
dete mine unless the e a e no lte d ains.
he onsolidation ha a te isti s o a a tially satu ated soil a e best obtained om the t ia ial test,
hi h an i e the initial o e ate essu es and the olume han e unde und ained onditions. a in
a lied the ell essu e and noted these eadin s, the o e essu es ithin the sam le a e allo ed to
dissi ate hile u the o e essu e measu ements a e ta en the a u a y o the esults obtained is mu h
eate than ith the onsolidation test as the di ulty o ttin the theo eti al and test u es hen ai
is esent is la ely emo ed. he dissi ation test is des ibed by isho and en el 19 2 .
xample 12.1 onsolidation test
esults obtained om a onsolidation test on a lay sam le o a essu e in ement o

100–200 Pa e e
Thickness of sample (mm) Time (min)
12.200 0
1
12.141 4
12.10 1
12.0 2 41
12.04 4
11.9 9
11.922 1
11. 2
11. 2
11. 09 49
11. 00 4
i ete mine the oe ient o onsolidation o the soil.

ii o lon ould a laye o this lay, 10 m thi and d ained on its to su a e only,
ta e to ea h ima y onsolidation
iii I the oid atios at the be innin and end o the in ement e e 0.94 and 0. 2
es e ti ely, dete mine the alue o the oe ient o e meability.
Solut ion:
i he st ste is to dete mine t 90. he thi ness o the sam le is lotted a ainst the
s ua e oot o time i . 12. and i ne essa y the u e is o e ted o e o e o
to establish the oint E. he 1.1 line is ne t d a n om E and he e it uts the
test u e oint it i es √t 90 = . 4. en e t 90 = 42. min.
om the u e o m = 1 i . 12.4 , 90 = 0.
cvt
T=
H2
ean thi ness o sam le du in in ement o e ted initial thi ness 12.1
Fig. 12. E am le 12.1.
12.168 + 11.800
= = 11.984 mm
2
11.984
⇒ H= = 5.992 mm
2
0.85 × 5.9922
cv = = 0.715 mm2 / min
42.7
ii o = , = 0.4 om i . 12.4 .
aina e ath len th o laye = 10 m = 10 000 mm
0.48 × 10 0002 1 1 1
Time to reach 75% consolidation = × ×
0.715 60 24 365
= 128 years
iii
de 0.94 − 0.82
a= = = 0.0012
dp 100
0.94 + 0.82
e= = 0.88
2
a 0.0012
Average m v = = = 0.000 638 m2 / kN
1+ e 1.88
0.715 × 9.81× 0.000 638
k = c v γ wm v = = 4.48 × 10− 6 mm/ min
1000
12. The model la of consolidation
I t o laye s o the same lay ith di e ent d aina e ath len ths 1 and 2 a e a ted u on by the same
essu e in ease and ea h the same de ee o onsolidation in times t 1 and t 2 es e ti ely, then theo
eti ally thei oe ients o onsolidation must be e ual as must thei time a to s, 1 and 2
c v1t 1 c v2t 2
T1 = ; T2 =
H21 H22
E uatin
t1 t
= 2
H21 H22
his i es a sim le method o dete minin the de ee o onsolidation in a laye i the sim li yin
assum tion is made that the om ession e o ded in the onsolidation test is solely due to ima y
om ession.
xample 12.2 onsolidation in the eld
u in a essu e in ement, a onsolidation test sam le attained 2 ima y onsoli

dation in minutes ith a mean thi ness o 1 mm. o lon ould it ta e a 20 m
thi laye o the same soil to ea h the same de ee o onsolidation i i the laye as
d ained on both su a es and ii it as d ained on the to su a e only
Solut ion:
In the onsolidation test the sam le is d ained to and bottom
18
⇒ H1 = = 9.0 mm
2
i With laye d ained on both su a es 2 = 10 m = 10 000 mm.
2
t 1 2 5 × 10 000 1 1 1
t2 = H2 = × × × = 11.7 years
H21 92 60 24 365
ii With laye d ained on to su a e only 2 = 20 m.
⇒ t 2 = 4 × 11.7 = 47 years
xample 12.3 Degree of consolidation
19.1 mm thi lay sam le, d ained to and bottom, ea hed 0 onsolidation in 10
minutes. o lon ould it ta e the same sam le to ea h 0 onsolidation
Solut ion:
s is no n 0 e an obtain , eithe om i . 12.4 o by usin the elationshi
that U = 1.13 T u to = 0 .
2
0 .3
T30 = = 0.07
1.13
cvt 0.07× 9.552
T= , so cv = = 0.6384 mm2 / min
H2 10
2
0 .5
T50 = = 0.197 (or obtain from Fig. 12.4 )
1.13
T50H2 0.197× 9.552
t 50 = = = 28.1 min
cv 0.6384
12.1 onsolidation during construction
su iently a u ate solution is ene ally a hie ed by assumin that the enti e oundation load is a lied
hal ay th ou h the onst u tion e iod. o la e onst u tions, s ead o e some yea s, it is sometimes
use ul to no the amount o onsolidation that ill ha e ta en la e by the end o onst u tion, the
oblem bein that hilst onsolidatin , the lay is sub e ted to an in easin load.
i u e 12.9 illust ates the loadin dia am du in and a te onst u tion. While e a ation is o eed
in , s ellin may o u see E am le 11. . I the oe ient o s ellin , s, is no n it ould be ai ly
st ai ht o a d to obtain a solution, st as the o e essu es in ease s ellin and then as they
de ease onsolidation , but the assum tion is usually made that on e the onst u tion ei ht e uals
the ei ht o soil e a ated time t 1 in i . 12.9 hea e is eliminated and onsolidation ommen es. he
t eatment o the oblem has been dis ussed by aylo 194 , ho a e a a hi al solution, and Lumb
19 , ho e a ed a theo eti al solution o the ase o a thin onsolidatin laye .
Fig. 12. onsolidation du in onst u tion.

ate of oundation et tlement 3
y lottin the load–time elationshi , the time t 1 an be ound i . 12.9 , the time t 2 bein ta en as
the time in hi h the net oundation load is a lied. he settlement u e, assumin instantaneous a li
ation o the load at time t 1, is no lotted and a o e tion is made to the u e by assumin that the
a tual onsolidation settlement at the end o time t 2 has the same alue as the settlement on the instan
taneous u e at time t 2 2. Point , o es ondin to t 2 2, is obtained on the instantaneous u e, and
oint is established on the o e ted u e by d a in a ho i ontal om to meet the o dinate o time
t 2 at oint . o establish othe oints on the o e ted u e the o edu e is to
i sele t a time, t
ii dete mine the settlement on the instantaneous u e o t 2 oint
iii d a a ho i ontal om to meet the o dinate o t 2 at , and
i oin .
Whe e uts the o dinate o time, t i es the oint E on the o e ted u e, the o edu e bein
e eated ith di e ent alues o t until su ient oints a e established o the u e to be d a n. Points
beyond on the o e ted u e a e dis la ed ho i ontally by the distan e om the o es ondin
oints on the instantaneous u e.
xample 12. ettlement ersus time relationship
I in E am le 11. the e a ation ill ta e months and the st u tu e ill be om leted

in a u the 1 months, dete mine the settlement to time elationshi o the ent al
oint o the a t du in the st yea s. he lay has a alue o 1. m2 yea and the
sandstone may be onside ed e meable.
Solut ion:
he initial e ess o e ate essu e dist ibution ill be ou hly t a e oidal. he st
ste is to dete mine the alues o e ess o e essu es at the to and bottom o the
lay laye use i . .10 .
ept h elo B L
foun at ion (m) Z Z σ 4σ Δ σ 1 (k a)
o o lay .1 1. 4. 0.229 0.91 29

ottom o lay . 0.2 0. 0.0 0.24 .
36.6 − 6.1
Drainage path length = = 15.25 m
2
295
m= = 3.82; values of U are obtained from Fig. 12.4.
77.3
Plottin the alues o onsolidation a ainst time i es the settlement u e o instan
taneous loadin , hi h an be o e ted to allo o the onst u tion e iod i . 12.10,
hi h also sho s the immediate settlement to time lot . he summation o these t o
lots i es the total settlement to time elationshi .
Fig. 12.1 E am le 12.4.
cv t
t ( ea s) T= ( ) ρc (mm)
H2
1 0.00 10 = 0.1 × 44 = 44.

