Basic Geotechnical Engineering PDF

Basic Geotechnical Engineering
Course No: G07-003

Credit: 7 PDH
Richard P. Weber, PE
Continuing Education and Development, Inc.

9 Greyridge Farm Court
Stony Point, NY 10980
P: (877) 322-5800
F: (877) 322-4774
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BASIC GEOTECHNICAL ENGINEERING
For
NON-GEOTECHNICAL ENGINEERS
By
Richard P. Weber
Buildings and Bridges and Retaining Walls

TABLE OF CONTENTS
1.0 INTRODUCTION
2.0 EXPLORATIONS
3.0 SOIL PROPERTIES
4.0 BEARING CAPACITY OF SHALLOW FOOTINGS
5.0 SETTLEMENT OF SHALLOW FOOTINGS
6.0 LATERAL EARTH PRESSURE
7.0 RETAINING WALLS
8.0 DEEP FOUNDATIONS
9.0 DRILLED SHAFTS
10.0 COMPACTED FILL
11.0 ARRIVING AT ACCEPTABLE SOLUTIONS
12.0 MEANS AND METHODS
APPENDIX A REFERENCES
APPENDIX B DISCLAIMER
Basic Geotechnical Engineering for Non-Geotechnical Engineers

Copyright 2010 Richard P. Weber
Page 2
1.0 INTRODUCTION
Geotechnical engineering is an interesting subject. Unlike many engineering disciplines,
it is not a pure science but rather it is an art form that requires both judgment and
experience to arrive at a satisfactory solution. Unlike steel or concrete for instance, soil
is quite different. Geotechnical engineers can arrive at different but equally satisfactory
design values even when given the same set of information. Acceptable solutions are
dependent upon many soil variables, methods used to predict the results and the
practitioners experience.
The purpose of this text is to acquaint primarily the non-geotechnical engineer with basic
information related to geotechnical engineering in order to enhance his or her
understanding of the subject. The topics discussed herein have been simplified and do
not provide an exhaustive review of the subject matter. The information has been drawn
from reference sources as well as from the authors experience. This publication is
subject to the Disclaimers stated in Appendix B.
Topics have been selected for a wide-range audience and all topics have not been
included. Searching the internet will reveal much additional information. The interested
reader can also consult one of the many textbooks and other publications related to
geotechnical engineering for more information on the topics discussed herein as well as
those that have not been discussed.
Photograph 1.1 - Foundations for a Medieval Era Cathedral

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2.0 EXPLORATIONS
2.1 Introduction
Civil engineering projects such as buildings, bridges, earthen dams, and roadways require
detailed subsurface information as part of the design process. The ground below us
ultimately supports all structures and to be successful, the ground must not fail under the
applied structural load.
The geotechnical engineers task is to explore the subsurface conditions at a project site,
determine the capacity of the soil to carry the load without collapsing or experiencing
intolerable movement and to recommend appropriate foundation alternatives. The task
might also expand to provide recommendations in other related areas such as
groundwater and earthwork. The scope of the soil exploration program including the
number of explorations, equipment and testing is usually determined by a registered
design professional such as geotechnical engineer.
The geotechnical engineer uses explorations to obtain samples of the soil for
classification and testing purposes. Common types of exploration methods include.
Soil test borings with standard penetration testing.
Cone penetrometer soundings with cone penetration testing.
Test pit excavations.
More discussion on these topics is provided in Sections 2.3 to 2.5.
Testing can be conducted in the laboratory with special samples retrieved for testing
purposes. These tests might include methods for measuring the soils shear strength,
compressibility or permeability.
The explorations also include in-situ testing. These tests include methods such as the
Standard Penetration Test (SPT) or the Cone Penetration Test (CPT) which are taken in
soil test borings and cone penetrometer soundings respectively. The information
obtained from these tests is used in the process of developing foundation design
recommendations.
There is a wealth of published information correlating the test results obtained from the
SPT or CPT to certain applicable engineering properties and soil values. The results of
field testing and laboratory testing, coupled with the geotechnical engineers assessment
of subsurface conditions, engineering studies and experience are usually sufficient to
provide satisfactory recommendations for a successful project.

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An example of one correlation is shown in Figure 2.1. In this example, the results of the
SPT are used to predict the internal friction angle of the tested soil. There is caution
however in using correlations. Published correlations for the same set of values may
vary. Therefore, correlations should be used for guidance and by experienced engineers.
Figure 2.1
[Ref: Sowers and Sowers]
The geotechnical engineer is interested primarily in two pieces of information derived

from the exploration program. This information can be used to develop appropriate
recommendations for the engineers task and includes:
Characteristics of the material encountered, including groundwater.
Engineering properties of the material and calculated values.
The type of material encountered is important because it provides an indication of how

the soil will react under load and whether or not the material is even sufficient to support
foundations. For instance clay reacts quite differently from sand. Peat and loose fill
lying below a proposed structure are not suitable for supporting the structure. The poor
material must be removed or stabilized or the foundations must be supported in firm
material lying below the layer(s) of poor material.
Engineering properties of the soil are also important because they provide information on
the shear strength of the soil and the ability of the soil to carry the load as well as the

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settlement characteristics of the soil. Much of the information that the engineer uses is
based on published values, results of past testing, empirical relationships and if
necessary, the results of project specific testing.
2.2 Geologic Profile
When explorations are conducted, the information is recorded on a log. By reviewing all
of the logs from a particular site, the geotechnical engineer can formulate a three
dimensional picture of the subsurface conditions. Of course this is based on taking
individual explorations at specific locations at the site and then interpreting the soil
conditions in between the explorations. This is sometimes difficult because it involves
interpreting subsurface conditions that have not been explored between the exploration
locations.
In short, the purpose of the exploration program is to provide sufficient site-specific

information to enable the engineer to develop a picture of the subsurface environment
and select appropriate soil values applicable to the soils encountered. Often, the
subsurface conditions are presented in a graphical geologic profile, which shows
information from the log, soil strata and soil description. A typical profile is presented in
Figure 2.2.
Figure 2.2 - Geologic Profile

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2.3 Test Pits
Test pit excavations are useful for viewing large open areas to assess soil type and
stratification but they also have drawbacks. Test pits are limited to the depth that the
machine can extend, they are impractical to use for explorations below the groundwater
level and they produce a large disturbed area; often times within the proposed building
footprint. Most importantly, they do not provide penetration test results like the SPT and
CPT, which are often used as the basis for making bearing capacity recommendations.
Photograph 2.1 Test Pit Excavation
Often a subsurface exploration program is taken at locations around the perimeter of a

proposed building footprint as well as within the footprint. Usually, the exploration
program is conducted well before column lines and footing locations have been located in
the field. A well-intentioned program of test pit excavations may place several
excavations within or very close to the actual footing locations; and test pits are rarely
backfilled with compacted fill suitable for supporting foundations. There is a chance
that a footing could be located directly over a test pit location.
Undoubtedly there are times when test pit excavations are an appropriate means of
subsurface exploration. Test pits often allow the engineer to observe "the big picture".
Because the size of the excavation is relatively large compared to that of a borehole, the
engineer can get a first-hand look at the soil stratigraphy and the interface between
varying subsurface materials becomes readily apparent. Test pits have their place in a
well-designed program of subsurface explorations, but usually as a supplement to other
exploration methods.
Test pits provide adequate material for soil classification but they do not always provide
adequate data for assessing bearing capacity and settlement potential of the material. For

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instance, a material described as "difficult" to excavate, when excavated using a small
rubber-tired backhoe, may be classified as "easily excavated" when using a much larger
piece of equipment. An assessment of how well the soil is compact; therefore, is highly
subjective and there is no reliable correlation between degree of excavation difficulty
noted on the logs and strength of soil, especially in sand and gravel. Test pits excavations,
however, can provide some useful design information when verifying that the foundation
soil is undisturbed glacial till or bedrock.
2.4 Soil Test Borings
Soil test borings are one way that geotechnical engineers retrieve information about the
subsurface environment. Civil engineering projects such as buildings, bridges, earthen
dams and roadways require detailed subsurface information as part of the design process.
The ground below ultimately supports all structures and to be successful, the ground must
not fail under the structural load. Failure can be defined as a sudden, catastrophic
movement where the ground below the structure collapses because its resistance to the
load is less than the applied load. Failure can also be defined as movement that is too
great for the structure to accommodate. For instance, if the structure settles too much,
cracks can develop in the frame and floor, windows and doors may not operate and the
structure can become unsafe.
Photograph 2.2 Standard Penetration Test
Soil test borings frequently are used to obtain samples of the soil for classification and
testing purposes. Testing can be conducted in the laboratory or in the field at the time the

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borings are made. For most projects field testing is sufficient because over the years,
there has been a great deal of engineering data collected on the various soils. This,
coupled with the geotechnical engineer's experience, is usually sufficient to provide
sound advice for a successful project. However there are some projects where laboratory
testing is crucial because of the complexity of soil and structure interaction or where the
consequences of failure are great.
Soil test borings are simply a means of cleaning out a hole at various depths so that
samples of the soil can be collected. The boring is advanced and the sides of the borehole
are protected from collapse by using augers, flush joint casing (steel pipes) and in some
cohesive materials such as clay, by using drilling mud. When the borehole has been
advanced to a specific depth, usually 5-foot intervals, the standard split spoon sampler (a
special 30-inch long pipe that spits into two sections) is placed on a steel rod, which is
then inserted in the open borehole to the sampling depth. At this point, the driller is
ready to collect a sample of the soil while at the same time, conduct the Standard
Penetration Test.
The Standard Penetration Test is conducted by driving the split-spoon sampler into the
soil at the testing depth using a 140-pound weight dropping 30 inches onto the top of the
rods. As the sampler is driven into the ground, the number of hammer blows is counted
for each 6-inch interval of movement. Usually the sampler is driven 24 inches into the
ground although it need only be driven 18 inches. When this is finished, the sampler is
retrieved and the barrel of the sampler is opened to reveal the sample of soil collected.
The geotechnical engineer looks at the sample and classifies the material as sand, silt,
clay gravel or any combination based on a specific soil classification system. The
description is noted on a log along with the sample depth, sample number, distance the
sampler was driven (18 inches or 24 inches), how much soil was retrieved (recovery, not
all of the sample may be recovered since some of the material may fall out of the
sampler) and the number of hammer blows required to drive the sampler into the ground
(blow count). This information is collected and written for each sample taken. The 140-
pound weight and 30-inch drop onto the standard split spoon sampler are universal and;
thereby, the "standard" method for conducting this test.
The soil test boring log is a collection of the soil and sample information for each
sampling interval from the ground surface down to where the boring is terminated. An
example of a soil test boring log is shown in Figure 2.3. In general, samples are taken at
5-foot intervals. However, since each sampler is driven 24-inches, there is only a 3-foot
gap between soil samples. "Continuous" sampling can be conducted by taking
intermediate samples, say from 0 to 2 ft, 2 to 4 ft and 4 to 6 ft, etc. This is particularly
useful if the engineer is looking for a demarcation between materials such as the bottom
of a peat deposit or the bottom of a fill layer that might be otherwise missed.

