CHAPTER 1 – Foundation Analysis and Design – Fifth Edition - Joseph Bowles

INTRODUCTION

1-1 FOUNDATIONS: THEIR IMPORTANCE AND PURPOSE

All engineered construction resting on the earth must be carried by some kind of interfacing element called
foundation (this is also sometimes called the substructure). The foundation is the part of an engineered system that
transmits to, and into, the underlying soil or rock the loads supported by the foundation and its self-weight. The
resulting soil stresses - except at the ground surface - are in addition to those presently existing in the earth mass
from its self-weight and geological history.

The term superstructure is commonly used to describe the engineered part of the system bringing load to the
foundation, or substructure. The term superstructure has particular significance for building and bridges. However,
foundation may carry only machinery, support industrial equipment, act as sign bases, and the like. For these
reasons it is better to describe a foundation as that part of the engineered system that interfaces the load-carrying
components to the ground.

It is evident on the basis of this definition that a foundation is the most important part of engineering system.

1-2 FOUNDATION ENGINEERING

The title "foundation engineer" is given to that person who by reason of training and experience is sufficiently
versed in scientific principles and engineering judgment (often termed "art") to design a foundation. We might say
engineering judgment is the creative part of this design process.

The necessary scientific principles are acquired through formal education courses in geotechnical and structural
engineering (soil mechanics, geology, foundation engineering, analysis, design in reinforced concrete and steel,
etc.), and continued self-study via short courses, professional conferences, journal reading, and the like.

Because of the heterogeneous nature of soil and rock masses, two foundations - even on adjacent construction
sites - will seldom be the same except by coincidence. Since every foundation represent at least partly a venture
into the unknown, it is of great value to have access to others' solutions obtained from conference presentations,
journal papers, and text-book condensations of appropriate literature. The amalgamation of experience, study of
what others have done in somewhat similar situations, and the site-specific geotechnical information to produce an
economical, practical, and safe substructure design is application of engineering judgment.

The following steps are the minimum required for design a foundation.

1. Locate the site and the position of load. A rough estimate of the foundation loads is usually provided by the client
or made in-house. Depending on the site or load system complexity, a literature survey may be started to see how
others have approached similar problems.

2. Physically inspect the site for any geological or other evidence that may indicate a potential design problem that
will have to be taken into account when making design or giving a design recommendation. Supplement this
inspection with any previously obtained soil data.

3. Establish the field exploration program and, on the basis of discovery (or what is found in the initial phase), set
up the necessary supplemental field testing and any laboratory test program.
4. Determine the necessary soil design parameters based on integration of test data, scientific principles, and
engineering judgment. Simple or complex computer analysis may be involved. For complex problems, compare the
recommended data with published literature or engage another geotechnical consultant to give an outside
perspective to be results.

5. Design on the foundation using the soil parameters from step 4. The foundation should be economical and be
able to be built by the available construction personnel. Take into account practical construction tolerances and
local construction practices. Interact closely with all concerned (client, engineers, architect, contractor) so that the
substructure system is not excessively overdesigned and risk is kept within acceptable levels. A computer may be
used extensively (or not all) in this step.

The foundation engineer should be experienced in the have participation in all five of the preceding steps. In
practice this often is not the case. An independent geotechnical firm specializing in soil exploration, soil testing,
design of landfills, embankments, water pollution control, etc, often assigns one of its geotechnical engineer to do
steps 1 through 4. The output of step 4 is given to the client - often a foundation engineer who specializes in the
design of the structural elements making up the the substructure system. The principal deficiency in this approach
is the tendency to treat the design soil parameters - obtained from soil tests of variable quality, heavily
supplemented with engineering judgment - as precise numbers whose magnitude is totally inviolable. Thus, the
foundation engineer and geotechnical consultant must work closely together, or at least have frequent conferences
as the design progress. It should be evident that both parties need to appreciate the problems of each other and,
particularly, that the foundation design engineer must be aware of the approximate methods used to obtain the soil
parameters being used. This understanding can be obtained by each having training in the other's specialty.

To this end, the primary focus of this text will be on analysis and design of the interfacing elements for buildings,
machines, and retaining structures and on those soil mechanics principles used to obtain the necessary soil
parameters required to accomplish the design. Specific foundation elements to be considered include shallow
elements such as footings and mats and deep elements such a piles and drilled piers. Retaining structures will also
be considered in later chapters.