2 0.01 1 .2
0.024 1 0.
4 0.0 2 22 9 .
0.040 24 10 .
12.11 onsolidation by drainage in t o and three dimensions
he ma o ity o settlement analyses a e based on the e uently in o e t assum tion that the o o
ate in the soil is one dimensional, a tly o ease o al ulation and a tly be ause in most ases no l
ed e o soil om ession alues in th ee dimensions is limited. he e a e o asions hen this assum tion
an lead to si ni ant e o s as in the ase o an anisot o i soil ith a ho i ontal e meability so mu h
eate than its e ti al alue that the time–settlement elationshi is onside ably alte ed and hen
dealin ith a oundation hi h is elati ely small om a ed ith the thi ness o the onsolidatin laye
some o m o analysis allo in o late al d aina e be omes ne essa y. o an isot o i , homo eneous
soil the di e ential e uation o th ee dimensional onsolidation is
∂ 2u ∂ 2u ∂ 2u ∂u
cv + + =
∂ x 2 ∂ y2 ∂ z2 ∂t
o t o dimensions one o the te ms in the b a et is d o ed.
12.12 umerical determination of consolidation rates
When a onsolidatin laye o lay is sub e ted to an i e ula dist ibution o initial e ess o e ate
essu e, the theo eti al solutions a e not usually a li able unless the dist ibution an be a o imated
to one o the ases onside ed. In su h i umstan es the use o a nume i al method is ai ly ommon.
s eadsheet an be used o su h a u ose and E am le 12. illust ates the use o a s eadsheet to nd
the solution.
b ie e ision o the ele ant mathemati s is set out belo .
Maclaurin’s series
ssumin that an be e anded as a o e se ies
y = f (x ) = a0 + a1x + a2 x 2 + a3 x 3 + an x n
dy
= f ′ (x ) = a1 + 2a2 x + 3a3 x 2 + 4a4 x 3 + nan x n− 1
dx
d2 y
= f ′′ (x ) = 2a2 + 2.3a3 x + 3.4a4 x 2 + n(n − 1)an x n− 2
dx 2
d3y
= f ′′′ (x ) = 2.3a3 + 2.3.4a4 x + n(n − 1)(n − 2)an x n− 3
dx 3
I e ut = 0 in ea h o the abo e
f ′′ (0 ) f ′′′ (0)
a0 = f (0); a1 = f ′ (0); a2 = ; a3 = ; etc.
2! 3!
ene ally
f n (0 )
an =
n!
Fig. 12.11 aylo ’s se ies.
Substitutin these alues
x 2f ′′ (0) x 3 f ′′′ (0) x nf n (0)

f (x ) = f (0) + xf ′ (0) + + +
2! 3! n!
his is the a lau in’s se ies o the e ansion o .
Taylor’s series
I a u ey= uts the y a is abo e the o i in at a oint i . 12.11 e an inte et a lau in’s
e ession as ollo s
Let P be a oint on the u e ith abs issa .

Let the alues o , ′ , ′′ , et ., at be
y0, y0′ , y′′0 , et .
Let the alue o at P be y . hen
x 2 y0′′ x 3 y0′′′
f (x ) at P = yp = y0 + xy′0 + + +
2! 3!
his is a aylo ’s se ies and i es us the alue o the o o dinate o P in te ms o the o dinate adient,
et ., at and the distan e bet een and P.
ibson and Lumb 19 illust ated ho the nume i al solution o onsolidation oblems an be
obtained by usin the e li it nite di e en e e uation. he di e ential e uation o one dimensional
onsolidation has been established
∂ 2u ∂ u
cv =
∂ z2 ∂t
onside a t o a id d a n on to a onsolidatin laye i . 12.12a . he a iation o the e ess o e

essu e, u, ith the de th, , at a e tain time, , is sho n in i . 12.12b, and the a iation o u at the
oint du in a time in ement om to + 1 is illust ated by i . 12.12 .
In i . 12.12b om aylo ’s theo em
∆ z2 ∆ z3
u2,k = u0,k − ∆ zu0′ ,k + u0′′,k − u0′′′,k +
2! 3!
Fig. 12.12 E li it e u en e o mula ene al .
∆ z2 ∆ z3
u4,k = u0 ,k + ∆ zu0′ ,k + u0′′,k + u0′′′,k +
2! 3!
ddin and i no in te ms eate than se ond o de
u2,k + u4,k = 2u0,k = ∆ z2u0′′,k

∂ 2u u + u4,k − 2u0,k
⇒ = u0′′,k = 2,k
∂ z2 ∆ z2
In i . 12.12
∂u
is a function u = f (t )
∂t
y aylo ’s theo em
∆ t2
u0,k + 1 = u0,k + ∆ tu′0,k + u′′0,k +
2!
I no in se ond de i ati es and abo e
∂u u − u0,k
= u′0,k = 0,k + 1
∂t ∆t
u2,k + u4,k − 2u0,k u − u0,k
⇒ cv = 0,k + 1
∆ z2 ∆t
3 2 mith’s lements of oil echanics
⇒ u0,k + 1 = r (u2,k + u4,k − 2u0,k ) + u0,k
he e
c v∆ t
r=
∆ z2
he s hemati o m o this e ession is sho n in i . 12.12d. en e i a se ies o oints in a onsoli

datin laye a e established, Δ a a t, it is ossible by nume i al ite ation to o out the alues o u at
any time inte al a te onsolidation has ommen ed i the initial e ess alues, ui, a e no n.
Impermeable boundary conditions

i u e 12.1 a illust ates this ase in hi h onditions at the bounda y a e e esented by
∂u
= 0
∂z
en e bet een the oints 2 and 4
∂ u u2,k − u4,k
= = 0
∂z 2∆ z
i.e.
u2,k = u4,k
he e uation the e o e be omes
u0,k + 1 = 2r (u2,k − u0,k ) + u0,k
and is sho n in s hemati o m in i . 12.1 b.

he bounda y e uation an also be used at the ent e o a double d ained laye ith a symmet i al
initial o e essu e dist ibution, alues o only hal the laye needin to be e aluated.
Fig. 12.13 E li it e u en e o mula t eatment o an im e meable bounda y.

ate of oundat ion ettlement 3 3
Errors associated with t he explicit equat ion

E o s all into t o main ou s t un ation e o s due to i no in the hi he de i ati es and oundin o
e o s due to o in to only a e tain numbe o de imal la es . he si e o the s a e in ement, Δ ,
a e ts both these e o s but in di e ent ays the smalle Δ is, the less the t un ation e o that a ises
but the eate the ound o e o tends to be ome.
he alue o is also im o tant. o stability must not be eate than 0. and, o minimum t un ation
e o s, should be 1 the usual a ti e is to ta e as nea as ossible to 0. . his est i tion means that
the time inte al must be sho t and a onside able numbe o ite ations be ome ne essa y to obtain the
solution o a la e time inte al. With esent so t a e this is not a oblem, but i ne essa y use an be
made o eithe the im li it nite di e en e e uation o the ela ation method.
xample 12.5 Degree of consolidation by nite difference

method
laye o lay 4 m thi is d ained on its to su a e and has a uni o m initial e ess
o e essu e dist ibution. he onsolidation oe ient o the lay is 0.1 m2 month.
sin a nume i al method, dete mine the de ee o onsolidation that the laye ill
ha e unde one 24 months a te the ommen ement o onsolidation. he you
ans e by the theo eti al u es o i . 12.4.
Solut ion:
In a nume i al solution the id must st be established o this e am le the laye has
been s lit into ou laye s ea h o Δ = 1.0 m it is im o tant to emembe that sin e
Sim son’s ule is bein a lied to dete mine the de ee o onsolidation, the laye
should be di ided into an e en numbe o st i s . he initial e ess o e essu e alues
ha e been ta en e e y he e th ou hout the laye as e ual to 100 units.
In 24 months
cvt 0.1× 24
r= = = 2 .4
∆ z2 1 .0
o the nite di e en e e uation must not be eate than 0. , so use e time in e

ments, i.e. Δ t = 4. months and
0.1× 4.8
r= = 0.48
1 .0
in to the instantaneous dissi ation at the d ained su a e the e ess o e essu e

dist ibution at time = 0 an be ta en as that sho n in i . 12.14 the alues obtained
du in the ite ation o ess a e also i en . he nite di e en e o mula is a lied to
ea h oint o the id, e e t at the d ained su a e
u0,k + 1 = r (u2,k + u4,k − 2u0,k ) + u0,k
o e am le, ith the st time in ement the oint ne t to the d ained su a e has u
= 0.4 0 + 100 − 2 × 100 + 100 = 2.0. ote that at the und ained su a e the nite
di e en e e uation alte s.
Fig. 12.14 E am le 12. .
eg ee of consoli at ion
ea o initial e ess o e essu e dist ibution dia am = 4 × 100 = 400.
ea unde nal iso h one is obtained by Sim son’s ule
1 .0
(87.7 + 4(32.4 + 77.3) + 2 × 62.8) = 217
3
hen e
400 − 217
U= = 45.7%
400
he in by the theo eti al u e
otal time = 24 months, = 4 m
c v t 0.1× 24
T= = = 0.15
H2 16
om i . 12.4 = 4
12.13 onstruction pore pressures in an earth dam
no led e o the indu ed o e essu es o u in du in the onst u tion o an ea th dam o emban

ment is ne essa y so that stability analyses an be a ied out and a suitable onst u tion ate dete mined.
Su h a oblem is best sol ed by nume i al methods. u in the onst u tion o an ea th dam o an
emban ment the la in o mate ial abo e that al eady in osition in eases the o e ate essu e
hilst onsolidation has the e e t o de easin it the oblem is one o a laye o soil that is onsolidat
in as it is in easin in thi ness. ibson 19 e amined this ondition. I it is assumed that the ate
in the soil ill e e ien e e ti al d aina e only, the nite di e en e e uation be omes
u0,k + 1 = r (u2,k + u4,k − 2u0,k ) + u0,k + Bγ∆ z

ate of oundat ion ettlement 3 5
he e
Δ = the id s a in , and also the in ement o dam thi ness la ed in time Δ t