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Figure 2.3 Soil Test Boring Log
As the boring is conducted, the geotechnical engineer pays particular attention to the soil
classification. Soils having similar characteristics are grouped together into a soil layer.
The engineer's interpretation of soil type and thickness is shown on the log as soil strata.
By reviewing all of the logs from a particular site, the geotechnical engineer can begin to
formulate a three dimensional picture of the subsurface conditions. This is sometimes
difficult because it involves interpreting subsurface conditions between the boreholes
without seeing the actual soil conditions and sometimes there are surprises. Geotechnical
engineering on a project is rarely complete until the Owner receives the key to the door.
The Standard Penetration Resistance (N) determined by blow counts, especially in

granular soil such as sand or gravel, is most important. In cohesive soil such as clay,
although the blow count is important, often the engineer will conduct a field test using a

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small piece of hand-operated equipment such as a Torvane or pocket penetrometer, or
will conduct laboratory testing to determine the shear strength of the soil. In granular
soil, the blow counts have been correlated to friction angle and unit weight. (This is why
the test is conducted using a standard method: 140-pound weight falling 30 inches). The
important numbers are the sum of the blow counts for the second and third 6-inch
intervals (from 6-inches to 18-inches of penetration). The sum is called the Standard
Penetration Resistance.
Hoisting the hammer to drive the sampler Drilling with an All Terrain Vehicle
Photograph 2.3 Soil Test Boring
The effective overburden pressure affects the soil resistance. Hence a soil having a
Standard Penetration Resistance of 15 blows per foot located at a depth of 5 feet may not
have the same strength (measured by ) as the same soil having the same penetration
resistance but located at a depth of 30 feet. Therefore it is common to correct the blow
count (from the SPT test) and sounding (from the CPT test) obtained in the field-testing
program. Although this correction is common, it is not universally applied. Various
equations and curves are available to make this correction.
2.5 Cone Penetrometer
Some exploration programs use cone penetrometer soundings and the Cone Penetration
Test (CPT) to derive foundation design values. The CPT uses a completely different
testing device in the field. Instead of driving a sampler into the ground using a hammer,
a standardized pointed rod is pushed into the ground using hydraulic pressure. The
resistance at the tip of the cone point (cone resistance) and the measured friction along
the side of the sampler barrel (friction resistance) provide the geotechnical engineer with
information used to determine the classification of the soil and the engineering properties

Page 11
of the material. Instead of a boring, this method is called a sounding but logs are also
prepared to record this information.
Samples are not routinely retrieved as with a soil test boring; thus an interpretation of soil
conditions and properties is based upon a correlation using the Friction Ratio. The
Friction Ratio is defined as the frictional resistance (fr) divided by the cone resistance
(qc). One example of a correlation is shown in Figure 2.4.
Figure 2.4 Example of Correlation

[Ref: Das after Robertson and Campanella (1983)]
The discussion in the previous section related to interpreting subsurface conditions

between exploration locations applies here as well.
2.6 Depth of Explorations
Explorations should penetrate through all soil layers comprised of unsatisfactory bearing
material such as fill, organic deposits, loose sand and soft, compressible clay. At least
one exploration should extend to a depth where the increase in vertical stress caused by
the structure equals 10 percent of the initial vertical effective overburden stress below the
foundation. Consideration must also be given to the depth where liquefaction might be
an issue especially in loose granular deposits. Explorations must provide satisfactory
information within the critical depth for bearing capacity analysis. This depth is at least
twice the minimum width of shallow square foundations and at least 4 times the
minimum width of continuous footings or embankments.

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2.7 Groundwater Observation Wells
Geotechnical engineers are often called upon to provide recommendations for subsurface
drainage. Most often this occurs in connection with design of below ground structures
such as basements or below level parking garages. Decisions based on the location of the
groundwater level can have a significant impact on design, construction costs and long-
term serviceability of the structure. Therefore the engineer must have a reasonable degree
of confidence in the groundwater level and its seasonal fluctuation.
Measuring the groundwater level in a borehole at completion does not always provide a
satisfactory measurement. Seldom are boreholes left open to allow readings after a 24-
hour period. The type of soil and drilling method used influences the credibility of the
groundwater level measured at the completion of the boring
Slow draining soils generally do not provide enough time for the groundwater level to
stabilize. When hollow flight augers are used to advance the borehole, the water level
measured at the completion of the boring can be lower. When wash boring techniques
are used, the water level can be higher than the actual groundwater level. These
considerations might not be significant if the groundwater level is located well below the
proposed bottom (ground floor) of the structure. But if the groundwater lies within a few
feet of the structure, then the need for a more accurate groundwater level measurement is
warranted. Thus a groundwater observation well can be installed to allow long-term
measurement of the groundwater level.

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3.0 SOIL PROPERTIES
3.1 Introduction
Soils are sediments and other unconsolidated material comprised of solid particles
produced by disintegrations of rock and mixtures of such particles with organic
substances. A volume of soil also contains liquid and gasses filling the void between the
particles. Hence, a volume of soil is comprised of three phases: solid, liquid and gas.
3.2 Weight-Volume Relationship
Visualize for a moment a shovel full of soil. Likely, you will find solid particles such as
sand of various sizes with voids between the particles. The voids are filled with air and
quite possibly, some moisture. Imagine now that this sample is confined within a unit
volume and all the solid particles are compressed together without any voids between the
particles. Visualize that the water (moisture) contained in the sample collects on top of
the solids and the air rides at the very top of the volume. This describes the three-phase
diagram shown in Figure 3.1a. The diagram is presented in two dimensions rather than
three.
In each of the definitions discussed, refer to the diagram shown in Figure 3.1.
The weight relationship of the phases is shown on the right hand side of the diagram
while the volume relationship of the phases is shown on the left hand side of the diagram.
It is important to note that each of the three phases, solid, liquid and gas have a volume
but only solid and liquid have weight. Amongst geotechnical engineers, the gaseous state
(i.e. air) has no weight. Were not picky about the molecular weight of air so in the grand
scheme of things, the weight of air is zero.
From the diagram shown in Figure 3.1a, it is evident that:
W = total weight of the mass while Ws = the weight of the solid phase, and Ww =
the weight of the liquid (water) phase. Note that the total weight W is equal to
Ws + Ww.
V = total volume of the mass while Vs = the volume of the solid phase, Vw = the
volume of the liquid (water) phase and Va = the volume of the gaseous (air)
phase. Note that the total volume V is equal to Vs + Vw + Va. From now on,
well refer to liquid as water and gas as air.
The volume of water and the volume of air comprise the volume of voids between the
soil particles. The volume of the voids can be totally dry in which case there is no water
or it can be totally full of water in which case there is no air. Both water and air can also
be present in the volume of the voids. Note that the volume of voids Vv = Vw + Va.

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Figure 3.1 Three Phase Diagram
The following definitions apply to soil.
3.2.1 Void Ratio

Void Ratio (e) = Vv / Vs (3.1)
Void ratio expresses the relationship between the volume of voids to the volume of solids
in a unit volume of material. For a given sample of soil, a dense material has a lower
void ratio than a loose material. When material is compacted in the field as part of
constructing engineered fill, there is a void ratio reduction. The solid particles are forced
closer together thus reducing the volume of the voids. For instance, when an 8-inch thick
layer of soil is compacted, it becomes less than 8 inches thick. The volume of the voids
is reduced by the compaction.
3.2.2 Porosity
Porosity (n) = (Vv / V) * 100 (3.2)
Porosity expresses the relationship between the volume of voids and the total volume.
The higher the porosity of a material, the more porous the material becomes. Note that a

Page 15
soil with high porosity may not necessarily be highly pervious. Clay for instance has a
high porosity but low permeability. Porosity is expressed as a percent.
3.2.3 Degree of Saturation
Degree of Saturation (S) = (Vw / Vv) * 100 (3.3)
Degree of saturation expresses the relationship between the volume of water and the
volume of the voids. Saturation is expressed as a percent. As shown earlier, if all the
voids were filled with water, then Vw = Vv and S = 100%. The material would be fully
saturated.
3.2.4 Water Content
Water Content (Wc) = (Ww / Ws) * 100 (3.4)
Water content expresses the relationship between the weight of water in a given volume
of material to the weight of the solids contained in that same volume. Water content is
expressed as a percent.
3.2.5 Total Unit Weight
Unit Weight () = W / V (3.5)
The unit weight relationship is the total unit weight of soil because it relates total weight
(Ws + Ww) with total volume (Vs + Vw + Va). Note, if the material is moist or
saturated, this would be the moist or saturated unit weight of soil.
3.2.6 Dry Unit Weight
Sometimes, it is important to know the dry unit weight of soil (d), especially when
calculating the degree of compaction. The dry unit weight of soil is expressed as:
Dry Unit Weight (d) = Ws / W (3.6)
During field control of compaction it is necessary to know the degree of compaction

attained. The inspector or engineer will calculate the in-place dry unit weight of soil
retrieved from the compacted fill and compare it to the theoretical maximum dry unit
weight of the material determined by laboratory testing.
3.2.7 Specific Gravity
Specific gravity is another value used in calculations.
The mass or apparent specific gravity (Gm) = W / (V * w) (3.7)

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The specific gravity of the solids (Gs) = Ws / (Vs * w) (3.8)
Note that w is the unit weight of fresh water (i.e. 62.4 lb pcf).
From these relationships it is possible to make other engineering calculations. There are
other relationships that are not shown but they are all based on the fundamental
relationships discussed herein. Other relationships can be found in publications such as
DM-7 (see references).
Example 3.1
Refer to Figure 3.1b for an example calculation using the relationships expressed above.
The diagram shows that 43 pounds of material was retrieved from a hole that had a
volume of 0.41 cubic feet. The material was dried and reweighed. The dry weight
(weight of the solids Ws) is 40 pounds. From this information and using the relationships
expressed above or derived from the phase diagram calculate:
Total Unit Weight () = W / V = 43 / 0.41 = 104.9 pcf
Dry Unit Weight (d) = Ws / V = 40 / 0.41 = 97.6 pcf
Volume of Solids (Vs) = Ws / (w * Gs) = 40 / (62.4 * 2.67) = 0.24 cf (from Eq. 3.8)
Weight of water (Ww) = W Ws = 43 40 = 3 lb
Volume of Water (Vw) = Ww / w = 3 / 62.4 = 0.05 cf
Volume of air (Va) = V Vs Vw = 0.41 0.24 0.05 = 0.12 cf
Volume of voids (Vv) = Vw + Va = 0.05 + 0.12 = 0.17 cf
Void ratio (e) = Vv / Vs = 0.17 / 0.24 = 0.71
Porosity (n) = Vv / V = 0.17 / 0.41 = 41.5%
Degree of Saturation (S) = Vw / Vv = .05 / 0.17 = 29.4%
Water content (Wc) = Ww / Ws = 3 / 40 = 7.5%

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Example 3.2
Again, refer to Figure 3.1b for the relationships. Assume that the total unit weight of a
sample of soil is 117 pcf. The material is 100 percent saturated and the water content is
41 percent. Calculate the void ratio (e).
If the material is 100 percent saturated than all of the voids are filled with water and the
volume of air (Va) equals zero. Since the total unit weight is 117 pcf, the total weight
(W) = 117 pounds and the total volume (V) equals 1 cubic foot.
The water content is 41 percent; therefore Ww / Ws = 0.41 which becomes Ww = (Ws)

(0.41)
The total weight (W) = Ww + Ws and by substitution for Ww, W = (Ws)(0.41) + Ws and
W = Ws(1 + 0.41)
Solving for Ws where W = 117 pounds, Ws = 117 / 1.41 or 83 pounds. Therefore, Ww =

117 83 = 34 pounds
The soil is 100 percent saturated, Vv = Vw and Vw = Ww / (w) = 34 / 62.4 = 0.54 cf
Since V = Vs + Vw, then Vs = V Vw. Therefore, Vs = 1 0.54 = 0.46 cf
By definition, Void Ratio (e) = Vv / Vs = 0.54 / 0.46 = 1.17
There types of calculations are used to derive soil values.
3.2.8 Atteberg Limits
Atteberg Limits, most commonly Liquid Limit and Plastic Limit, are an integral part of
several engineering classification systems to characterize fine grained soil. Fine grained
soil such as silt and clay are finer than the No. 200 sieve (finer than 0.002 mm grain size).
These limits along with Plasticity Index can be used with other engineering properties to
correlate with engineering behavior such as compressibility and permeability.
As a clayey soil is mixed with excessive water, it flows like a semi-liquid. As the
material dries, it passes through a plastic, semisolid and then solid state. There is a
reduction in the water content and also the void ratio as the material shrinks. The water
content at which the soil changes from a liquid to plastic state is the Liquid Limit (LL)
and the water content at which the soil changes from a plastic to semisolid state is the
Plastic Limit (PL). Although these limits represent water content, they are expressed
without the percent designation.
The Plasticity Index (PI) is the difference between the Liquid Limit and the Plastic Limit
and is a measure of plasticity.