Geotechnical considerations will primarily be on strength and deformation and those soil-water phenomena that
affect strength and deformation. With the current trend to using sites with marginal soil parameters for major
projects, methods to improve the strength and deformation characteristics through soil improvement methods will
be briefly considered in Chap. 6.

1-3 FOUNDATIONS: CLASSIFICATIONS AND SELECT DEFINITIONS

Foundations may be classified based on where the load is carried by the ground, producing:

- Shallow foundations – termed bases, footings, spread footings, or mat. The depth is generally D/B ≤ 1 but may be
somewhat more. Refer to Fig. 1-1a.

1
- Deep foundations – piles, drilled piers, or drilled caissons. Lp/B ≥ 4+ with a pile illustrated in Fig. 1-1b.
Figure 1-1 illustrates general cases of the three basic foundation types considered in this text and provides some
definitions commonly used in this type of work. Because all the definitions and symbols shown will be used
throughout the text, the reader should give this figure careful study.

The superstructure brings loads to the soil interface using column-type members. The load carrying columns are
+ +
usually of steel or concrete with allowable design compressive stresses on the order of 140 MPa (steel) to 10
MPa (concrete) and therefore are of relatively small cross-section area. The supporting capacity of the soil, from
either strength or deformation considerations, is seldom over 1000 kPa but more often on the order of 200 to 250
kPa. This means the foundation is interfacing two materials with a strength ratio on the order several hundred. As a
consequence the loads must be “spread” to the soil in a manner such that its limiting strength is not exceeded and
resulting deformations are tolerable. Shallow foundations accomplish this by spreading the loads laterally, hence
the term spread footing. Where a spread footing (or simply footing) supports a single column, a mat is a special
footing used to support several randomly spaced columns or to support several rows of parallel columns and may
underlie a portion of or the entire building. The mat may also be supported, in turn, by piles or drilled piers.
Foundations supporting machinery and such are sometimes termed bases. Machinery and the like can produce a
substantial load intensity over a small area, so the base is used as a load-spreading device similar to the footing.

Deep foundations are analogous to spread footings but distribute the load vertically rather than horizontally. A
qualitative load distribution over depth for a pile is shown in Fig. 1-1b. The terms drilled pier and drilled caisson are
+
for the pile type member that is constructed by drilling a 0.76 -m diameter hole in the soil, adding reinforcing as
necessary, and backfilling the cavity with concrete. Design and construction of piles and caissons will be
considered in more detail in Chaps. 16-19.
A major consideration for both spread footings (and mats) and piles is the distribution of stresses in the stress
influence zone beneath the foundation [footing or pile tip (or point)]. The theoretical distribution of vertical stress
beneath a square footing on the ground surface is shown in Fig. 1-1a. It is evident that below a critical depth of
about 5B the soil has a negligible increase in stress (about 0.02q 0) from the footing load. This influence depth
depends on B, however. For example, if B = 0.3 m, the critical stress zone is 5 X 0.3 = 1.5 m, and if B = 3 m, the
zone is 15 m for a zonal influence depth ratio of 1 : 10. Because these B values are in a possible range beneath a
large building, any poor soils below a depth of 2 m would have a considerable influence on the design of the wider
footings.

1
The drilled pier is constructed by drilling a cylindrical hole of the required depth and subsequently filling it with
concrete. The shaft may be straight or the base may be enlarged by underreaming.

Any structure used to retain soil or other material (see Fig. 1-1c) in a geometric shape other than that naturally
occurring under the influence of gravity is a retaining structure. Retaining structures may be constructed of a large
numbers of materials including geotextiles, wood and metal sheeting, plain or reinforced concrete, reinforced earth,
precast concrete elements, closely spaced pilings, interlocking wood or metal elements (crib walls), and so on.
Sometimes retaining structure is permanent and in other cases it is removed when it is no longer needed.

The foundations selected for study in this text are so numerous that their specialized study is appropriate. Every
building in existence rests on a foundation whether formally designed or not. Every basement wall in any building is
a retaining structure, whether formally designed or not. Major buildings in areas underlain with thick cohesive soil
deposits nearly always use piles or drilled caissons to carry the loads vertically to more competent strata, primarily
to control settlements. Note that nearly every major city is underlain by clay or has zones where clay is present and
requires piles or caissons. Numerous bridges have retaining structures at the abutments and spread footings
carrying the intermediate spans. Usually the abutment end reactions are carried into the ground by piles. Harbor
and offshore structures (used primarily for oil production) use piles extensively and for both vertical and lateral
loads.