γ = unit ei ht o dam mate ial
= o e essu e oe ient
c ∆t
r = v 2
∆z
In o de that Δ is onstant th ou hout the ull hei ht o the dam, all onst u tion e iods must be
a o imated to the same linea elationshi and then t ans o med into a se ies o ste s. he o mula
an only be a lied to a laye that has some nite thi ness, and as the laye does not e ist initially it is
ne essa y to obtain a solution by some othe method o the ea ly sta es o onst u tion hen the dam
is insu iently thi o the o mula to be a li able. Smith 19 b has sho n ho a ela ation o edu e
an be used o this initial sta e.
xample 12. xcess pore pressure distribution by numerical

method
t a sta e in its onst u tion an ea th emban ment has attained a hei ht o 9.12 m and
has the e ess o e ate essu e dist ibution sho n in i . 12.1 a. o osal has
been made that u the onst u tion ill be at the ate o 1. 2 m thi ness o mate ial
la ed in one month, the unit ei ht o the la ed mate ial to be 19.2 m and its
Fig. 12.15 E am le 12. .

alue about 0. . ete mine a o imate alues o the e ess o e essu es that ill
e ist ithin the emban ment months a te u the onst u tion is ommen ed. o
the soil = 0. m2 month.
Solut ion:
he the alue ith Δ ta en as e ual to 1. 2 m.
o Δ = 1. 2 m, t = 1.0 month
0.558 × 1
r= = 0.241
(1.52)2
his alue o is satis a to y and has been used in the solution i had been eate
than 0. then Δ t and Δ ould ha e had to be a ied until as less than 0. .
1. 2 m de osit o the soil ill indu e an e ess essu e, th ou hout the hole
emban ment, o 1.52 × 19.2 × B = 24.8 kPa. his essu e alue must be added to the
alue at ea h id oint o ea h time in ement. he o e essu e in ease is in a t
a lied adually o e a month, but o a nume i al solution e must assume that it is
a lied in a se ies o ste s, i.e. 24. Pa at t = 1 month, at t = 2 months, and at t =
months. om t = 0 to t = 1 no in ement is assumed to be added and the initial o e
essu es ill ha e dissi ated u the be o e they a e in eased.
he nume i al ite ation is sho n in i . 12.1 b.
12.1 umerical solutions for t o and three dimensional consolidation
12.1 .1 T o dimensional consolidation

he di e ential e uation o t o dimensional onsolidation has al eady been i en
∂ 2u ∂ 2u ∂u
cv + =
∂ x 2 ∂ y2 ∂t
Pa t o a onsolidation id is sho n in i . 12.1 a om the e ious dis ussion o the nite di e en e

e uation e an ite
Fig. 12.16 S hemati o m o the nite di e en e e uation t o dimensional .

∂ u u0,k + 1 − u0,k
=
δt ∆t
∂ 2u c v
= (u2,k + u4,k − 2u0,k )
∂ y2 h2
∂ 2u c v
= (u1,k + u3,k − 2u0,k )
∂ x 2 h2
en e the e li it nite di e en e e uation is
u0,k + 1 = r (u1,k + u2,k + u3,k + u4,k ) + u0,k (1− 4r )
he e
c v∆ t
r=
h2
he s hemati o m o this e uation is illust ated in i . 12.1 b.
Impermeable boundary condition

Im e meable bounda ies a e t eated as o the one dimensional ase.
12.1 .2 Three dimensional consolidation

o instan es o adial symmet y the di e ential e uation an be e essed in ola o o dinates
∂ 2u 1 ∂ u ∂ 2u ∂u
cv + + =
∂ R2 R ∂ R ∂ z2 ∂t
then
∂ u u0,k + 1 − u0,k
=
∂t ∆t
∂ 2u u2,k + u4,k − 2u0,k
=
∂ z2 ∆ z2
∂ 2u u1,k + u3,k − 2u0,k
=
∂ R2 ∆ R2
1 ∂ u 1 u3,k − u1,k
=
R ∂ R R 2∆ R
I e ut Δ = Δ = h the nite di e en e e uation be omes
h h
u0,k + 1 = r (u2,k + u4,k ) + u0,k (1− 4r ) + ru1,k 1− + ru3,k 1+
2R 2R
he e
c v∆ t
r=
h2
t the o i in, he e = 0
1 ∂u ∂ 2u
→
R ∂R ∂ R2
Fig. 12.17 S hemati o m o the nite di e en e e uation th ee dimensional .
and the e uation be omes
u0,k + 1 = ru2,k + 4ru3,k + ru4,k + u0,k (1− 6r )
sin the on ention = mh, the s hemati o m o the e li it e uation is sho n in i . 12.1 a o a
oint at the o i in and i . 12.1 b o othe inte io oints .
o d aina e in the e ti al di e tion the o edu e is the same, but o adial d aina e the e ession
o u0, + 1 at a bounda y oint, he e δu δ = 0, is i en by
u0,k + 1 = r (u2,k + u4,k ) + 2ru1,k + u0,k (1− 4r )
Value of r
In th ee dimensional o the e li it e u en e o mula is stable i is eithe e ual to o less than 1 .
his is not so se e e a est i tion as it ould at st a ea , sin e ith th ee dimensional d aina e the
time e ui ed to ea h a hi h de ee o onsolidation is mu h less than o one dimensional d aina e.
o t o dimensional o should not e eed 0. .
12.1 .3 Det ermination of initial excess pore at er pressure alues

o one dimensional onsolidation oblems, ui an at any oint be ta en as e ual to the in ement o
the total ma o in i al st ess at that oint. o t o and th ee dimensional oblems ui must be obtained
om the o mula
ui = B[∆ σ3 + A (∆ σ1 − ∆ σ3 )]
s the lay is assumed satu ated, = 1.0.
12.15 and drains
Sometimes the natu al ate o onsolidation o a a ti ula soil is too slo , a ti ula ly hen the laye
o e lies an im e meable mate ial and, in o de that the st u tu e may a y out its intended u ose, the
ate o onsolidation must be in eased. n e am le o he e this ty e o oblem an o u is an
ate of oundation et tlement 3
Fig. 12.1 y i al sand d ain a an ements.
Fig. 12.1 Po ula a an ements o sand d ains.
emban ment desi ned to a y oad t a . It is essential that most o the settlement has ta en la e
be o e the a ement is onst u ted i e essi e a in is to be a oided.
om the odel La o onsolidation it is no n that the ate o onsolidation is o o tional to the
s ua e o the d aina e ath len th. b iously the onsolidation ate is in eased i ho i ontal, as ell as
e ti al, d aina e aths a e made a ailable to the o e ate . his an be a hie ed by the installation o
a system o sand d ains, hi h is essentially a set o e ti al bo eholes ut do n th ou h the laye , ideally
to a me mate ial, and then ba lled ith o ous mate ial, su h as a suitably aded sand.
ty i al a an ement is sho n in i . 12.1 a. he e a e o asions hen the sand d ains a e made to
un tu e th ou h an im e meable laye hen the e is a e ious laye beneath it. his eates t o ay
e ti al d aina e, as ell as late al, and esults in a onside able s eedin u o onst u tion.
Diameter of drains a y om 00 to 00 mm. iamete s less than 00 mm a e ene ally di ult to install
unless the su oundin soil is onside ably emoulded.
Spacing of drains de ends u on the ty e o soil in hi h they a e la ed. S a in s a y bet een 1.
and 4. m. Sand d ains a e e e ti e i the s a in , a, is less than the thi ness o the onsolidatin
laye , 2 .
Arrangement of grid sand d ains a e laid out in eithe s ua e i . 12.19a o t ian ula i . 12.19b
atte ns. o t ian ula a an ements the id o ms a se ies o e uilate al t ian les the sides o hi h
a e e ual to the d ain s a in .
Depth of sand drains di tated by subsoil onditions. Sand d ains ha e been installed to de ths o u
to 4 m.
Type of sand used should be lean and able to a y a ay ate yet not e mit the ne a ti les o soil
to be ashed in.
Drainage blan et a te d ains a e installed a blan et o a el and sand om 0. to 1.0 m thi , is