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PI = LL PL (3.9)
A high Plasticity Index indicates that the material has significant clay content, while a
low Plasticity Index near 0 indicates that the material is non-plastic such as silt.
Methods for determining the Liquid Limit, Plastic Limit and Plasticity Index of soils are
described in ASTM D4318.
3.2.9 Shear Strength
Shear Strength is a fundamental engineering property of soil and it is usually expressed

as:
S = c + tan() (3.10)
Where S = shear strength

c = cohesion (property of cohesive soil)
= normal stress on shear plane (usually the effective weight of the soil
overburden above the shear plane)
= angle of internal friction of soil
For clay (cohesive soil) in undrained conditions, f = 0, thus S = c.
For sand (cohesionless soil), c = 0, thus S = tan().
For a soil that exhibits both cohesion and friction, Equation 3.10 expresses the shear
strength.
3.2.10 Sensitivity
Most clay loses some of its strength and stiffness when remolded or disturbed. The main
cause may be a reorientation of the individual clay particles to a less favorable
orientation. Sensitivity is determined in the laboratory as the quotient of the undisturbed
strength to the remolded strength. Commonly the unconfined compression test with a
value of the unconfined compressive strength (qu) is used to determine strength.
Sensitivity = qu (undisturbed sample) / qu (remolded sample) (3.11)
Insensitive clay that does not lose significant strength when disturbed has sensitivity less
than 2. On the other hand, quick clay loses significant strength and has a sensitivity
that exceeds 16. A common classification is shown in Table 3.1.

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Table 3.1 Sensitivity Classification
Sensitivity Classification
<2 Insensitive
Moderately
2-4
sensitive
4-8 Sensitive
8-16 Very sensitive
16-32 Slightly quick
32-64 Medium quick
>64 Quick
[Ref: Foundation Engineering Handbook,]
Sensitivity can also be described by the type of clay as shown in Table 3.2.
Table 3.2 Soil Description vs. Sensitivity
Sensitivity Soil Description

2-8 Clay of medium plasticity, normally consolidated
10-80 Highly flocculent, marine clay
1-4 Clay of low to medium plasticity, overconsolidated
0.5-2 Fissured clay, clay with sand seams
[Ref: Sowers and Sowers]
3.2.11 Engineering Properties of the Mass
Solutions to engineering problems requiring an assessment of engineering properties of

soil and rock involve determining quantitative information on the mass involved. When a
site is explored for instance, a finite number of samples are retrieved from which
engineering values are derived for the entire study area. This leads to two questions that
must be answered by the engineer undertaking the assignment.
1. Are the samples tested representative of the mass?
2. What are the combined effects of stratification, cracks, planes of weakness and
other geometric and structural aspects of the mass?
In most cases, experience and judgment are required to interpret the results so that they
can be used to develop a satisfactory engineering solution.

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4.0 BEARING CAPACITY OF SHALLOW FOOTINGS
4.1 Introduction
A foundation is that part of a structure which transmits a load directly into the underlying
soil. If the soil conditions immediately below the structure are sufficiently strong and
capable of supporting the required load, then shallow spread footings can be used to
transmit the load. On the other hand, if the soil conditions are weak, then piles or piers
are used to carry the loads into deeper, more suitable soil. Shallow footings are
foundations where the depth of the footing is generally less than the width (B) of the
footing.
Photograph 4.1 Shallow Spread Footings
Geotechnical engineering is a branch of civil engineering that works with soil properties
to establish the allowable bearing capacity of shallow footings. Geotechnical engineers
are members of the design team who provide this information to those responsible for
design. Often it is stated that geotechnical engineering is an art form rather than a
science. Much of the geotechnical engineers guidance results from an interpretation of
subsurface conditions based on an economically reasonable number of explorations.
Based on experience and supported by theory, the geotechnical engineer interprets the
information in order to predict foundation performance. The prediction usually ends up
in a recommendation made by the geotechnical engineer in a report. Architects and
structural engineers are probably most familiar with statements such as The
recommended allowable bearing pressure for shallow spread footings at this site is 4000

Page 21
psf. Where does this value come from and what was considered when establishing this
value?
There are two considerations for determining the allowable soil bearing pressure:
Calculated theoretical bearing capacity and
Magnitude of settlement
Thus, the magnitude of settlement that a footing might experience under the design load
is an equally important criterion for establishing the allowable soil bearing pressure. In
fact for footings wider than 3 feet, settlement consideration often controls the magnitude
of pressure applied to the soil.
The ability of soil to safely support a structure is of paramount importance. If the

capacity of the soil is not sufficient then failure will occur. Failure can be defined as:
A sudden, catastrophic movement where the ground below the structure collapses
because its resistance to the load is less than the applied load. This relates to the
capacity of the soil to safely carry the load (Criterion 1)
Movement that is too great for the structure to accommodate. For instance, if the
structure settles too much, cracks can develop in the frame and floor, windows
and doors may not operate and the structure can become unsafe. This relates to
the settlement potential of the soil under the applied load (Criterion 2).
Bearing capacity analysis is a two-part method used to determine the ability of the soil to
support the required load in a safe manner without gross distortion resulting from
objectionable settlement. The ultimate bearing capacity (qu) is defined as that pressure
causing a shear failure of the supporting soil lying immediately below and adjacent to the
footing. The geotechnical engineers task is to explore the subsurface conditions at a
project site and determine the allowable capacity that the soil can carry without
collapsing or experiencing intolerable movement. These precepts apply equally to deep
foundations as well as shallow foundations.
4.2 Modes of Failure
Generally three modes of failure have been identified:
General Shear Failure: A continuous failure surface develops between the

edge of the footing and the ground surface. This type of failure is
characterized by heaving at the ground surface accompanied by tilting of
the footing. It occurs in soil of low compressibility such as dense sand or
stiff clay.

Page 22
Local Shear Failure: A condition where significant compression of the
soil occurs but only slight heave occurs at the ground surface. Tilting of
the foundation is not expected. This type of failure occurs in highly
compressible soil and the ultimate bearing capacity is not well defined.
Punching Shear Failure: A condition that occurs where there is relatively

high compression of the soil underlying the footing with neither heaving at
the ground surface nor tilting of the foundation. Large settlement is
expected without a clearly defined ultimate bearing capacity. Punching
will occur in low compressible soil if the foundation is located at a
considerable depth below ground surface.
4.3 Bearing Capacity of Continuous Footings
First we will discuss calculating the bearing capacity for continuous footings using the
original equation developed for bearing capacity analysis and then we will expand this to
discuss other shapes and conditions.
The failure mechanism for a narrow, continuous footing (length is >> than width)
assumes that a wedge of soil below the footing is pushed downward by the applied load,
thereby displacing soil adjacent to the wedge both laterally and upward. The ultimate
bearing capacity therefore, is a function of the shear strength of the soil and the
magnitude of the overlying surcharge due to the depth of footing (D). The ultimate
bearing capacity (qu) of soil underlying a shallow strip footing can be calculated as:
qu = 1/2 + cc + DNq (4.1)
N, Nc and Nq are bearing capacity factors that depend only upon the soil friction
angle () as shown in Figure 4.1. The soil friction angle is commonly assigned by
using charts or tables that correlate the penetration resistance obtained during the
exploration program to the friction angle.
The cohesion term c is obtained by laboratory or field-testing methods such as

using a Torvane. Correlations using SPT results are unreliable for assigning
cohesion.
The unit weight of the soil () is commonly based on a published correlation with
soil classification.
The value B is the width of the footing and is the common symbol for the
width.
The value D is the depth of the footing below the lowest adjacent backfill. If
the footing is backfilled equally on each side, then D is the depth below grade. If

Page 23
the footing is backfilled unequally on each side as in a basement, then D is the
lesser measurement.
Figure 4.1 Bearing Capacity Factors

[Ref: NAVFAC DM-7]
Figure 4.2 Depth of Footing
Expression (4.1) above shows that there are three components to bearing capacity.
The first term (1/2 ) results from the soil unit weight below the footing.

Page 24
The second term (cc) results from the cohesive strength of the soil.
The third term (DNq) results from the surcharge pressure, which is the pressure
due to the weight of material between the surface and footing depth. This third
term has a significant influence on the calculated soil bearing capacity.
4.4 Modification for Shape
The original bearing capacity equation shown in Expression (4.1) applied to continuous
footings where the length (L) is very much greater than the width (B). Since many
footings however are square, rectangular or circular, the equation for a continuous footing
was modified to account for the shape of the footing. Semi-empirical shape factors have
been applied to each of the three components of the bearing capacity equation resulting in
the following modifications:
Square Footing: qu = 0.4 + 1.2cc + DNq
Circular Footing: qu = 0.3 + 1.2cc + DNq
Rectangular Footing: qu =1/2(1 0.2B/L) + 1.2cc + DNq
In some publications, 1.3 replaces the factor 1.2.
4.5 General Bearing Capacity Equation
Later research improved the simple bearing capacity equations shown above by
introducing a correction factor for shape of footing with load eccentricity, depth of
footing, and inclination of load. Thus, the General Bearing Capacity Equation has
evolved as shown in Expression (4.2), which maintains the contribution from the three
components identified earlier and incorporates appropriate correction factors for each
term.
qu = 1/2 (FsFd Fi) + cc(FcsFcdFci) + DNq(FqsFqd Fqi) (4.2)
The factors beginning with F are the correction factors for depth (d), shape (s) and
inclination of load (i) applied to the original terms proposed in Expression (4.1).
Further refinements include correction factors for sloping ground and tilting of the
foundation base.
The ultimate bearing capacity obtained when using the General Bearing Capacity
Expression (4.2) give bearing pressures that are too large for footings having widths (B)
greater than approximately 6 feet. Accordingly, a correction factor can also be applied to
the first term of the General Bearing Capacity equation.

Page 25
The calculation of bearing capacity and correction factors can become quite involved.
Since there is no clearly defined universal set of values and equations used by all
practitioners, it would not be unusual for the calculated results to vary among
practitioners even when given the same set of subsurface conditions.
4.6 Groundwater and Bearing Capacity
The groundwater level affects the bearing capacity of soil. The first and third term of the
bearing capacity equation include a factor for the unit weight of soil. Parts of these terms
are shown below and identified as (4.3) and (4.4).
(1/2) (4.3)
(D) (4.4)
When the groundwater level rises to a depth less than B (width of footing) below the
footing, then the first term (4.3) changes. The unit weight of soil () becomes affected by
the groundwater. As the groundwater level rises, the unit weight below the groundwater
level is replaced by the submerged unit weight ( 62.4) and a weighted average is used
to express the effective soil unit weight in term (4.3).
When the groundwater level reaches the depth of footing, the value () in term (4.3) is
replaced entirely by (), the submerged unit weight of soil. If the groundwater level
rises above the depth of the footing, then the submerged unit weight of soil would be
used in terms (4.3) and (4.4) as appropriate. Since the submerged unit weight of soil ()
is always less than the total unit weight (), the bearing capacity decreases. Note in
particular that:
Term (4.3) can be reduced by up to approximately one-half of its value depending

upon the depth of the water below the footing and the assigned value of [1/2 (-
62.4) B].
When the groundwater level rises above the depth of the footing then Term (4.4)
is also affected [(62.4) D].
These conditions reduce the bearing capacity of the soil. Therefore the future
highest groundwater level is important.
If the groundwater level is at an intermediate depth ranging between the bottom of

the footing and depth B, a weighted average effective unit weight is used in the
bearing capacity equation [Ave = + d/B ( )] where is the submerged
(effective) unit weight of soil, B is the footing width and d is the depth of the
groundwater below the footing (i.e. d < B). .

Page 26
4.7 Factor of Safety
Unlike materials such as steel or concrete, there is no code that specifies the allowable
stress or factor of safety used in design. Soil has considerable variability and structures
have a multitude of uses and design life. Although the magnitude of the safety factor can
vary depending upon uncertainty and risk, a factor of safety of 3 is commonly used in
bearing capacity analysis for dead load plus maximum live load. However, when part of
the live load is temporary such as earthquake, wind, snow, etc. then the factor of safety
can be lower.
The gross allowable bearing pressure used for design is derived by dividing the ultimate
bearing capacity (qu) by the assigned factor of safety (FS).
qall = qu / FS (4.5)
Often the surcharge pressure resulting from the depth of footing (soil surcharge) is
subtracted yielding the net allowable bearing pressure.
qall(net) = (qu Df) / FS (4.6)
The factor of safety is applied to the bearing capacity at failure as presented in Criterion
1. Footings less than 3 feet wide are most affected by this condition. As the footing
becomes larger, the potential settlement of the footing plays a much greater role in
establishing the assigned allowable bearing pressure as presented by Criterion 2.
4.8 Presumptive Bearing Capacity
Building Codes provide the maximum allowable pressure on supporting soils under
spread footings. The BOCA National Building Code establishes the presumptive load-
bearing value of foundation material based solely on material classification. The
materials range from the weaker materials such as clay with an allowable bearing
pressure of 2000 psf to very strong material such as crystalline bedrock with an allowable
bearing pressure of 12,000 psf. The IBC lowers the allowable foundation pressure for
clays to 1500 psf.
NAVFAC Design Manual 7.2, Foundations and Earth Structures, provides a

comprehensive tabulation of presumptive bearing pressures and modifications based on
size, depth and arrangement of footings as well as the nature of the bearing material. The
publication suggests the use of presumptive values for preliminary estimates or when
elaborate investigation of soil properties is not justified.