1-3.1 Other Foundations

Many others types of “foundations” that the geotechnical /foundation engineer may encounter are not readily
classified. These may include reinforcing the foundation of an existing building if it has undergone excessive
settlement or so it can carry additional load if additional height is added. They may involve removing existing
foundation at a lower depth. They may involve routing a tunnel (subway or utility) beneath an existing structure or
for some type of vibration control. In some of these cases no new foundations is designed. Rather, the engineer
must determine the magnitude of any potential adverse effect on the existing structure. If the adverse effect is
intolerable, the engineer may need to devise a remedial design.

These several types of “foundations” are so diverse – and so often one of a kind – that their study is not suitable for
a general foundations engineering textbook. These types of design require a geotechnical engineer with a solid
base in geotechnical fundamentals (generally with an advanced degree), some experience, a willingness to venture
into the unknown, and a willingness to draw on the experience of others through membership in the appropriate
technical societies.
CHAPTER 3 – Foundation Analysis and Design – Fifth Edition - Joseph Bowles

EXPLORATION, SAMPLING, AND IN SITU SOIL MEASUREMENTS

3-1 DATA REQUIRED

Investigation of the underground conditions at a site is prerequisite to the economical design of the substructure
elements. It is also necessary to obtain sufficient information for feasibility and economic studies for a proposed
project. Public buildind officials may require soil data together with the recomendations of the geotechnical
consultant prior to issuing a building permit, particularly if there is a chance that the project will endanger the public
health or safety or degrade the environment.

To eliminate site exploration, which usually ranges from about 0.5 to 1.0 percent of total construction costs, only to
find after construction has started that the foundation must be redesigned, is certainly false economy. This fact is
generally recognized, and it is doubtful that any major structures are currently designed without site exploration
being undertaken. Small structures are sometimes designed without site exploration. However, the practice is not
recommended. The condition of the adjacent structures is an indication, but certainly no guarantee, that a site is
satisfactory.

Suitable building sites in urban areas are becoming difficult to find, and often sites targeted for urban renewal are
used. These sites can be quite hazardous from demolition of previously existing structures and backfilling of former
basements during landscaping. Often this type of backfill is done with little supervision or quality control, so there
can be significant soil variation at these sites within a few meters in any direction.

The elements of a site investigation depend heavily on the project but generally should provide the following:

1. Information to determine the type of foundation required, shallow or deep.

2. Information to allow the geotechnical consultant to make a recommendation on the allowable load capacity of the
foundation.

3. Sufficient data/laboratory tests to make settlement predictions.

4. Location of the groundwater table or determination of whether it is in the construction zone. For certain projects,
groundwater table fluctuations may be required. This can required installation of piezometers and monitoring of the
water level in them over a period of time.

5. Information so that the identification and solution of construction problems, sheeting and dewatering or rock
escavation, can be made.

6. Identification of potential problems, settlements, existing damage...etc, concerning adjacent property.

7. Identification of environmental problems and their solution.

An exploration program may be initiated on an existing structure where additions are contemplated. The current
safety of an existing structure may require investigation if excessive settlements or cracks have occurred. The
required remedial measures may be undertaken based on new-found information or on the damage evidence and
a reinterpretation of the original data.
Part of the geotechnical program may include on-site monitoring, both during and after construction, to make
certain that recommendations are being followed. Where escavation reveals conditions requiring design changes,
monitoring of progress will ensure that change orders are initiated early enough to keep costs to a minimum.
Postconstruction monitoring of building performance is particularly desirable from the geotechnical consultant’s
view, since this allows for a review of the design procedures and builds a database for future work. Unfortunately,
few owners are willing to make this investment or even allow property entry should the foundation consultant be
willing to underwrite the cost.

Although the primary focus of this chapter is on site exploration for building and other structures where the cost per
unit area is high (compact site), many of the methods are applicable to roads; airfields; water, sewer, pipe and
power lines; and other extended sites. Extended site exploration is useful to establish line and grade, locate
groundwater level and rock line, delineate zones of poor-quality soil, and establish borrow pits.

3-2 METHODS OF EXPLORATION

The most widely used method of subsurface investigation for compact sites as well as for most extended sites is
boring holes into the ground, from which samples may be collected for either visual inspection or laboratory testing.
Several procedures are commonly used to drill the holes and to obtain the soil samples.