s ead o e the enti e a ea to o ide late al d aina e at the base o the ll.
er ll or surcharge o ten used in on un tion ith sand d ains. It onsists o e t a ll mate ial la ed
abo e the e manent ll to a ele ate onsolidation. n e ie omete measu ements indi ate that
onsolidation has be ome slo this su ha e is emo ed.
Strain effects althou h the e is late al d aina e, late al st ain e e ts a e assumed to be ne li ible. en e
the onsolidation o a soil laye in hi h sand d ains a e la ed is still obtained om the e ession
ρc = mvdp 2H
onsolidation theory
he th ee dimensional onsolidation e uation is
∂u ∂2 1∂u ∂2
= ch u2 + + c v u2
∂t ∂r r ∂r ∂z
he e h = oe ient o onsolidation o ho i ontal d aina e hen it an be measu ed othe ise

use .
he a ious o o dinate di e tions o the e uation a e sho n in i . 12.20. he e uation an be sol ed
by nite di e en es.
Equi alent radius

he e e t o ea h sand d ain e tends to the end o its e ui alent adius, hi h di e s o s ua e and
t ian ula a an ements see i . 12.19 .
or a s uare system
ea o s ua e en losed by id = a2
ea o e ui alent i le o adius = a2
i.e. πR2 = a2 or R = 0.564a.
or a triangular system
he a on is o med by bise tin the a ious id lines oinin ad a ent d ains i . 12.21 . ty i al
he a on is sho n in the u e om hi h it is seen that the base o t ian le , i.e. the line , = a 2.
o
a a
AC = AB tan ∠ CBA = tan 30° =
2 2 3
Fig. 12.2 oo dinate di e tions.

at e of oundation ett lement 3 1
Fig. 12.21 E ui alent adius t ian ula system.
hen e
1 a a a2
Area of triangle ABC = × × =
2 2 2 3 8 3
So that
a2
Total area of the hexagon = 12 × = 0.865a2
8 3
adius o the e ui alent i le, = 0. 2 a
et ermination of consolidation rates f rom cur es

a on has odu ed u es hi h i e the elationshi bet een the de ee o onsolidation due to adial
o only, , and the o es ondin adial time a to , .
ch t
Tr =
4R2
he e t = time onside ed.

hese u es a e e odu ed in i . 12.22 and it an be seen that they in ol e the use o a to n. his
a to is sim ly the atio o the e ui alent adius to the sand d ain adius.
R
n= and should lie between 5 to 100
r
o dete mine o both adial and e ti al d aina e o a a ti ula time, t, the o edu e be omes
i ete mine om the no mal onsolidation u es o a ainst i . 12.4
cvt
Tz = where H = vertical drainage path
H2
ii ete mine om a on’s u es o a ainst .

3 2 mit h’s lements of oil echanics
Fig. 12.22 adial onsolidation ates a te a on, 194 .
iii ete mine esultant e enta e onsolidation, , om
1
U = 100 − (100 − Uz )(100 − Ur )
100
mear ef fect s
he u es in i . 12.22 a e o idealised d ains, e e tly installed, lean and o in o e tly. Wells a e
o ten installed by d i in ased holes and then ba llin as the asin is ithd a n, a o edu e that
auses disto tion and emouldin in the ad a ent soil. In a ed lays lays ith sand i h ty e laye s o
silt and sand ithin them the ne and mo e im e ious laye s a e d a ed do n and smea o e the
mo e e ious laye s to eate a one o edu ed e meability a ound the e imete o the d ain. his
smea ed one edu es the ate o onsolidation, and in situ measu ements to he on the estimated
settlement ate a e ne essa y on all but the smallest o obs.
Effecti eness of sand drains

Sand d ains a e a ti ula ly suitable o so t lays but ha e little e e t on soils ith small ima y but la e
se onda y e e ts, su h as eat.
xample 12. and drain system
so t lay laye , m = 2. × 10− 4 m2 = 0.1 m2 month, is 9.2 m thi and o e lies

im e ious shale. n emban ment, to be onst u ted in si months, ill sub e t the
ent e o the laye to a essu e in ease o 100 Pa. It is e e ted that a oad ay ill
be la ed on to o the emban ment one yea a te the sta t o onst u tion and
ma imum allo able settlement a te this is to be 2 mm.
ete mine a suitable sand d ain system to a hie e the e ui ements.
Solut ion:
2.5
ρc = m vdp 2H = × 100 × 9.2 × 1000 = 230 mm
10 000
the e o e, minimum settlement that must ha e o u ed by the time the oad ay is
onst u ted = 2 0 − 2 = 20 mm. i.e.
205
U= = 90%
230
ssume that settlement ommen es at hal the onst u tion time o the emban ment.
hen time to ea h U = 90% = 12 − 62 = 9 months.
c v t 0.187× 9
Tz = = = 0.020
H2 9.22
om i . 12.4 = 1
y 4 0 mm 0.4 m diamete d ains in a t ian ula atte n.
Sele t n = 10. hen
R/ r = 10 and R = 2.25 m
hen e
2.25
a= = 4.3 m
0.525
Sele t a id s a in o m.
R = 0.525 × 3 = 1.575 m
1.575
n= = 7
0.225
cvt 0.187× 9
Tr = = = 0.169 (Note that no value for ch was given so c v ust e use
4R2 4 × 1.5752
om i . 12.22, =
1
U = 100 − (100 − 16) (100 − 66)
100
= 71.4%, which is not sufficient
y a = 2.2 m = 1.1 m n = .2 .
0.187× 9
Tr = = 0.302
4 × 1.182
om a h, = 90
1
Total consolidation percentage = 100 − (100 − 16 )(100 − 90)
100
= 91.6%
he a an ement is satis a to y.
In a ti e no sand d ain system ould be desi ned as ui ly as this. he ob e t o
the e am le is sim ly to illust ate the method. he uestion o installation osts must
be onside ed and se e al s hemes ould ha e to be losely e amined be o e a nal
a an ement ould be de ided u on.
xercises
xercise 12.1
soil sam le o thi ness 19.1 mm in an oedomete test e e ien ed 0 ima y

onsolidation a te 10 minutes. o lon ould it ta e the sam le to ea h 0
onsolidation
Ans er 0 min
xercise 12.2
m thi lay laye has an a e a e alue o .0 × 10− 2 mm2 min. I the laye is
sub e ted to a uni o m initial e ess o e essu e dist ibution, dete mine the time
it ill ta e to ea h 90 onsolidation i i d ained on both su a es and ii i d ained
on its u e su a e only.
Ans er i 200 yea s, ii 00 yea s
xercise 12.3
In a onsolidation test the ollo in eadin s e e obtained o a essu e

in ement
Sample t hickness (mm) Time (min)
1 .9 0
1
1 . 4 4
1 . 1
1 . 1 4
1 .4 9
1 . 1 1
1 .1 2
1 .0
1 .0 49
1 .9 4
1 .9 1
i ete mine the oe ient o onsolidation o the sam le.

ii om the oint o = 90 on the test u e, establish the oint o = 0
and hen e obtain the test alue o t 0. he you alue om the o mula
T50H2
t 50 =
cv
Ans er = 1.2 mm2 min, t 0 = 10.2 min
xercise 12.
sam le in a onsolidation test had a mean thi ness o 1 .1 mm du in a essu e

in ement o 1 0 to 290 Pa. he sam le a hie ed 0 onsolidation in 12. min.
I the initial and nal oid atios o the in ement e e 1.0 and 0.9 es e ti ely,
dete mine a alue o the oe ient o e meability o the soil.
Ans er = 2. 1 × 10− mm min
xercise 12.5
2 m thi laye o lay, d ained at its u e su a e only, is sub e ted to a t ian ula
dist ibution o initial e ess o e ate essu e a yin om 1000 Pa at the u e
su a e to 0.0 at the base. he alue o the lay is 1. × 10− m2 month. y di id
in the laye into 4 e ual sli es, dete mine, nume i ally, the de ee o onsolidation
a te 4 yea s.
ote I the total time is s lit into se en in ements, = 0.049.
Ans er = 4
Ch a p t e r 13
Stability of Slopes
13.1 Planar failures
Soils su h as a el and sand a e olle ti ely e e ed to as anula soils and no mally e hibit only a
i tional om onent o st en th. otential sli su a e in a slo e o anula mate ial ill be lana and
the analysis o the slo e is elati ely sim le. o e e , most soils e hibit both ohesi e and i tional
st en th and u ely anula soils a e ai ly in e uent. e e theless a study o anula soils a o ds a
use ul int odu tion to the late t eatment o soil slo es that e hibit both ohesi e and i tional st en th.
i u e 1 .1 illust ates an emban ment o anula mate ial ith an an le o shea in esistan e, φ′, and
ith its su a e slo in at an le β to the ho i ontal.
onside an element o the emban ment o ei ht W
o e a allel to slo e = W sin β

o e e endi ula to slo e = W os β
o stability,
Restraining forces
Sliding forces =
Factor of safety (F)
i.e.
W cos β tan φ′
W sin β =
F
tan φ′
⇒ F=
tan β
o limitin e uilib ium = 1 , tan β = tan φ′, i.e. β = φ′.