Page 27
4.9 Other Considerations for Bearing Capacity
There are other considerations that the geotechnical engineer must consider when
deriving the bearing capacity of soils. Some of these considerations are outlined below:
Footings with eccentric rather than concentric loads
Depth of footings
Bearing capacity of layered soils where a stronger soil is underlain by a weaker

soil
Seismic bearing capacity of soil
Bearing capacity of soil supporting machine foundations
Foundations on or close to slopes
Footings supported on soils that expand or shrink with changes in the moisture
content
4.10 Selection of Engineering Properties
The bearing capacity calculation is very sensitive to the values assumed for the shear
strength of soil, namely the friction angle () and cohesion. This is especially true at the
higher values of friction angle. Therefore, careful consideration should be given to the
values selected to define the soil shear strength.
4.11 Important Points
Some important points to consider are:
The foundation is that part of a structure which transmits the load directly into the
underlying soil.
Shallow spread footings distribute the load over a wide area so that the bearing
pressure does not exceed the capacity of the soil to carry the load without
objectionable settlement.
Shallow footings are footings where the depth of the footing is generally less than
the width of the footing.

Page 28
If the capacity of the soil is insufficient, failure can occur as a sudden,
catastrophic movement or movement that is too great for the structure to
accommodate.
Bearing capacity analysis seeks to prevent catastrophic movement and to limit

movement to within tolerable ranges for the structure.
Explorations are conducted in order to present a picture of subsurface conditions,

including the nature of the material and the engineering properties. Often
correlations are used between test values obtained during the exploration program
and published engineering properties of the soil.
Empirical relationships are often used to predict the bearing capacity of the soil
and the settlement potential.
Given the same set of soil information, different engineers can arrive at different
but equally correct values for bearing capacity.
4.12 Deterministic vs. Probabilistic Analysis
The deterministic method of analysis is widely practiced in the United States. In the
deterministic method, a single set of soil properties such as friction angle, cohesion, and
unit weight are selected by the engineer based on some rational method. The ultimate
bearing capacity is calculated using these singular values and a selected factor of safety is
applied to yield the allowable bearing pressure. The deterministic method however, does
not take into consideration the possible (and likely) variability of the assigned soil values.
A primary deficiency of the deterministic method is that the parameters (material
properties, strength and load) must be assigned single, precise values when in fact the
actual (and appropriate) values might be quite uncertain.
Another approach to assessing the bearing capacity of soil is to use a probabilistic method
of analysis, which reflects the uncertainty in the assigned values. Probabilistic methods
however are not commonly used. The factor of safety concept is extended to incorporate
uncertainty in the parameters. The probabilistic approach is more meaningful than the
deterministic approach alone since the engineer incorporates uncertainty into the analysis.
Both methods of analysis can complement one another since they each have a value that
enhances the other method.
Example 4.1
Assume that a 4-foot square shallow spread footing is supported on sand at a depth of 4
feet below ground surface. The friction angle of the sand is 30 degrees, the unit weight of
soil is 120 pcf and cohesion is zero. The groundwater level can rise to the depth of the
bottom of the footing but no higher. The cumulative average standard penetration
resistance of the sand within a depth of 8 feet (2B) below the footing is 12 blows per foot.

Page 29
Determine the allowable bearing capacity based on the shear strength of the soil and the
ability of the soil to resist the applied pressure.
Select the ultimate bearing capacity expression for square footings:
qu = 0.4 + 1.2cc + DNq
since cohesion = 0,
qu = 0.4 + DNq
For a friction angle of 30 degrees, determine the bearing capacity factors from
Figure 4.1. N = 16 and Nq = 18
The unit weight () is given as 120 pcf. However, since the groundwater will rise
to the depth of the footing, use the submerged unit weight ( 62.4) in the first
term. Thus, = (120 62.4) = 57.6 pcf.
The ultimate bearing capacity is:
qu = 0.4 + DNq
qu = (0.4)(57.6)(4)(16) + (120)(4)(18) = 10115 psf (rounded)
For a factor of safety of 3, the gross allowable bearing capacity is qa = qu / FS =

3372 psf
The net allowable bearing capacity is qa(net) = (qu Df) / FS = 3212 psf
Assume the groundwater level never rises above a depth of B below the footing.
qu = (0.4)(120)(4)(16) + (120)(4)(18) = 11712 psf (rounded)
qa = 11712/3 = 3904 psf
This value is 532 psf higher and illustrates the effect of the groundwater on the calculated
theoretical bearing capacity. The bearing capacity is higher because the soil is not
affected by groundwater, and the total unit weight of soil (120 pcf) is used in term 1
rather than the submerged (buoyant) unit weight (57.6 pcf).

Page 30
5.0 Settlement of Shallow Footings
5.1 Introduction
Settlement of footings must be considered as part of the foundation design process. For
shallow footings, after a bearing capacity analysis has estimated the allowable soil
pressure based upon shear strength consideration, settlement must be studied to refine
(and possibly further limit) the assigned bearing pressure. The soil design pressure and
footing geometry are checked to verify that settlement of the footing under the prescribed
load lies within tolerable ranges for the structure. Settlement must also be considered for
deep foundations.
The total settlement of a structure is not as much of a concern as the differential

settlement that occurs between adjacent columns and structural members. Differential
settlement between adjacent footings develops stresses in the structure causing damage.
Of course, if the predicted total settlement of a structure would affect underground
utilities, entryways, building elevations etc., then total settlement is also a concern.
Allowable bearing pressures are designed to limit total settlement and by so doing,
differential settlement between adjacent footings is also limited.
Where there is a group of footings supporting a structure, it is common to select the

footing that might experience the most settlement for analysis. This could be the largest
footing because its stress influence will extend much deeper thereby encompassing more
soil or it could be the footing supported over the weakest soil at the site. In practice, it is
common to adjust the design bearing pressure so that the footing will experience total
settlement of less than 1 inch. Using this criterion, it is generally assumed that if the
maximum settlement of footings is limited to 1 inch, then the differential settlement
between adjacent footings within the group will likely be less than inches. This
magnitude of differential movement is acceptable for most buildings. Tables and charts
have been published which set forth tolerable settlement for various types of structures.
Methods of predicting settlement provide only an estimate of the actual expected

movement. The calculations used to estimate settlement are based upon assigned soil
properties derived from field-testing and laboratory testing methods that are in
themselves imperfect. There is wide room for variation of soil properties and error
without close attention to detail. Even under the best of circumstances, soil properties
can vary. Factors such as water content, freeze-thaw cycles, groundwater level, degree of
consolidation, rate of loading, soil stratification, degree of compaction and relative
density of the material can change the soil strength and compressibility properties.
Settlement can also occur as a result of both static and dynamic loads applied to the
foundation soil.

Page 31
5.2 Components of Settlement
Settlement caused by a loading condition that increases the stress in the underlying soil
can be classified into two major components:
Immediate settlement.
Consolidation settlement.
Consolidation settlement can be further divided into:
Primary consolidation
Secondary consolidation.
5.3 Immediate settlement
Immediate settlement (elastic deformation) takes place during construction or shortly

thereafter and results from compression between the soil particles.
5.4 Primary Consolidation
Primary consolidation is a time-dependent phenomenon that occurs as water is squeezed

from the voids lying between the individual soil particles. The time required for primary
consolidation to occur is a function of how quickly the soil drains.
5.5 Secondary Consolidation
Secondary consolidation occurs after primary consolidation has been completed. Unlike
primary consolidation, secondary consolidation does not depend upon drainage.
Secondary consolidation is caused by slippage and reorientation of soil particles (creep)
under constant load.
Each of the three components of settlement occurs to some degree in both coarse-grained
and fine-grained soil such as sand and clay respectively. Immediate settlement is most
often associated with granular, coarse-grained soil such as sand. Although consolidation
occurs in coarse-grained soil, it takes place very quickly because the material is relatively
pervious and drains quickly. Therefore consolidation is not usually distinguishable from
immediate settlement. Although secondary consolidations is thought not to occur in
coarse-grained soil, some researchers have identified additional movement (creep) that
occurs long after the load has been applied.
Primary consolidation and secondary consolidation are most often associated with fine-
grained material such as clay and organic soil. Immediate settlement occurs rapidly in
fine-grained material much more so than the time-dependent, long-term settlement

Page 32
associated with primary and secondary consolidation. Primary consolidation is more
significant in clays while secondary consolidation is more significant in organic soil.
The total settlement that occurs below a footing is the sum of each of the three
components identified above:
S (total) = S (immediate) + S (primary) + S (secondary)
For coarse-grained soil, primary and secondary settlement is ignored.
5.6 Settlement of Footings Underlain by Sand
Settlement that occurs in coarse-grained soil (sand) is normally small and happens
relatively quickly. It is generally thought that little additional long-term movement
(creep) occurs after loading. However, some researchers propose that this might not be
entirely true.
Calculations performed to estimate settlement in coarse-grained material are usually

undertaken using empirical methods based on data obtained during the exploration
program. Since it is expensive and impractical to obtain undisturbed samples of
coarse-grained material for laboratory testing, predictions are based on field-testing
methods such as the standard penetration test (SPT), cone penetration test (CPT),
dilatometer test (DMT) and the pressuremeter test (PMT). Researchers have synthesized
information collected from testing programs and studies and have developed a number of
empirical relationships to estimate the settlement of footings underlain by granular soil.
Geotechnical engineers have used empirical approaches based on a large number of case
studies to estimate the settlement of coarse-grained soil under sustained load. Two
widely accepted methods employ the results obtained from the SPT and CPT. Equipment
used to make these tests are readily available and relatively inexpensive to employ.
These tests are routinely conducted during the site exploration program.
There are numerous empirical relationships available for predicting settlement. Some are
apparently better than others in predicting the actual settlement based on the results of
full-scale tests conducted on five shallow spread footings under various magnitudes of
load. Some of the conclusions derived from a symposium convened during the mid
1900s to evaluate the current industry and academic practice in spread footing design are
as follows:
No participant who provided a calculated prediction of settlement gave a

complete set of answers, which consistently fell within plus or minus 20% of
the measured footing settlement.
The load required to produce 1 inch of settlement was underestimated by 27%

on average. The predicted load was on the safe side 80% of the time.