Generally we may categorize the site exploration as in Table 3.1, where disturbed or undisturbed samples are
collected.

Table 3.2 lists the wide variety of in situ tests currently available.
3-3 PLANNING THE EXPLORATION PROGRAM

The purpose of the exploration program is to determine the stratification and engineering properties of the soils
underlying the site. The principal properties of interest will be the strength, deformation, and hydraulic
characteristics. The program should be planned so that the maximum amount of information can be obtained at
minimum cost.
It may be more economical to provide a conservative foundation design than to expend large sums on na elaborate
exploration and testing program. On the other hand, sufficient exploration should be undertaken so that the
geotechnical consult is not in the position of making na expensive recommendation to protect against uncertainties
that could have been detected by a reasonable program. It should be understood that na overly conservative
recommendation made by the consultant for the solo purpose of self-protection after na adequate exploration has
been undertaken is not ethical.
If the soil is highly erratic, there should only be sufficient boring to establish a general picture of the underground
conditions. An extensive boring and laboratory testing program is not justified in erratic soils, and the final design
should be conservatively based on the properties of the poorer soils. Again, a question of ethics is involved if an
excessive number of boring are taken under these circumstances, unless specifically requested by the client.

The actual planning of a subsurface exploration program includes some or all of the following steps:

1. Assembly of all available information on dimensions, column spacing, type and use of the structure, basement
requirements, any special architectural considerations of the proposed building, and tentative location on the
proposed site. Foundation regulations on the local building code should be consulted for any special requirements.

2. Reconnaissance of the area. This may be in the form of a field trip to the site, which can reveal information on
the type on behaviour of adjacent structures such as cracks, noticeable sags, and possibly sticking doors and
windows. The type of local existing structures may influence to a considerable extent the exploration program and
the best type of foundation for the proposed adjacent structure. Since nearby existing structures must be
maintained in their “as is” condition, excavations or constructions vibrations will have to be carefully controlled, and
this can have considerable influence on the “type” of foundations that can be used.

Erosion in existing cuts, or ditches, may also be observed, but this information may be of limited use in the
foundation analisys of buildings. Rock outcrops may give an indication of the presence or the depth of bedrock.

The reconnaissance may also be in the form of a study of the various sources of information available, some of
which include the following:

Geological maps, aerial photographs, water and/or oil well logs, hydrological data, soil manuals by state
departments of transportation and state or local university publications.

3. A preliminary site investigation. In this phase a few borings (one to about four) are made or a test pit is opened
to establish in a general manner the stratification types of soil to be expected, and possibly the location of the
groundwater table. If the initial borings indicate that the upper soil is loose or highly compressible, one or more
borings should be taken to rock or competent strata. This amount of exploration is usually the extent of the site
investigation for small structures.

A feasibility exploration program should include enough site data and sample recovery to establish an approximate
foundation design and identify the construction procedures. Certain construction procedures (sheeting, bracing,
tiebacks, slurry walls, rock escavation, dewatering, etc.) can represent a very significant part of the foundation cost
and should be identified as early as practical.

It is common in this stage to limit the recovery of good-quality samples to only three or four for laboratory testing.
These tests, together with strength and settlement correlations using index properties such as limit liquid, plasticity
index, and penetration test data as well as unconfined compression tests on disturbed samples recovered during
penetration testing, are usually adequate for determining if the site is suitable.

4. A detailed site investigation. Where the preliminary site investigation has established the feasibility and overall
project economics, a more detailed exploration program is undertaken. The preliminary borings and data are used
as a basis for locating additional borings, which should be confirmatory in nature, and determining the additional
samples required.
Note that if the soil is relatively uniformly stratified, a rather orderly spacing of borings at locations close to critical
superstructure elements should be made.

Sufficient additional soil samples should be recovered to refine the design and for any unusual construction
procedure required by the contractor to install the foundation. These samples allow the foundation engineer and
contractor to avoid an excessive (uncertainty factor) bid for the foundation work, cost overruns, and/or damage to
adjacent property owners from unanticipated soil conditions discovered when the escavation is opened.

In the detailed program phase it is generally considered good practice to extend at least one boring to competent
rock if the overlying soil is soft to medium stiff. This is particularly true if the structure is multiple-storied or requires
settlement control.