om this it is seen that a the ei ht o a mate ial does not a e t the stability o the slo e, b the
sa e an le o the slo e is the same hethe the soil is d y o subme ed, and the emban ment an
be o any hei ht.
ailu e o a subme ed sand slo e an o u ho e e , i the ate le el o the etained ate alls
a idly hile the ate le el in the slo e la s behind, as see a e o es a e set u in this situation.
13.1.1 Seepage forces in a granular slope subject ed to rapid drawdown

In i . 1 .2a the le el o the i e has d o ed suddenly due to tidal e e ts. he e meability o the soil
in the slo e is su h that the ate in it annot ollo the ate le el han es as a idly as the i e , ith

386
Stability of Slopes 387
Fig. 13.1 o es in ol ed in a slo e o anula mate ial.
GWL
WL
River
(a)
Fig. 13.2 See a e due to a id d a do n.
the esult that see a e o u s om the hi h ate le el in the slo e to the lo e ate le el o the i e .
o net an be d a n o this ondition and the e ess hyd ostati head o any oint ithin the slo e
an be dete mined.
ssume that a otential ailu e lane, a allel to the su a e o the slo e, o u s at a de th o and
onside an element ithin the slo e o ei ht W. Let the e ess o e ate essu e indu ed by see a e
be u at the mid oint o the base o the element.
Normal reaction N = W cosβ

W cos β W cos2 β b
Normal stress σ = = since l =
l b cos β
W cos2 β
Normal effective stress σ′ = −u
b
γ zb cos2 β
= − u = γ z cos2 β − u
b
Whe e γ = the a e a e unit ei ht o the hole sli e, it is usually ta en that the hole sli e is
satu ated .
Tangential force = W sinβ

W sin β
⇒ Tangential shear stress, τ = = γ z sin β cos β
l
Ultimate shear strength of soil = σ′ tan φ′ = τ F
tan φ′
⇒ γ z sin β cos β = (γ z cos2 β − u)
F
cos β u
⇒ F= − tan φ′
sin β γ z sin β cos β
u tan φ′
= 1− 2
γ z cos β tan β
his e ession may be itten as
ru tan φ′
F = 1−
cos2 β tan β
he e
u
ru =
γz
13.1. Pore pressure ratio

he atio, at any i en oint, o the o e ate essu e to the ei ht o the mate ial a tin on unit a ea
abo e it is no n as the o e essu e atio and is i en the symbol u. See also Se tion 1 .2.4 .
Flow parallel to the surface and at t he surf ace

he o net o these s e ial onditions is illust ated in i . 1 . .
I e onside the same element as be o e, the e ess o e ate head, at the ent e o the base o
the element, is e esented by the hei ht h in i . 1 . . In the u e, = os β and h = os β.
en e, h = os2 β, so that e ess o e ate essu e at the base o the element = γ os2 β.
u γ z cos2 β γ w
⇒ ru = = w = cos2 β
γz γz γ
he e uation o be omes
γ w tan φ′ γ − γ w tan φ′ γ ′ tann φ′

F = 1− = =
γ tan β γ tan β γ sat tan β
Fig. 13.3 lo net hen o is a allel and at the su a e.

St ability of Slopes 38
ample 13.1 Safe angle of slope
anula soil has a satu ated unit ei ht o 1 .0 m and an e e ti e an le o shea

in esistan e o 0°. slo e is to be made o this mate ial. I the a to o sa ety is to
be 1.2 , dete mine the sa e an le o the slo e i hen the slo e is d y o subme ed
and ii i see a e o u s at and a allel to the su a e o the slo e.
Solut ion:
i When d y o subme ed
tan φ′ 0.5774
F= ⇒ tan β = = 0.462
tan β 1.25
⇒ β = 25°
ii When o o u s at and a allel to the su a e
γ ′ tan φ′ (18 − 9.81)× 0.5774
F= ⇒ tan β = = 0.210
γ sat tan β 1.25 × 18
⇒ β = 12°
See a e mo e than hal es the sa e an le o the slo e in this a ti ula e am le.
13.1.3 Planar translational slip

uite o ten the su a e o an e istin slo e is unde lain by a lane o ea ness lyin a allel to it. his
otential ailu e su a e o ten aused by do nst eam ee unde alte natin inte –summe onditions
ene ally lies at a de th belo the su a e that is small hen om a ed ith the len th o the slo e.
in to the om a ati e len th o the slo e and the de th to the ailu e su a e e an ene ally
assume that the end e e ts a e ne li ible and that the a to o sa ety o the slo e a ainst sli an be
dete mined om the analysis o a ed e o sli e o the mate ial, as o the anula slo e.
onside i . 1 .4. n le o slo e = β, de th to ailu e su a e = , idth o sli e = b, and ei ht o
sli e, W = γ b unit idth.
Fig. 13.4 Plana t anslational sli .

Let the ound ate le e be a allel to the su a e at a onstant hei ht abo e the ailu e lane = n .
hen e ess hyd ostati head at mid oint o base o sli e,
hw = nz cos2 β
i.e.
u = γ wnz cos2 β
Tangential force = W sinβ
i.e.
γ zb sin β
τ= cos β = γ z sin β cos β
b
and
τ f = c′ + (σ − u)tan φ′
γ zb cos2 β
(σ − u) = − u = γ z cos2 β − γ wnz cos2 β
b
and
τf c ′ + (γ z − γ wnz)cos2 β tan φ′
F= =
τ γ z sin β cos β
c′ γ − nγ w tan φ′
= + ×
γ z sin β cos β γ tan β
Note: When ′ = 0 and n = 1.0, e obtain the same e ession as de i ed o a anula slo e
γ ′ tan φ′
F= ×
γ sat tan β
13. otational failures
ailu es in slo es made om soils that ossess both ohesi e and i tional st en th om onents tend to
be otational, the a tual sli su a e a o imatin to the a o a i le i . 1 . .
ontem o a y methods o in esti atin the stability o su h slo es a e based on a assumin a sli
su a e and a ent e about hi h it otates, b studyin the e uilib ium o the o es a tin on this su a e,
Crack
Heave of
material
at toe Slip surface
Fig. 13.5 y i al otational sli in a ohesi e soil.

Stability of Slopes 3 1
Fig. 13.6 E am le o t o ossible sli su a es.
Fig. 13.7 y es o sli ailu es.
and e eatin the o ess until the o st sli su a e is ound as illust ated in i . 1 . . he o st sli
su a e is the su a e hi h yields the lo est a to o sa ety, , he e is the atio o the esto in
moment to the distu bin moment, ea h moment onside ed about the ent e o otation. he methods
o assessin stability usin this moment e uilib ium a oa h a e des ibed in the ne t e se tions.
lte nati ely, i stability assessment is to be e o med in a o dan e ith Eu o ode , the st en th
a amete s o the soil a e st di ided by a tial a to s, and stability is then on med by he in the
E limit state see Se tion 1 . .
e a dless o the a oa h, the iti al sli i le is ound by onside in se e al t ial i les, ea h di
e in by the lo ation o thei ent e, and identi yin the one that etu ns the lo est measu e o sa ety.
his is a hie ed no adays by usin s e i slo e stability so t a e that an e o m e eated analyses
in se onds and a idly nd the lo ation o the ent e o the iti al sli i le.
In the ase o soils ith an les o shea in esistan e that a e not less than °, the iti al sli i le is
in a iably th ou h the toe – as it is o any soil no matte hat its φ′ alue i the an le o slo e e eeds
° i . 1 . a . n e e tion to this ule o u s hen the e is a laye o elati ely sti mate ial at the
base o the slo e, hi h ill ause the i le to be tan ential to this laye i .1 . b.
o ohesi e soils ith little an le o shea in esistan e the sli i le tends to be dee e and usually
e tends in ont o the toe i . 1 . this ty e o i le an o ou se be tan ential to a laye o sti
mate ial belo the emban ment hi h limits the de th to hi h it ould ha e e tended i . 1 . d .
Fig. 13.8 otal st ess analysis.
13. .1 otal st ress analysis

his analysis, also e e ed to as an und ained analysis, is intended to i e the stability o an emban ment
o uttin immediately a te its onst u tion. t this sta e it is assumed that the soil in the slo e has had
no time to d ain i.e. the soil is onside ed to be in an und ained state and the st en th a amete used
in the analysis is the und ained ohesion hi h is ound om eithe the un on ned om ession test o
an und ained t ia ial test ithout o e essu e measu ements.
onside in i . 1 . the se to o soil ut o by a o adius . Let W e ual the ei ht o the se to
and the osition o its ent e o a ity. he shea st en th o the soil is u. he mass o the soil tends
to otate lo ise, but is esisted by the shea st en th a tin alon the ailu e su a e.
a in moments about , the ent e o otation
We = culR = cuRθR = cuR2θ for equilibrium