Page 33
A large variety of methods were used to calculate settlement and it was not
possible to identify the most accurate method because most participants used
published methods modified by their own experience or used a combination of
methods.
The profession tends to be over-conservative.
One (of many) empirical methods for predicting the settlement of shallow footings
underlain by sand is illustrated below as an example. Researchers based this method on a
statistical analysis of over 200 settlement records of foundations supported on sand and
gravel. The expression shows a relationship between the compressibility of the soil,
footing width and the average value of the penetration resistance derived from the SPT
and uncorrected for overburden pressure.
The immediate settlement prediction for sand is:
Si = qB0.7Ic (5.1)
Where:
Ic = 1.71/N1.4 and N is the Standard Penetration Resistance derived from the
soil test boring exploration program.
Si is expressed in millimeters
B (footing width) in meters
q (foundation pressure) in kPa
A modification can be made to this equation if the sand can be established as over
consolidated. Although it is normally assumed that settlement will stop after construction
and initial loading has been applied, data suggests that settlement can continue. A
conservative assumption is that the settlement will ultimately reach 1.5 times the
predicted settlement (Si) after 30 years.
5.7 Settlement of Footings Underlain by Clay
The settlement prediction for footings underlain by clay usually ignores immediate
settlement. The magnitudes of primary and secondary consolidation are more important
in clay and organic soil. Primary consolidation occurs when the pore water in saturated
clay is drained (squeezed out) by the superimposed stress increase caused by the footing.
As the material drains, settlement occurs.
The phenomenon of primary consolidation can be illustrated as follows: When a footing

resting above saturated clay is loaded, there is a stress increase in the underlying material

Page 34
equal to the amount of the increased foundation pressure. Initially, the pore water held in
the voids of the soil between the clay particles supports all of the increased stress. Since
the water is incompressible, the water pressure increases an amount equivalent to the
increased foundation pressure (excess pore water pressure). With time, the pore water
drains from the voids (decreases), thereby transferring the stress from the water to the soil
particles. As the pore water drains, settlement occurs. Primary consolidation is complete
when all of the excess pore water pressure has dissipated and the soil particles in close
contact with one another support all of the pressure.
In order to predict the amount of settlement that will occur in the clay stratum, the
engineer must have knowledge of the past history and engineering properties of the clay.
This is achieved by retrieving an undisturbed sample of the clay and testing it in
laboratory to measure its consolidation characteristics. The results of the laboratory-
testing program are presented on a series of semi-log plots. One of these plots shows the
decrease in void ratio or strain (vertical axis) in relationship to the increased pressure of
load. From this data the engineer obtains important engineering properties of the soil,
which are then used to predict the magnitude of settlement.
The settlement for normally consolidated material can be expressed as:
S = (Cc H/ 1+eo) * log (( + )/) (5.2)
Where:
Cc is the compression index derived from laboratory testing
H is the thickness of the clay layer under consideration
is the effective overburden pressure
is the stress increase resulting from the footing
eo is the soil void ratio obtained from laboratory testing
A slight manipulation of this equation will provide the settlement for an over-
consolidated material.
Normally consolidated material is material that has not experienced a load greater
than the existing (current) load.
Over-consolidated material is material that has experienced a load in the past

greater than the existing (current) load.
An example of over-consolidated conditions might be illustrated by a 10-foot high hill

that is underlain by clay. If the hill was 20 feet high in the past, then the clay would

Page 35
already have settled under the weight of the 20-foot high hill. Since over-consolidated
material is stronger than the same normally consolidated material, it is less compressible
up to the point where the applied pressure is equivalent to the maximum past pressure.
Therefore, if an additional 5 feet of fill is placed over the site to a total height of 15 feet,
then the underlying clay would experience very little settlement because it has already
experienced settlement equivalent to the previous 20-foot high fill.
Since manipulations are made to the equations for calculating settlement based on three
possible conditions, the geotechnical engineer must also know the magnitude of the
maximum past pressure, which can be obtained from laboratory test results. With this
information, the geotechnical engineer can now relate the pressure increase in the
underlying compressible soil resulting from the new footing to the existing overburden
pressure and the maximum past pressure of the soil. The three possible conditions are:
Settlement lies entirely within normally consolidated clay.
Settlement lies entirely within over-consolidated clay where the new

foundation pressure plus the existing overburden pressure is less than the
maximum past pressure.
Settlement lies in over-consolidated clay but extend into the normally

consolidated zone where the new foundation pressure plus the existing
overburden pressure is greater than the maximum past pressure
If secondary consolidation is calculated separately, then the results are added to the
predictions for primary consolidation.
5.8 Time Rate of Settlement
Aside from predicting the magnitude of settlement that will most likely occur in fine
grained-soil, the engineer must also predict the rate at which the total settlement will
occur. There is a significant difference on performance and damage to a structure
relating to 2 inches of settlement that occurs over a 1-year period as opposed to 2 inches
of settlement that occurs over a 50-year period. The coefficient of consolidation (cv)
required to conduct this study is also derived from laboratory test data.
In addition, the engineer must decide whether there is two-way or one-way drainage.
Two-way drainage will occur if the clay stratum is located between two more
pervious layers of material. The last drop of water to drain from the system is
located in the middle of the clay stratum and it only has to travel one-half the
thickness of the clay stratum or less until it reaches the pervious layer.

Page 36
One-way drainage occurs if the clay is overlain or underlain by a single more
pervious stratum. In this case, the last drop of water to drain lies at the bottom or
top of the clay stratum furthest from the drainage layer.
The rate of consolidation is expressed in Expression (5.3) below. From this expression, it
should be easy to see that two-way drainage occurs more quickly than one-way drainage
for the same thickness (H) of clay.
Time = Tv H2/cv (5.3)
Where:
Tv is a time factor and is obtained from published values.
cv is the coefficient of consolidation and is obtained from laboratory testing or

published values.
Sometimes the compressible material contains thin sand lenses. Since the sand lenses are
also drainage pathways, the actual rate of consolidation can be greater than predicted.
5.9 Influence Zone
Whenever a foundation is loaded, a pressure (stress) increase occurs in the underlying

soil immediately below the footing. Actually the pressure spreads laterally to a certain
degree as well. The intensity of pressure decreases with depth until it eventually
becomes too small and is of little concern.
It is the pressure increase that causes settlement to occur in the soil below
footings.
The increase in pressure extends to a greater depth below larger footings than smaller
footings, hence the depth is influenced by the width of the footing (B). The zone where
the pressure increase is significant with respect to settlement varies with the width of the
footing. In clay, the zone is also influenced by the intensity of the effective overburden
pressure (the pressure due to the effective weight of the soil lying above the point in
question).
In granular soils, it is generally assumed that the zone extends to a depth of twice the
footing width (2B) below the footing level. Some engineers however, prefer to use a
depth equal to three times the width of the footing (3B). When calculating settlement, the
average N value or lowest cumulative N value within this zone is used. The values are
obtained during a soil test boring program. For compressible soils such as clay however,
the pressure increase is considered significant until the pressure increase is less than 10%
of the effective overburden pressure. The resulting depth below the footing calculated in
this manner defines the height of the compressible layer (H) shown in Expression (5.3).

Page 37
Example 5.1
If the footing discussed in Example 4.1 of the previous section was loaded to a pressure
of 3,372 psf (161.45 kPa), is the settlement within tolerable ranges?
From Expression (5.1) with values expressed in SI units,
Si = qB0.7Ic and Ic = 1.71/N1.4
Ic = 1.71 / (12)1.4, Ic = 0.053
Si = (161.45)(1.219)0.7 (0.053) = 9.83 mm ( approx. 3/8-inches)
Thus the allowable bearing pressure is 3,372 psf. At this pressure approximately -inch
of total settlement is expected, which is less than the 1-inch of total settlement criterion.
This value also lies below the typical -inch criterion for differential settlement.

Page 38
6.0 LATERAL EARTH PRESSURE
6.1 Introduction
Lateral earth pressure represents pressures that are to the side (horizontal) rather than
vertical. The objective of this section is to familiarize primarily the non-geotechnical
engineer such as civil engineers, structural engineers, architects and landscape architects
with simple background theory and considerations.
Calculating lateral earth pressure is necessary in order to design structures such as:
Retaining Walls
Bridge Abutments
Bulkheads
Temporary Earth Support Systems
Basement Walls
6.2 Categories of Lateral Earth Pressure
There are three categories of lateral earth pressure and each depends upon the movement
experienced by the vertical wall on which the pressure is acting. In this section, we will
use the word wall to mean the vertical plane on which the earth pressure is acting. The
wall could be a basement wall, retaining wall, earth support system such as sheet piling
or soldier pile and lagging, etc.
The three categories are:
At rest earth pressure

Active earth pressure
Passive earth pressure
The at rest pressure develops when the wall experiences no lateral movement. This
typically occurs when the wall is restrained from movement such as a basement wall that
is supported at the bottom by a slab and at the top by a floor framing system prior to
placing soil backfill against the wall.
The active pressure develops when the wall is free to move outward such as a typical
retaining wall and the soil mass stretches sufficiently to mobilize its shear strength. On
the other hand, if the wall moves into the soil, then the soil mass is compressed
sufficiently to mobilize its shear strength and the passive pressure develops. This
situation might occur along the section of wall that is below grade and on the opposite
side of the wall from the higher section. Some engineers use the passive pressure that
develops along this buried face as additional restraint to lateral movement.

Page 39
Figure 6.1 - Wall Movement
In order to develop the full active pressure or the full passive pressure, the wall has to
move. If the wall does not move a sufficient amount, then the full pressure will not
develop. If the full active pressure does not develop behind a wall, then the pressure will
be higher than the expected active pressure. Likewise, significant movement is necessary
to mobilize the full passive pressure. This is illustrated in Figure 6.2. Note that the at
rest condition is shown where the wall rotation is equal to 0, which is the condition for
zero lateral strain.
Figure 6.2 Effect of Wall Movement on Wall Pressure

[Ref: NAVFAC DM-7]
This figure shows that:
As the wall moves away from the soil backfill (left side of Figure 6.1), the active
condition develops and the lateral pressure against the wall decreases with wall
movement until the minimum active earth pressure force (Pa) is reached.

Page 40
As the wall moves toward (into) the soil backfill (right side of Figure 6.1), the
passive condition develops and the lateral pressure against the wall increases with
wall movement until the maximum passive earth pressure (Pp) is reached.
Thus the intensity of the active/passive horizontal pressure, which is a function of the
applicable earth pressure coefficient, depends on wall movement as the movement
controls the degree of shear strength mobilized in the surrounding soil.
6.3 Calculating Lateral Earth Pressure Coefficients
Lateral earth pressure is related to the vertical earth pressure by a coefficient termed the:
At Rest Earth Pressure Coefficient (Ko), or
Active Earth Pressure Coefficient (Ka), or
Passive Earth Pressure Coefficient (Kp)
The lateral earth pressure is equal to vertical earth pressure times the appropriate earth
pressure coefficient. There are published relationships, tables and charts for calculating
or selecting the appropriate earth pressure coefficient.
Since soil backfill is typically granular material such as sand, silty sand, or sand with
gravel, this section assumes that the backfill material against the wall is coarse-grained,
non-cohesive material. Thus, cohesive soil such as clay is not discussed. However, there
are many textbooks and other publications where this topic is fully discussed.
6.4 At Rest Coefficient
Depending upon whether the soil is loose sand, dense sand, normally consolidated clay or
over consolidated clay, there are published relationships that depend upon the soils
engineering values for calculating the at rest earth pressure coefficient. One common
earth pressure coefficient for the at rest condition used with granular soil is:
Ko = 1 sin() (6.1)
Where: Ko is the at rest earth pressure coefficient and is the soil friction value.
6.5 Active and Passive Earth Pressure Coefficients
When discussing active and passive lateral earth pressures, there are two relatively simple
classical theories (among others) that are widely used:
Rankine Earth Pressure

Page 41
Coulomb Earth Pressure
The Rankine Theory assumes:
There is no adhesion or friction between the wall and soil
Lateral pressure is limited to vertical walls
Failure (in the backfill) occurs as a sliding wedge along an assumed failure plane
defined by .
Lateral pressure varies linearly with depth and the resultant pressure is located
one-third of the height (H) above the base of the wall.
The resultant force is parallel to the backfill surface.
The Coulomb Theory is similar to Rankine except that:
There is friction between the wall and soil and takes this into account by using a
soil-wall friction angle of . Note that ranges from /2 to 2/3 and = 2/3 is
commonly used.
Lateral pressure is not limited to vertical walls.
The resultant force is not necessarily parallel to the backfill surface because of the
soil-wall friction value .
The general cases for calculating the earth pressure coefficients can also be found in
published expressions, tables and charts for the various conditions such as wall friction
and sloping backfill. The reader should obtain these coefficients for conditions other than
those discussed herein.
The Rankine active and passive earth pressure coefficients for the condition of a
horizontal backfill surface are calculated as follows:
(Active) Ka = (1 sin()) / (1 + sin()) (6.2)
(Passive) Kp = (1 + sin()) / (1 - sin()) (6.3)
Tabulated values based on Expression (6.2) and (6.3) are shown in Table 6.1 below.