Restoring moment c R2θ
F= = u
Disturbing moment We
ote the te m θ is the len th o the sli i le th ou h the soil len th o an a o a i le he e θ is

measu ed in adians.
he osition o is not needed, and it is only ne essa y to as e tain he e the line o a tion o W is.
his an be obtained by di idin the se to into a set o e ti al sli es and ta in moments o a ea o
these sli es about a on enient e ti al a is.
13. . ff ect of tension crac s

With a sli in a ohesi e soil the e ill be a tension a at the to o the slo e i . 1 .9 , alon hi h
no shea esistan e an de elo . In the und ained state the de th o the a , h , is i en by the ollo
in o mula see ha te
2cu
hc =
γ
he e e t o the tension a is to sho ten the a to ′. I the a is to be allo ed o , the

an le θ′ must be used instead o θ in the o mula o , and the ull ei ht W o the se to is still used in
o de to om ensate o any ate essu es that may be e e ted i the a lls ith ain ate .
Stabilit y of Slopes 3 3
Fig. 13.9 ension a in a ohesi e soil.
ample 13. actor of safety against sliding
i u e 1 .10 i es details o an emban ment to be made o ohesi e soil ith u = 20 Pa.

he unit ei ht o the soil is 19 m.
o the t ial i le sho n, dete mine the a to o sa ety a ainst slidin soon a te
onst u tion. he ei ht o the slidin se to is 29 a tin at an e ent i ity o
4. m om the ent e o otation. What ould the a to o sa ety be i the shaded
o tion o the emban ment e e emo ed In both ases assume that no tension a
de elo s.
Solut ion:
Disturbing moment = 329 × 4.8 = 1579 kN m
71
Restoring moment = cuR2θ = 20 × 92 × × π = 2007 kN m
180
2007
⇒ F= = 1.27
1579
Fig. 13.10 E am le 1 .2.

Area of portion removed = 1.5 × 3 = 4.5 m2

Weight of portion removed = 4.5 × 19 = 85.5 kN
3 .3 + 1 .5
Eccentricity from O = 3.3 + = 5 .7 m
2
Relief of disturbing moment = 5.7× 85.5 = 488 kN m
2007
⇒ F= = 1.84
1579 − 488
13. .3 he Swedish met hod of slices analysis

mo e a u ate assessment o the a to o sa ety an be ained usin this method also no n as the
ellenius method . In this method the slidin se tion is di ided into a suitable numbe o e ti al sli es,
the stability o one su h sli e bein onside ed in i . 1 .11 the late al ea tions on the t o e ti al sides
o the ed e, L1 and L2, a e assumed to be e ual . y analysin the e uilib ium o ea h sli e and then
addin u the totals o all sli es, e an establish the a to o sa ety o the slo e.
he solution is sol ed a hi ally usin a s ale d a in o , mo e ommonly, analyti ally usin om ute
so t a e. sin a a hi al a oa h, at the base o ea h sli e set o its ei ht to some s ale. a the
di e tion o its no mal om onent, , and by om letin the t ian le o o es dete mine its ma nitude,
to ethe ith the ma nitude o the tan ential om onent . e eat o all sli es.
Total st ress analysis

he a to o sa ety is established by onside in the moment e uilib ium about the ent e o
otation,
istu bin moment = Σ

esto in moment = u θ
en e
cuRθ
F=
∑T
Fig. 13.11 he S edish method o sli es.

Stabilit y of Slopes 3
he same esult an be obtained usin a a t analyti al a oa h. We an see om the t ian le o o es,

that
= W os α
= W sin α
he e α is the an le bet een the no mal, and the e ti al.
om the abo e elationshi , e ha e
cuRθ
F=
∑ W sin α
tension a an be allo ed o in the analysis.
Effective st ress analysis

s time asses a te the onst u tion o an emban ment o uttin , the slo e ill no lon e be in the
und ained state and any slo e stability analysis must be done onside in the d ained st en th a amete s
′ and tan φ′ and the o e essu e, u a tin alon the sli su a e. he a oa h used in the und ained
analysis an be ada ted to o e this ase
a in moments about the ent e o otation,
istu bin moment = Σ

esto in moment = ′ θ + Σ ′ tan φ′
en e
c′ Rθ + ∑ N′ tan φ′ c′ Rθ + ∑ (N − u )tan φ′
F= =
∑T ∑T
he e u = o e essu e at base o sli e.

he e e t o a tension a an a ain be allo ed o , and in this ase
2c ′ φ′
hc = tan 45° +
γ 2
ample 13.3 Swedish method of slices
n emban ment made om lay is to be onst u ted u on the ound su a e as sho n

in i . 1 .12. he om leted emban ment an be assumed to be homo enous and thus
ill ossess onstant density and shea st en th th ou hout its mass. ete mine the
a to o sa ety in the sho t te m und ained state .
Solut ion:
a the slo e to s ale usin so t a e o on a h a e and s lit the slidin
se tion u into a suitable numbe o sli es 4 o is a ty i al amount.
al ulate the ei ht o ea h sli e, and set o this alue as a e ti al line om the
mid oint o the base o the sli e
76
R = 10.7m
6.1m cu = 70 kPa
= 19.3 kN/m3
Fig. 13.12 E am le 1 . .
76
10.7m
4
N
3
2 W
1
T
Fig. 13.13 E am le 1 . .
Slice Area (m2 ) Weig t ( )
1 . = . × 19. = 1
2 . 1
11. 224
4 . 14
om lete the t ian le o o es o ea h sli e and ead the alues o and om

the d a in o al ulate usin t i onomet y
Stability of Slopes 3 7
Slice Area (m2) Weig t ( ) ormal ( ) angent ial ( )
1 . 1 1 −
2 . 1 1 42
11. 224 191 11
4 . 14 104 10
Σ 29 Σ 2
The N values are not actually required in this example as we are assessing stability in
the undrained state but are included to demonstrate how these are established for use
in a drained analysis
cuRθ = 70 × 10.7 × 76 / 180 × π = 993 kN
cuRθ
F=
ΣT
993
=
257
= 3 .9
13. . Pore pressure ratio r u

s mentioned in the e ious se tion, i the lon te m a to o sa ety o a slo e is e ui ed, an analysis
must be a ied out in te ms o e e ti e st ess. Su h an analysis an be used in a t o any inte mediate
alue o o e essu e bet een und ained and d ained.
e o e loo in at the e e ti e st ess methods o analysis, let us onside the dete mination o the o e
essu e atio, u.
he e a e t o main ty es o oblem in onside in o e essu es in a slo e those in hi h the alue
o the o e ate essu e de ends u on the ma nitude o the a lied st esses e. . du in the a id
onst u tion o an emban ment , and those he e the alue o the o e ate essu e de ends u on
eithe the ound ate le el ithin the emban ment o the see a e atte n o ate im ounded by it.
Rapid construction of an embankment

he o e essu e at any oint in a soil mass is i en by the e ession
u = u0 + ∆ u
Whe e
u0 = initial alue o o e essu e be o e any st ess han e

Δ u = han e in o e essu e due to han e in st ess.
om ha te 4
∆ u = B[∆ σ3 + A (∆ σ1 − ∆ σ3 )]
S em ton 19 4 sho ed that the atio o the o e essu e han e to the han e in the total ma o
in i al st ess i es anothe o e essu e oe ient b
∆u ∆ σ3 ∆ σ3
= =B = A 1−
∆ σ1 ∆ σ1 ∆ σ1
he oe ient an be used to dete mine the ma nitude o o e essu es set u at any oint in an
emban ment i it is assumed that no d aina e o u s du in onst u tion a ai ly easonable thesis i the
onst u tion ate is a id . o
u
γu =
γz
i.e.
u0 ∆ σ1
ru = +
γz γz
easonable assum tion to ma e o the alue o the ma o in i al st ess is that it e uals the ei ht
o the mate ial abo e the oint onside ed. en e
u0
∆ σ1 = γ z and ru = +
γz
o soils la ed at o belo o timum moistu e ontent see ha te 14 , u0 is small and an e en be

ne ati e. Its e e t is o little onse uen e and may be i no ed so that the analysis o stability at the end
o onst u tion is o ten dete mined om the elationshi ru = .
he o e essu e oe ient is dete mined om a s e ial st ess ath test no n as a dissi ation
test. ie y, a sam le o the soil is inse ted in a t ia ial ell and sub e ted to in eases in the in i al
st esses Δ σ1 and Δ σ o ma nitudes a o imatin to those e e ted in the eld. he esultin oe
essu e is measu ed and obtained.
Steady seepage
It is easy to dete mine u om a study o the o net i . 1 .14 . he o edu e is to t a e the e ui o
tential th ou h the oint onside ed u to the to o the o net, so that the hei ht to hi h ate ould
ise in a stand i e inse ted at the oint is h . Sin e u = γ h
Upper flow line hw
Fig. 13.14 ete mination o e ess head at a oint on a o net.