Page 42
Table 6.1 Tabulated Values
(deg) Rankine Ka Rankine Kp

28 .361 2.77
30 .333 3.00
32 .313 3.19
The Coulomb active and passive earth pressure coefficients are more complicated
expressions that depend on the angle of the back of the wall, the soil-wall friction value
and the angle of backfill. Although the expressions are not shown, these values are
readily obtained in textbook tables or by programmed computers and calculators. Tables
6.2 and 6.3 show some tabulated values of the Coulomb active and passive earth pressure
coefficients for the specific case of a vertical back of wall angle and horizontal backfill
surface.
Table 6.2 - Coulomb Active Pressure Coefficient
(deg)
(deg) 0 5 10 15 20
28 .3610 .3448 .3330 .3251 .3203
30 .3333 .3189 .3085 .3014 .2973
32 .3073 .2945 .2853 .2791 .2755
Table 6.3 - Coulomb Passive Pressure Coefficient
(deg)
(deg) 0 5 10 15 20
30 3.000 3.506 4.143 4.977 6.105
35 3.690 4.390 5.310 6.854 8.324
Some points to consider are:
For the Coulomb case shown above with no soil-wall friction (i.e. = 0) and a
horizontal backfill surface, both the Coulomb and Rankine methods yield equal
results.
As the soil becomes stronger the friction value () increases. The active pressure
coefficient decreases resulting in a decrease in the active force, and the passive
pressure coefficient increases resulting in an increase in the passive force.
As the soil increases in strength (i.e. friction value increases), there is less
horizontal pressure on the wall in the active case.

Page 43
6.6 Calculating the Vertical Effective Overburden Pressure
The vertical effective overburden pressure is the effective weight of soil above the point
under consideration. The term effective means that the submerged unit weight of soil is
used when calculating the pressure below the groundwater level. For instance, assume
that a soil has a total unit weight () of 120 pcf and the groundwater level is 5 feet below
the ground surface. The vertical effective overburden pressure (v) at a depth of 10 feet
below the ground surface (i.e. 5 feet below the groundwater depth) is:
v = 5() + 5()
Where is the total unit weight of the soil and is the effective (or submerged) unit
weight of the soil which equals the total unit weight of soil minus the unit weight of
water (i.e. 62.4 pcf). Thus:
v = 5(120) + 5(120-62.4) = 888 psf
6.7 Calculating the Lateral Earth Pressure
There is a relationship between the vertical effective overburden pressure and the lateral
earth pressure. The lateral earth pressure () is:
a = Ka (v) Active lateral earth pressure (6.4)
p = Kp (v) Passive lateral earth pressure (6.5)
where (v) is the vertical effective overburden pressure.
If water pressure is allowed to build up behind a retaining wall, then the total pressure
and the resulting total force along the back of the wall are increased considerably.
Therefore, it is common for walls to be designed with adequate drainage to prevent water
from accumulating behind the wall. Thus, weepholes, lateral drains or blanket drains
along with granular soil (freely draining backfill) are commonly used behind retaining
walls. In the case of a drained condition, the total unit weight of soil () is used behind
the full height of the wall and there is no water pressure contribution.
An example of an earth pressure calculation using the Rankine active earth pressure
coefficient is shown later as Example 6.1. A similar calculation can be performed for the
Coulomb case by using the Coulomb earth pressure coefficient applicable to the case at
hand.
6.8 Calculating the Total Lateral Earth Pressure Force
The total lateral force is the area of the pressure diagram. In the simple example shown
later in this course, the area of the earth pressure diagram is the earth pressure at the

Page 44
bottom of the wall (KaH) times the height of the wall (H) times one-half (1/2), since the
pressure distribution increases linearly with depth creating a triangular shape. Thus the
total active earth pressure force (Pa) acting along the back of the wall is the area of the
pressure diagram expressed as:
Pa = Ka H2 (6.6.1)
The total passive earth pressure force is:
Pp = Kp H2 (6.6.2)
The total force acts along the back of the wall at a height of H/3 from the base of the
wall.
In more complicated cases, the earth pressure distribution diagram is drawn and the total
force is calculated by determining the area of the pressure diagram. The location of the
resultant force is also determined.
6.9 Other Forces Acting on the Wall
Aside from the earth pressure force acting on the wall, other forces might also act on the
wall. These forces include:
Surcharge load
Earthquake load
Water Pressure
6.10 Surcharge Load
A surcharge load results from forces that are applied along the surface of the backfill
behind the wall. These forces apply an additional lateral force on the back of the wall.
Surcharge pressures result from loads such as a line load, strip load, embankment load,
traffic (such as a parking lot), floor loads and temporary loads such as construction
traffic. Generally, elastic theory is used to determine the lateral pressure due to the
surcharge and these methods have been extensively published.
In the case of a uniform surcharge pressure (q) taken over a wide area behind the wall,
the lateral pressure due to the uniform surcharge is:
K()q (6.7)
Where K() is the applicable at rest active or passive pressure coefficient. The pressure
diagram behind the wall for a uniform surcharge is rectangular and acts at a height of H/2

Page 45
above the base of the wall. Thus, the additional lateral force (Ps) acting behind the wall
resulting from a uniform surcharge is the area of the rectangle, or:
Ps = K()qH (6.8)
Whether the total surcharge load is calculated from elastic theory or as shown in
Expression (6.8), the force (pressure) is superimposed onto the calculated lateral earth
pressure.
6.11 Earthquake Force
Additional lateral loads resulting from an earthquake are also superimposed onto the
lateral earth pressure where required. Publications such as AASHTO Standard
Specifications for Highway Bridges and other textbooks provide methods for calculating
the earthquake force.
6.12 Water Pressure
Walls are typically designed to prevent hydrostatic pressure from developing behind the
wall. Therefore the loads applied to most walls will not include water pressure. In cases
where water pressure might develop behind an undrained wall, the additional force
resulting from the water pressure must be superimposed onto the lateral earth pressure.
Since water pressure is equal in all directions (i.e. coefficient (K) = 1), the water pressure
distribution increases linearly with depth at a rate of wz where w is the unit weight of
water (62.4 pcf) and z is the depth below the groundwater level. If the surface of water
behind a 10-foot high wall (H) were located 5 feet (d) below the backfill surface, then the
superimposed total lateral force resulting from groundwater pressure would be:
W = (w)(H-d)2 = 780 pounds, which is the area of the linearly increasing

pressure distribution.
W acts at a height of (H-d)/3 (or 1.67-ft) above the base of the wall.
Note that the earth pressure would be calculated using the submerged unit weight
of soil below the groundwater level.
If seepage occurs, then the water pressure must be derived from seepage analysis, which
is outside the scope of this course.
6.13 Compaction
If heavy rollers are used to compact soil adjacent to walls, then high residual pressures
can develop against the wall. Although a reasonable amount of backfill compaction is
necessary, excess compaction should be avoided.

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6.14 Building Codes
Building codes also provide information related to earth pressure and calculating lateral
soil load. The topic Lateral Soil Loads is included in The BOCA National Building Code.
Lateral earth pressure acts to the side and is a function of the vertical effective soil
overburden pressure and the applicable earth pressure coefficient.
There are three categories of earth pressure; each dependant upon magnitude and
direction of wall movement. These categories are: At Rest, Active and Passive.
Two classical earth pressure theories in common use are Rankine and Coulomb.
In addition to earth pressure, other common superimposed lateral pressures result

from: surcharge, earthquake, and water.
The total lateral force equals the area of the pressure distribution along the back of
the wall.

Page 47
Example 6.1
Use the Rankine method to calculate the total active lateral force and location of the
forces behind a 10-foot high vertical wall. Assume that the soil has a total unit weight of
120 pcf and a friction value of 32 degrees. Assume that there is a uniform surcharge of
100 psf located along the surface behind the wall. Groundwater is well below the depth
of the foundation so that groundwater pressure does not develop behind the wall.
Wall
Ka = 1 sin (32) / 1 + sin (32) = 0.313 is the Active Earth pressure Coefficient
At bottom of wall (surcharge pressure) s = Ka (q) = 0.313(100) = 31.3 psf
At bottom of wall (active lateral earth pressure) pa = Ka () H = 0.313(120)(10) = 375.6

psf
Total Surcharge Force: Ps = Ka(q)H = 313 pounds and acts at a height of H/2 from the
base of the wall.
Total Earth Pressure Force: Pa = Ka () H2 = (0.313) (120) (10)2 = 1878 pounds and
act at a height of H/3 from the base of the wall.
Total Active Force = 1878 + 313 = 2191 pounds

Page 48
7.0 RETAINING WALLS
7.1 Introduction
Retaining walls are structures that support backfill and allow for a change of grade. For
instance, a retaining wall can be used to retain fill along a slope or it can be used to
support a cut into a slope.
Figure 7.1 Example of Retaining Walls
Retaining wall structures can be gravity type structures, semi-gravity type structures,
cantilever type structures, and counterfort type structures. Walls might be constructed
from materials such as fieldstone, reinforced concrete, gabions, reinforced earth, steel and
timber. Each of these walls must be designed to resist the external forces applied to the
wall from earth pressure, surcharge load, water, earthquake etc.
7.2 Calculating the Total Active Earth Pressure Force
The total lateral force is the area of the pressure diagram acting on the wall surface. The
examples in this section assume drained conditions and a homogeneous granular soil
backfill behind the wall, which results in a simple triangular distribution. Although this
is a common case, the pressure diagram can become more complicated depending upon
actual soil conditions that might have different values.
With the Coulomb method, the active force acts directly on the wall and friction develops
between the soil and wall. With the Rankine method however, wall friction is ignored
and the active force acts directly on a vertical face extending through the heel of the wall.
If the back of the wall were vertical, then the force acts on the wall. On the other hand, if
the back of the wall were sloping, then the force acts on the vertical soil plane as
illustrated in Figure 7.2.

Page 49
In the example shown later in this section, the area of the earth pressure diagram is the
earth pressure at the bottom of the wall (KaH) times the height of the wall (H) times
one-half (1/2) since the pressure distribution increases linearly with depth creating a
triangular shape. Thus the total active earth pressure force (Pa) acting along the back of
the wall is the area of the pressure diagram expressed as:
Pa = Ka H2 (7.1)
The total force acts along the back of the wall at a height of H/3 from the base of the
wall. So far we have not stated whether this is the Rankine or Coulomb Case. The
calculation for the active earth pressure force (Pa) is the same provided that the
appropriate earth pressure coefficient (Ka) is used. Selecting whether the Rankine
method or Coulomb method will be used is usually a matter of choice or convention.
The example shown in Figure 7.2 relates specifically to a wall supporting a horizontal
backfill. Thus the active earth pressure coefficient (Ka) can be derived directly from
Expression (6.2) or Table 6.1 shown in the previous section. For the case of a sloping
backfill and other wall geometries, the reader should refer to the published references.
This example assumes that a 9-foot high gravity type retaining structure supports soil
backfill having a total unit weight of 125 pcf. Groundwater is well below the structure
and the backfill material is freely draining. The backfill soil has an angle of internal
friction () of 32 degrees and the backfill surface behind the wall is horizontal. Both the
Rankine and Coulomb earth pressure forces are shown.
Note that the location and direction of the active forces follows the assumptions stated
above for the Rankine and Coulomb Theory. Although the back of the wall has an angle
of 80 degrees, the Rankine force acts along a vertical plane beginning at the heel of the
wall while the Coulomb force acts directly along the back of the wall. Since the Rankine
Theory assumes that there is no soil-wall friction, the force (Pa) is parallel to the backfill
surface. On the other hand, since the Coulomb Theory takes the soil-wall friction into
consideration, the force (Pa) acts at an angle of from the perpendicular to the wall. This
results in both a vertical and horizontal component of the force (Pa). The Rankine
method will also produce a vertical and horizontal component of the force (Pa) if the
backfill surface has a slope.
In each case, the resultant force Pa acts at a height of H/3 from the base of the wall where
H is the height of the wall for the simple case illustrated herein. If the pressure diagram
were more complicated due to differing soil conditions, for instance, then the location of
the force (Pa) will change. In all cases however, the resultant of the force (Pa) is located
at the centroid of the combined mass area.