Fig. 13.15 st eam dam a e sub e ted to sudden d a do n a te isho , 19 4 .
hw γ w
ru =
γz
Rapid drawdown
In the ase o la oons, a sudden d a do n in the le el o the slu y is unli ely, but the oblem is im o
tant in the ase o a no mal ea th dam. isho 19 4 onside ed the ase o the u st eam a e o a dam
sub e ted to this e e t, the slo e ha in a o ll ote tion as sho n in i . 1 .1 . sim li ed e es
sion o u unde these onditions is obtained by the ollo in al ulation
u = u0 + ∆ u
and
u0 = γ w (hw + hr + hc − h′ )
I it is assumed that the ma o in i al st ess e uals the ei ht o mate ial, then the initial total ma o
in i al st ess is i en by the e ession
σ10 = γ chc + γ rhr + γ whw
he e γ and γ a e the satu ated unit ei hts o the lay and the o . he nal total ma o in i al
st ess, a te d a do n, ill be
σ1 = γ chc + γ drhr
he e γd e uals the d ained unit ei ht o the o ll.
Change in major principal stress = σ1 − σ10

= hr (γ dr − γ r ) − γ whw
i.e.
∆ σ1 = − γ wnhr − γ whw
Note: Po osity o o ll, n = o, hen e onside unit olume, n = . en e γd − γ = − γ n.
⇒ ∆ u = − (γ wnhr + γ whw )
he o e essu e oe ient an be obtained om a labo ato y test but standa d a ti e is to assume,

onse ati ely, that = 1.0. In this ase
∆ u = − γ w (nhr + hw )
and the e ession o u be omes
u = γ w [hc + hr (1− n) − h′ ]
he measu ement o in situ o e ate essu es is des ibed in Se tion . .
13. . ff ect i e st ress analysis by ishop’s met hod

Bishop’s convent ional m ethod
he e e ti e st ess methods o analysis no in ene al use e e e ol ed by isho 19 . i u e 1 .1
illust ates a i ula ailu e a , , and sho s the o es on a e ti al sli e th ou h the slidin se ment.
Let Ln and Ln+ 1 e ual the late al ea tions a tin on se tions n and n + 1 es e ti ely. he di e en e
bet een Ln and Ln+ 1 is small and the e e t o these o es an be i no ed ith little loss in a u a y.
Let the othe o es a tin on the sli e be
W = ei ht o sli e
P = total no mal o e a tin on base o sli e
= shea o e a tin on base o sli e
and the othe notation is
= hei ht o sli e
b = b eadth o sli e
Fig. 13.16 E e ti e st ess analysis o es a tin on a e ti al side.

Stabilit y of Slopes 1
l = len th o ta en as st ai ht line
α = an le o bet een P and the e ti al
= ho i ontal distan e om ent e o sli e to ent e o otation, .
In te ms o e e ti e st ess, the shea st en th mobilised is
c′ + (σn − u)tan φ′
τ=
F
otal no mal st ess on base o sli e
P
σn =
l
i.e.
1 P
τ= c′ + − u tan φ′
F I
Shea o e a tin on base o sli e, = τl

o e uilib ium, istu bin moment = esto in moment
i.e.
∑ Wx = ∑ TR = ∑ τ lR
R
= ∑ [c′ l + (P − ul)tan φ′ ]
F
R
⇒ F= ∑ [c′ l + (P − ul)tan φ′ ]
∑ Wx
I e i no e the e e ts o Ln and Ln+ 1 the only e ti al o e a tin on the sli e is W. en e
P = W cosα
R
⇒ F= ∑ [c′ l + (W cosα − ul)tan φ′ ]
∑ Wx
Puttin = sin α
1
F= ∑ [c′ l + (W cosα − ul)tan φ′ ]
∑ W sin α
I ee ess u in te ms o the o e essu e atio, u
W
u = ruγ z = ru
b
ru W rW
b = l cosα ⇒ u= = u sec α
l cosα l
1
⇒ F= ∑ [c′ l + W (cosα − ru sec α )tan φ′ ]
∑ W sin α
his o mula i es a solution ene ally no n as the on entional method hi h allo s a id dete mina
tion o hen su ient sli i les a e a ailable to e mit the dete mination o the most iti al. o
analysin the stability o an e istin ti it should o e e e tly ade uate.
Bishop’s routine, or rigorous, m ethod

he o mula o the on entional method o analysis an i e e o s o u to 1 in the alue o obtained,
althou h the e o is on the sa e side sin e it i es a lo e alue than is the ase. In the onst u tion o
ne emban ments and ea th dams, ho e e , this e o an lead to unne essa ily hi h osts, and it
be omes a ti ula ly onoun ed ith a dee sli i le he e the a iations o α o e the sli len th
a e la e.
etu nin to the e uation
R
F= ∑ [c′ l + (P − ul)tan φ′ ]
∑ Wx
Let the no mal e e ti e o e, P − ul = P′.
esol in o es e ti ally
W = P cosα + T sin α
P = P′ + ul
and
1
T= (c′ l + P′ tan φ′ ]
F
P′ tan φ′ c′ l
W = ul cosα + P′ cosα + sin α + sin α
F F
c′ l sin α tan φ′
= ul cosα + + P′ co sα + sin α
F F
c′ t an φ′
= l u cosα + sin α + P′ cosα + sin α
F F
c′
W − l u cosα + sin α
F
⇒ P′ =
tan φ′ sin α
cosα +
F
Substitutin P′ o P − ul in the o i inal e uation
R
F=
∑ Wx ∑ [c′l + (P− ul)tanφ′]
c′ l
W − ul cosα − sin α tan φ′
R F
F=
∑ Wx ∑ c′ l +
tan φ′ sin α
cosα +
F
Fig. 13.17 E am le s eadsheet tem late o slo e stability al ulation.
and substitutin
ub u
x = Rsin α , b = l cosα and = = ru
W γz
1 sec α
F=
∑ W sin α ∑ (c′ b + W (1− ru )tan φ′ )
tan φ′ tan α
1+
F
When o in by hand, the nal analysis o o es a tin on a e ti al sli e is best a ied out by tabu
latin the al ulations. o e e , in most desi n o es, slo e stability oblems a e no om ute ised
i . 1 .1 .
ample 13. ishop’s con entional and routine methods
he oss se tion o an ea th dam sittin on an im e meable base is sho n in i . 1 .1 .

he stability o the do nst eam slo e is to be in esti ated usin the sli i le sho n
and i en the ollo in in o mation
γsat = 19.2 m
′ = 12 Pa
φ′ = 20°
= 9.1 m
n le subtended by a o sli i le, θ = 9°
o this i le, dete mine the a to o sa ety a ith the on entional method and
b ith the i o ous method.
Fig. 13.18 E am le 1 .4.
Fig. 13.19 Wo in dia am o E am le 1 .4.
Solut ion:
he ea th dam is d a n to s ale by o on a h a e . he st ste in the analysis
is to di ide the slidin se to into a suitable numbe o sli es and dete mine the o e
essu e atio at the mid oint o the base o ea h sli e.
he h eati su a e must be d a n, usin the method o asa ande. ou h o m
o the o net must then be established, so that the e ui otentials th ou h the ent e
oints o ea h sli e an be inse ted. i e sli es is a no mal numbe i . 1 .19 .
he dete mination o the u alues is e ui ed o both methods and ill be onside ed st.
Slice no. (m) u( a) (m) ru
1 0. 4 .42 0.9 0. 2
2 1.9 19.21 2.44 0.41
2.440 2 .90 . 2 0.
4 2.020 19. 2 . 0 0.29
0.24 2.41 1. 4 0.0 2
St ability of Slopes
α) × tan φ′
φ
cos α − ru sec α
W(cos α – ru sec α
α)
hw (m)
W (kN)
W(sin α
b (m)
cos α
sec α
z (m)
Slice
sin α
α (°)
ru
1 5 2 35 42 –1 5 1 15 54 352 5 15 4 – 1 4 – 4
2 2 44 2 35 11 1 4 1 2 1 5 41 5 23 5
3 3 32 2 35 14 2 4 1 4 2 44 3 54 2 4 342 51 2
4 35 2 35 15 35 1 1 221 2 2 2 5 45 2 4 5 4
5 1 4 2 35 5 5 545 1 3 24 2 412 11 3 5
∑1 5 ∑2
(a) Conventional metho
(1) (2) (3) (4) (5) (6)

φ′
W(1 – ru) × tan φ
(2) + (3) sec α

W sin α
W (kN)
tan φ
φ′ tan α (4) × (5)
sec α
b (m)
z (m)
tan α
Slice
sin α
α (°)
1+
c′b
F = 1.5 F = 1.43 F = 1.5 F = 1.43

1 0.95 2.35 42.9 –10 –0.17 –7.4 22.6 10.1 38.3 1.015 –0.18 1.061 1.063 40.6 40.7
2 2.44 2.35 110.1 4 0.07 7.7 22.6 23.6 51.8 1.002 0.07 0.986 0.985 51.1 51.1
3 3.32 2.35 149.8 20 0.34 51.2 22.6 34.1 62.2 1.064 0.36 0.978 0.974 60.9 60.6
4 3.50 2.35 157.9 35 0.57 90.6 22.6 40.5 68.7 1.221 0.70 1.043 1.036 71.7 71.2
5 1.74 2.35 78.5 57 0.84 65.8 22.6 26.5 54.7 1.836 1.54 1.337 1.319 73.1 72.2
∑207.9 ∑ 297.5 295.8
(b) i orous metho
Fig. 13.20 E am le 1 .4.
he al ulations o the on entional method a e set out in i . 1 .20a

θ = 89°
π
⇒ c′ l = c′ Rθ = 12 × 9.15 × × 89 = 170.6 kN
180
106.5 + 170.6
F= = 1.33
207.9
he i o ous method al ulations a e set out in i . 1 .20b. With the st
a o imation
297.5
F= = 1.43
207.9
his alue as obtained by assumin a alue o o 1. in the e ession
sec α
tan φ′ tan α
1+
F
o olumn .
olumns and a e no e al ulated usin = 1.4 and a e ised alue o is
obtained
295.8
F= = 1.42
207.9
his is a o imately e ual to the assumed alue o 1.4 and is ta en as o e t. hus
the a to o sa ety o the slo e is 1.42.
ad the assumed and de i ed alues o not been a o imately e ual, the ite ati e
o edu e ould ha e been e eated on e a ain to nd an im o ed alue o , as an
be demonst ated th ou h the Example xls s eadsheet.
ample 13. ishop’s routine method
i u e 1 .21 i es details o the oss se tion o an emban ment. he soil has the ol
lo in o e ties φ′ = °, ′ = 10 Pa, γ = 1 m.
o the sli i le sho n, dete mine the a to o sa ety o the ollo in alues o u
0.2, 0.4 and 0. .
Plot the a iation o ith u.
Solut ion:
he al ulations e e based on the i o ous method and a e sho n in i . 1 .22 and
i . 1 .2 .
Fig. 13.21 E am le 1 . a .
Stability of Slopes 7
ru = 0.2
(1) (2) (3) (4) (5) (6)
φ′
sec α
(2) + (3)
W sin α
W (kN)
φ′ tan α
tan φ (4) × (5)
b (m)
sec α
z (m)
tan α
Slice
α (°)
sin α
1+
c′b
= 1.5 = 1.47 = 1.5 = 1.47
1 1.00 3.15 50.4 7 0.113 5.7 31.5 28.2 5 .7 1.006 0.114 0. 56 0. 55 57.1 57.0
2 3.08 3.15 155.2 20 0.334 51.8 31.5 87.0 118.5 1.061 0.354 0. 10 0. 08 107.8 107.5
3 4.00 3.15 201.6 34 0.55 112.7 31.5 112. 144.4 1.206 0.675 0. 17 0. 13 132.5 131.8
4 2.70 3.15 136.1 52 0.783 106.5 31.5 76.2 107.7 1.606 1.257 1.012 1.004 10 .1 108.2
∑276.8 ∑406.5 404.6
406.5 404.6
= =1.47 = =1.46
276.8 276.8
ru = 0.4 ru = 0.6
(3) (4) (5) (6) (3) (4) (5) (6)

φ′
φ′

sec α sec α
(2) + (3)
(2) + (3)
tan φ
φ′ tan α (4) × (5) tan φ
φ′ tan α (4) × (5)
1+ 1+
= 1.3 = 1.17 = 1.3 = 1.17 = 1.0 = 0.86 = 1.0 = 0.86

21.2 52.7 0. 48 0. 42 4 . 4 .6 14.1 45.6 0. 32 0. 21 42.5 42.0
65.2 6.7 0.8 1 0.875 86.2 84.7 43.5 75.0 0.850 0.823 63.7 61.7
84.7 116.2 0.885 0.85 102.8 . 56.5 88.0 0.81 0.778 72.1 68.5
57.2 88.7 0. 58 0. 17 84. 81.3 38.1 6 .6 0.854 0.7 3 5 .5 55.2
∑323. 315.4 ∑237.8 227.4
323. 315.4 237.8 227.4
= =1.17 = =1.14 = =0.86 = =0.82
276.8 276.8 276.8 276.8
Fig. 13.22 E am le 1 . .
Fig. 13.23 E am le 1 . .

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Smit h’s

Elements of Soil Mechanics

About the Author ix

1 Classi cat ion and Physical Propert ies of Soils 1

2 Permeabilit y and Flow of Wat er in Soils 33

3 Tot al and Effect ive St ress

Shear St ren t h of Soils 1

Sit e nvest i at ion 1

at eral Eart h Press re 1 3

et ainin St r ct res 221

earin Capacit y and Shallow Fo ndat ions 2

1 Pile Fo ndat ions 2

11 Fo ndat ion Set t lement and Soil Compression 31

12 at e of Fo ndat ion Set t lement 3

1 Compact ion and Soil echanics spect s of i hway esi n 32

A Area, pore pressure coef cient

a Area, intercept of calibration line with w axis

u net et ultimate bearing capacity

α Angle, pile adhesion factor

δ round–structure interface friction angle

1.1 Agricultural and engineering soil

Smith’s Elements of Soil Mechanics, 9t h Edition. Ian Smith.

Fig. 1.1 ate ials en ounte ed du in e a ation.

1.2 Engineering de nitions

Transported soil (gravels, sands, silts and clays)

esidual soil (topsoil, laterites)

● ibrous on lasti ith a m st u tu e only sli htly alte ed by de ay.

1.2. ranular and cohesi e soils

It is ene ally belie ed that o a ments an be edu ed by me hani al means to a limitin si e o

1. .1 Classes of clay minerals

1. .2 Struct ure of a clay deposit

1. ield identi cation of soils

Fine sand Silt Clay

Indi idual a ti les isible Some a ti les isible o a ti les isible

ommon t ypes o soil

1. a oratory classi cation of soils

1. .2 eterm inat ion of at er content

Weight of water Ww Mass of water M w

is usually e essed as a e enta e and should be uoted to t o si ni ant u es.

E ample 1.1 ater content determination

sam le o soil as la ed in a ate ontent tin o mass 19. 2 . he ombined mass

1. . ranular soils – particle si e dist ri ut ion

The e ective si e o a distribution,

Grading o a dist ribut ion

The uni ormity coe cient u

I u < 4.0 then the soil is uni o mly aded.

E ample 1.2 Particle si e distri ution

he esults o a sie e analysis on a soil sam le ee

Sieve size (mm) Mass ret ained (g)

2. assed th ou h the μm sie e.

he a ti le si e dist ibution u e is sho n in i . 1.2. he soil has a o imate o o

Fig. 1.2 E am le 1.2.

1. . Cohesi e soils – consistency limit or inde tests

i uid limit (w ) and plast ic lim it (w )

Fig. 1. Shea st ess de o mation elationshi s at di e ent ate ontents.

last icit y inde (I )

Plasticity index = Liquid limit − Plastic limit

he shea in st en th to de o mation elationshi ithin the lasti ity an e is illust ated in i . 1. b.

Fig. 1. han es in total olume a ainst ate ontent.

et ermination o li uid and plastic limits

1 one penetrometer method de nitive method

Fig. 1. Li uid limit a a atus.

2 ne point cone penetrometer method