Page 50
Ka = (1 sin ()) / (1 + sin ()) = 0.307
Pa = Ka H2 = (0.5)(0.307)(125)(92)
Pa = 1554.2 pounds
Ka = 0.3545 from Table 6.1 for conditions stated
Pa = Ka H2 = (0.5)(0.354)(125)(92)
Pa = 1792.1 pounds
Calculate horizontal and vertical components of

Pa where Pa acts 31.3 deg from the horizontal.
Pah = Pa cos (31.3) = 1531.3 pounds
Pav = Pa sin (31.3) = 931.0 pounds
Figure 7.2 - Calculation of Earth Pressure Force for a Homogeneous Cohesionless Backfill
7.3 Other Forces Acting on the Wall
Aside from the earth pressure force acting on wall, other forces might also act on the
wall. Although these forces are not discussed in this course, they might include:
Surcharge load
Earthquake load
Water Pressure
These additional forces would be superimposed onto the earth pressure force to yield the
total lateral force.
7.4 Factors of Safety
Retaining wall design is an iterative process. An initial geometry is assigned to the wall
and the appropriate forces are calculated. The actual forces are then checked using

Page 51
appropriate factors of safety and the geometry is revised until satisfactory factors of
safety are reached. There are common dimensions that are available that can be used as a
first cut.
7.5 Proportioning Walls
In order to achieve stability, retaining walls are usually proportioned so that the width of
the base (B) is equal to approximately 0.5 to 0.7 times the height of the wall (H). Thus, a
9-foot high wall would have a base approximately 4.5 feet to 6.3 feet wide which
provides a convenient starting point.
7.6 Sliding
A retaining structure has a tendency to move away from the backfill surface because of
the horizontal driving forces resulting from the soil backfill and other forces such as
surcharge. Generally, the wall resists sliding by the frictional resistance developed
between the foundation of the wall and foundation soil. Although other horizontal forces
act opposite to the driving force such as passive soil pressure in the fill in front of the
wall, it is often ignored.
The factor of safety with respect to sliding equals the resisting force divided by the
driving force as shown in Expression (7.2). A minimum factor of safety of 1.5 is
desirable to resist sliding assuming that passive resistance from any fill in front of the
wall is ignored. This is a common assumption and avoids relying on the presence of soil
in front of the wall for additional resistance.
FSs = V tan(k1) / Pah (7.2)
V is the total vertical force, Pah is the horizontal active earth pressure force and tan(k1)
is the coefficient of friction between the base of the wall and the soil. The factor k
ranges from to and 1 is the friction angle of the foundation soil. Friction factors
between dissimilar materials can also be found in publications such as NAVFAC Design
Manual 7.2. Expression (7.2) assumes that the soil below the wall is a cohesionless
material such as sand without any cohesive strength. Therefore, there is no additional
resistance due to cohesion.
7.7 Overturning
A retaining structure also has a tendency to rotate outward around the toe of the wall.
The moment resulting from the earth pressure force (as well as other lateral forces such
as surcharge) must be resisted by the moments resulting from the vertical forces produced
by the wall including any vertical component (Pav) of the earth pressure force. Thus, the
factor of safety with respect to overturning is the resisting moment divided by the
overturning moment as shown in Expression (7.3). A minimum factor of safety of 2 to 3
is desirable to resist overturning.

Page 52
FSo = Mr / Mo (7.3)
Where Mr is the sum of the resisting moments around the toe of the wall and Mo is the
sum of the overturning moments around the toe of the wall.
7.8 Bearing Capacity below Retaining Walls
As with any structure, the bearing capacity of the soil must be adequate to safely support
the structure. The ultimate bearing capacity of the foundation soil (qu) is calculated using
theoretical bearing capacity methods presented in textbooks and other published
resources.
The resultant of all forces acting along the base of the wall from earth pressure and the
weight of the wall results in a non-uniform pressure below the base of the wall with the
greatest pressure below the toe of the base and the least pressure below the heel of the
base.
The maximum and minimum pressures below the base of the wall (B) are:
qmax = (V / B) (1 + 6e / B) (7.4.1)
qmin = (V / B) (1 - 6e / B) (7.4.2)
Where e = eccentricity; e = (B / 2) - (r Mo) / V (7.5)
The factor of safety with respect to bearing capacity is shown in Expression (7.6).
Generally, a factor of safety of 3 is required.
FSbc = qu / qmax (7.6)
Eccentricity is an important consideration when proportioning the walls. Consider the

eccentricity (e) in relationship to the minimum pressure (qmin). Substituting for (e) in
Expression (7.4.2):
If e = B / 6 then qmin = (V / B) (1 - 6e / B) = 0 (7.7.1)
If e < B / 6 then qmin = (V / B) (1 - 6e / B) > 0 (7.7.2)
If e > B / 6 then qmin = (V / B) (1 - 6e / B) < 0 (7.7.3)
Expressions (7.7.1) and (7.7.2) give acceptable results since the pressure at the heel is
zero or greater (positive). Thus the entire base lies in contact with the soil. If Expression
(7.7.3) was true, then the pressure at the heel is negative indicating the heel of the base is

Page 53
tending toward lifting off the soil, which is unacceptable. If this condition occurs, then
the wall must be re-proportioned.
7.9 Other Considerations
Before a wall design is complete, the settlement of the wall and the global stability of the
entire mass on which the wall is supported must be checked. Settlement must lie within
tolerable ranges and global stability, such as from slope stability calculations, must be
adequate.
The Rankine and Coulomb methods are commonly used to calculate the active
earth pressure force. The discussion in this course is limited to granular
(cohesionless) backfill soil, which is a typical condition relating to retaining
walls.
The active earth pressure force (Pa) is a function of the earth pressure coefficient
(Ka), the unit weight of the soil and the height of the wall.
Wall movement must occur in order to develop the full active earth pressure
force.
Other lateral forces are superimposed on the lateral earth pressure force to derive
the total lateral force.
Retaining wall design is iterative and seeks to provide wall geometry that
produces suitable factors of safety for sliding, overturning and bearing capacity.
Retaining walls must also be checked for tolerable settlement and global stability
Example 7.1
The following example illustrates the discussion presented in this section.
Using the Rankine method of analysis, calculate the factors of safety with respect to
sliding, overturning and bearing capacity. Use the values presented in the following
Table 7.1 and refer to the figure below. It is inferred that all calculations relate to a unit
length of wall.

Page 54
Table 7.1
Friction angle of soil backfill () 32 degrees

Soil Backfill Unit Weight () 125 pcf
Friction angle of the foundation soil (1) 33 degrees
Rankine active pressure coefficient (Ka) 0.307
Concrete Unit Weight (c) 150 pcf
Dimensions of the concrete wall section 1 1-ft by 8-ft
Dimensions of the soil backfill section 2 4-ft by 8-ft
Dimensions of the concrete wall section 3 6-ft by 1-ft
Since Pa is horizontal, there is no vertical component of the force. If the backfill surface
was sloping, then Pa would slope at an angle parallel to the backfill slope. In this case
there would be both a vertical and horizontal component of Pa. The lateral thrust would
be the horizontal component and the vertical component would be an additional vertical
force included in V.
Calculate the values shown in Table 7.2. The dimensions for Area relate to each of the
three sections identified in the above figure. The unit weight () is provided for the
concrete wall and soil backfill over the base of the wall. W is the weight of each section
and it acts at the centroid of the mass area as shown in the figure above. The value m

Page 55
is the moment arm measured from the toe to the location of the individual W values. M
is the resisting moment for each of the individual areas.
Table 7.2 Table of Values
Section Area (sf) (pcf) W (lbs) m (ft) M (ft-lb)

1 1x8 150 1200 1.5 1800
2 4x8 125 4000 4 16000
3 6x1 150 900 3 2700
V = 6100 Mr = 20500
Pa = Ka H2 = (0.5) (0.307) (125) (81) = 1554.2 lbs
Mo = Pa (h) = (1554.2) (3) = 4662.6 ft-lbs
Overturning: Fso = Mr / Mo = 20500 / 4662.6 = 4.4 > 2 OK
Sliding: FSs = V tan(k1) / Pah = (6100) tan (22) / 1554.2 = 1.58 > 1.5 OK
Where k = 2/3
Bearing Capacity:
Assume that the ultimate bearing capacity of the foundation soil is 5000 psf.
e = (B / 2) - (r Mo) / V = (6 / 2) (20500 4662.6) / 6100 = 0.4 (i.e. e < B / 6)
qmax = (V / B) (1 + 6e / B) = (6100 / 6) ( 1 + 2.4 / 6) = (1016.6) (1.4) = 1423.4 psf
qmin = (V / B) (1 - 6e / B) = (6100 / 6) ( 1 - 2.4 / 6) = (1016.6) (.6) = 610 psf (i.e. base

of wall is in full soil contact)
FSbc = qu / qmax = 5000 / 1423.4 = 3.5 > 3.0 OK

Page 56
Example 7.2
For low retaining walls, a solution using the equivalent fluid pressure might be
satisfactory and obtained from a graphical solution. The equivalent fluid pressure is
derived from Figure 7.3 and requires knowledge of the soil backfill. This figure is
presented for illustration only and the reader should refer to the referenced publication for
details.
Figure 7.3 Design Loads for Low Retaining Walls

[Ref: NAVFAC DM 7.2]

Page 57
8.0 PILE FOUNDATIONS
8.1 Introduction
When the depth to acceptable bearing material lies deep, then deep foundations can be
used to support structures. Deep foundations will be used when it becomes more
economical to use them rather than lower the footings or remove and replace the
unsuitable bearing material. This is a generalization and there might be other factors to
consider.
Deep foundations, such as piles, are structural members that carry the design loads
through unsuitable soil so that the foundations bear on underlying soil capable of
supporting the required load. Piles are long, slender structural members typically
constructed of timber, steel, concrete or a combination of steel and concrete. Piles are
installed by driving or drilling the member to a required depth or resistance.
Photograph 8.1 - Drilling to Install a Small Diameter Grouted Pile
8.2 Piles
8.2.1 Types of Piles
Piles come in various shapes and are formed out of various materials. Common pile
types are presented below. The information is for guidance and there can be
circumstances where the length or load will lie outside the range given.

Page 58
Timber Pile
Timber piles are a low capacity pile usually limited to a load of 35 tons. The piling
material consists of Southern Yellow Pine or Douglas Fir. Timber piles are considered
for lengths between 30 feet to 60 feet. The piles are vulnerable to decay unless they are
kept below groundwater or treated, and they can be damaged in hard driving.
Steel H Section Pile
Steel H piles are high strength piles considered for loads ranging between 40 tons to 120
tons. The capacity is reduced to allow for corrosion. The piles are generally driven to
lengths ranging from 40 feet to 100 feet. They are a low displacement pile and are easily
handled, spliced and cut off.
Pipe Pile
Steel pipe piles can be driven open ended or closed ended. These piles are commonly
filled with concrete although they can be left unfilled. In some cases, concrete filled piles
can achieve a working load capacity of 500 tons using an H pile core. Typically this pile
is considered for loads ranging between 80 tons to 120 tons without H pile cores. The pile
is a displacement pile, unlike the steel H pile. Corrosion is also a consideration.
Precast Prestressed Concrete Pile
Precast piles are most often prestressed to withstand handling and driving stresses. The
piles can reach a capacity of 250 tons and typically the length of pile ranges between 60
feet to 100 feet for the prestressed section. The pile is a displacement pile and splicing is
difficult.
Cast-in-Place Mandrel-Driven Pile
Mandrel-driven piles are thin steel shells driven into the ground with a mandrel and then
filled with concrete. The pile is driven from the bottom and the steel casing is pulled
along. The length of pile is limited by the length of the mandrel and typically in the
range of 50 feet to 80 feet. The mandrel-driven pile can achieve a load capacity of up to
100 tons. The pile is a displacement pile.
Pressure Injected Footing
Pressure injected footings (PIFs) are a cast-in-place concrete pile formed by driving a
steel casing fitted with a dry concrete plug. At the required pile depth the plug is ejected
from the casing by additional driving thus forming a concrete bulb. The casing is
withdrawn and a thin steel shell filled with concrete extends from the bulb to pile cut off
to form the shaft of the pile. PIFs typically range from 10 feet to 60 feet long and support
loads ranging from approximately 60 tons to 120 tons.

Page 59
Helical Pier
Helical piers are a proprietary item that consists of steel helical plates fitted on a lead
section steel shaft. The lead section is screwed into the ground until it achieves a design
torque which equates with ultimate bearing capacity. As the lead section advances,
additional steel extensions are fastened to achieve depth. Under certain circumstances,
according to the manufacturer, the pier can achieve high capacity.
Small Diameter Grouted Pile
Small diameter grouted piles are a low displacement pile installed by drilling to a
specified depth and filling the hole with grout. A steel section such as reinforcing steel is
inserted in the grout and extends from the tip of the pile to cut off. The typical diameter
of this pile ranges from 6 inches to 10 inches. Like the helical pier, the pile is installed
by drilling rather than driving.
8.2.2 Point Bearing and Friction Piles
Piles can derive their support through a combination of end-bearing and friction (Figure
8.1a), end bearing (Figure 8.1b) or friction (Figure 8.1c). End bearing piles derive most
if not all of their support at the tip of the pile if the pile is driven to bedrock or bear
several feet into a strong soil layer. Friction piles derive most if not all of their support
from the friction or adhesion between the pile and the material surrounding the shaft of
the pile.
Often any contribution to load derived by the weak soil surrounding the shaft is ignored
especially if the material is peat or organic silt. However, it is assumed that the weak soil
shown surrounding the friction pile is capable of developing the required capacity. The
ultimate load capacity of the pile is Qu.
Figure 8.1 Pile Capacity

Page 60
8.2.3 Pile Capacity
The allowable capacity of a pile is based on two factors:
Structural considerations - the allowable capacity of the structural member.
Geotechnical considerations - the allowable capacity of the bearing material (i.e.

soil, rock)
Structural Capacity of Piles
The structural capacity of a pile is determined by applying the applicable allowable stress
of the material to the applicable area of the material as shown in Table 8.1.
Table 8.1
Steel Pile: Qall = (As)(fs)
Cased Concrete Pile: Qall = (As)(fs) + (Ac)(fc)
Uncased Concrete Pile: Qall = (Ac)(fc)
Timber Pile: Qall = (Ap)(fw)
Where:
Table 8.2
Qall = Allowable structural capacity
As = Area of cross section of steel
Ac = Area of cross section of concrete
Ap = Average area of cross section of timber
fs = Allowable stress of steel
fc = Allowable stress of concrete
fw = Allowable stress of timber

Page 61
Geotechnical Capacity of Piles
In the simplest of terms, the ultimate load-carrying capacity of a pile (Qu) is the sum of
the point resistance (Qp) plus the skin friction derived from the soil-pile interface (Qs).
Qu = Qp + Qs (8.1)
There are a number of different published methods for estimating the values of Qp and
Qs and it is beyond the scope of this text to provide a discussion. The reader is
encouraged to consult one of the many text books and other publications for additional
detailed information. However, the following rudimentary information is provided.
The point resistance of a pile is similar to the capacity of a shallow footing except that the
pile extends much deeper. The ultimate resistance can be expressed in a form similar to
the form used for footings although changes will be made for the value of the bearing
capacity factors Nc and Nq. Since the width of a pile B is relatively small, the term
gBNg is dropped without serious error. Therefore, the unit point resistance of a pile is:
qtip = cNc* + qNq* (8.2)
The pile resistance at the tip (bottom of the pile) is:
Qp = Atip (cNc* + qNq*) (8.3)
The skin resistance of the pile is the area of the pile shaft times the unit skin resistance.
Qs = (p)(L)f (8.4)
Where:
p= perimeter of the pile section

L = incremental pile length over which p and f are taken as constant
f= unit shaft resistance at any depth
Depending upon specific loading conditions, piles might also be required to resist uplift
(tension) loads and lateral loads. Design procedures are available for estimating the uplift
and lateral capacity of piles.
Again it is emphasized that this course presents a simplified discussion. Important factors
to consider include the following:
The point bearing capacity of pile in sand increases with depth of embedment in
the bearing stratum but reaches a maximum value at a critical embedment.

Page 62
The unit frictional resistance in sand is difficult to estimate. The value increases
with depth but then remains constant after reaching a critical depth.
The type of pile (displacement, non-displacement) and installation methods

(jetted, driven) affect the unit skin friction value.
The skin resistance of piles in clay is also difficult to estimate.
8.2.4 Pile Settlement
The settlement of a pile under a vertical working load is the sum of three individual
components. These components include the elastic movement of the pile (Se), the
settlement of the pile caused by the load at the tip (St), and the settlement of the pile
caused by the load transmitted along the pile shaft (Ss).
Thus the total expected pile settlement (S) is:
S = Se + St +Ss (8.5)
Theoretical methods are available to calculate these terms.
Settlement is calculated for both individual piles and for pile groups. Although structural
elements (columns) can be supported by a single pile, they are most commonly supported
by a group of piles incorporated in a single pile cap.
8.2.5 Static Pile Load Test
Often a pile load test is conducted to prove the capacity of the pile. The reason for the
proof lies in the unreliability of the prediction methods. Building Codes will state
whether a load test is required for a selected pile and provide the criteria for establishing
the allowable load based on the load test.
An axial load test should conform to the procedures outlined in ASTM D1143. Tests can
be conducted to prove the compression capacity, tension capacity and lateral capacity of a
pile. In a pile load test, constantly increasing loads are applied to the pile as prescribed in
the applicable standard procedures. As the load increases, pile movement is measured
and recorded at the butt (top) end of the pile and each increment of load is allowed to
remain on the pile for a specified length of time. In some cases, telltales are used to
measure movement at the tip of the pile.
At the completion of the test, the pile is unloaded in specific increments and the net
settlement of the pile after the entire load has been removed is measured and recorded.
The information is presented in the form of a plot of load vs. settlement. The engineer
will use this information to verify the load capacity of the pile.

Page 63
8.2.6 Dynamic Testing
A Pile Driving Analyzer provides a general indication of pile capacity. It measures the
hammer and cushion performance and pile stresses during driving from measurements of
applied force and acceleration at the pile head. The Analyzer is helpful for establishing
the pile driving criterion and can provide quality control when used in combination with a
static pile load test.
The Pile Driving Analyzer can also be used in conjunction with theoretical predictions of
pile capacity when a pile load test is not economically justified. The instrument can also
be used to evaluate the driving hammer efficiency and to evaluate or detect damaged
piles.

Page 64
9.0 DRILLED SHAFTS
Drilled shafts are also referred to as caissons or piers or drilled piers. Drilled shafts
typically have a diameter greater than 2.5 feet. Drilled shafts are installed by drilling a
hole of the required diameter to the required depth and filling the excavation with
concrete. Drilled shafts can have a straight shaft for the entire length or the bottom can
be belled to enlarge the base and increase the bearing area.
Drilled shafts are classified as straight shafts or belled shafts. A straight shaft is a shaft
that extends nearly at a constant diameter from the cut off end to the tip. In reality
however, the shaft might taper inward slightly because of the way they are installed
especially if they are deep. To reach depth progressively smaller diameter shafts are
inserted in the upper shaft in a telescope fashion. The bearing surface at the tip of the
shaft is the same diameter as the diameter of the last shaft section.
On the other hand, belled shafts have an enlarged base. The final shaft length is undercut
to form an enlarged base which increases the bearing area of the tip. The success of the
bell depends on the type of material in which the bell is cut. Clay is a suitable material
because its cohesive strength will support the formation of a bell. Sand on the other hand,
or material with sand lenses are poor materials because the bell is likely to collapse.
9.1 Geotechnical Capacity of Drilled Shafts
Methods to estimate the geotechnical capacity of a drilled shaft are similar to the methods
described in Section 8.2.3 for piles. The ultimate load-carrying capacity of a drilled shaft
(Qu) is the sum of the point resistance (Qp) plus the skin friction derived from the soil-
pile interface (Qs).
Qu = Qp + Qs (9.1)
Procedures are available to determine the load carrying capacity of drilled shafts
supported by various materials, such as sand, clay and rock, and to determine the
expected settlement.
The net capacity of the pier at the base Qp(net) is determined by subtracting the effective
stress at the base due to the weight of soil. An appropriate factor of safety is applied to
the net ultimate load to obtain the net allowable load carrying capacity of the drilled
shaft.
Qall(net) = (Qp(net) + Qs) / FS (9.2)
The drilled shaft must also be capable of supporting the applied load through the
structural strength of the concrete shaft. Depending upon specific loading conditions,
drilled shafts must resist uplift (tension) loads and lateral loads. Design procedures are
available for estimating the uplift and lateral capacity of drilled shafts.

Page 65
Figure 9.1 Drilled Shaft Capacity
9.2 Settlement of Drilled Shafts
Like other foundation systems, drilled shafts must also be assessed for the magnitude of
settlement under the design load.

Page 66
10.0 COMPACTED FILL
10.1 Introduction
Often structures are supported on compacted fill. Typically, unsuitable material can be
removed from below a structure and replaced with compacted fill to support the structure.
The structure can also be built to a new grade using compacted fill. In order for the
structure to perform in a satisfactory manner, the fill must be placed and compacted to a
specified standard. A standard commonly used is the degree or percent compaction
although relative density is also used.
10.2 Percent Compaction
Percent compaction is a measure of the density (unit weight) of soil in place after it has
been compacted to a standardized theoretical maximum density determined by laboratory
methods. There are several ways of measuring the in-place density of soil in the field as
defined by the American Society for Testing and Materials (ASTM). Methods such as
the nuclear density gage (ASTM D2922), sand cone (ASTM D1556) and balloon (ASTM
D2167) are available. The nuclear density gage is quite common today followed by the
sand cone. The balloon method is seldom used. Using one of the specified methods, it is
possible to determine the in-place density of the compacted soil.
Since the soil is almost always moist, the in-place density (unit weight) which has
moisture in the voids is converted to dry density. This eliminates the weight variable
related to moisture and expresses the density in terms of the weight of solids (Ws). The
dry unity weight is calculated by determining the weight of solids which were extracted
from a hole having a volume (V). The in-place density expressed in terms of dry unit
weight becomes the numerator in the calculation for percent compaction.
The denominator is derived in the laboratory using a sample of the same soil that was
placed as fill. Methods such as Standard Proctor (ASTM D698) or Modified Proctor
(ASTM D1557) are used to determine the theoretical maximum dry density of the soil
material. Note that the dry density is used to avoid the variability in unit weight resulting
from moisture. The term theoretical is used because the density is determined in the
laboratory based on using a specific amount of energy to compact the material.
The Standard Proctor Test was developed to duplicate in the laboratory, as nearly as
possible, the results that could be obtained by compaction equipment working in the
1930s. Since then, compaction equipment has improved and it was possible to achieve
higher dry unit weights. For this reason, the modified test was developed in response to
the higher compactive efforts being achieved.
The energy used to compact the soil in the laboratory is based on dropping a 5.5-pound
weight 12 inches (ASTM D698) or 10-pound weight 18 inches (ASTM D1557) a
specified number of times on each layer of soil placed in a standard mold. For instance,

Page 67
the maximum dry density can be determined using ASTM D1557 Method C when 5
equal height layers of soil are placed in a 6-inch diameter mold and each layer is
compacted by making 56 hammer drops of a 10-pound weight falling 18 inches from the
surface of the specimen. The result is that the soil has been compacted using a specific
amount of energy from the falling weight.
In the field, the energy is applied by the compactor. If the contractor is so inclined, he can
vary lift thicknesses and the number of passes made over a lift of soil. Depending upon
circumstances, this can result in more energy being applied to compact the soil in the
field than applied in the laboratory to determine the theoretical maximum dry density.
In this case, when the soil is over-compacted in the field, the resulting degree or percent
compaction can be greater than 100 percent. Therefore, it is possible to achieve greater
than 100 percent compaction although the results might seem strange.
10.3 Observation and Testing Compacted Fill
Geotechnical engineers are often called upon to provide construction observation and
testing. Aside from observing and logging the installation of pile and drilled pier
foundations, the engineer has also been requested to provide observation and testing
services on compacted fill. The purpose of these services is to verify that the contractor
is supplying material that meets the gradation requirements and that the required degree
of compaction has been attained. If the compaction test results are low or the material
characteristics change considerably, then the contractor is advised and remedial measures
are taken.
On many projects involving compacted fill, the engineer or testing agency is requested to
visit the site only after the lift of soil has been placed and compacted. As a practical
matter, particularly on large earthwork projects where buildings are constructed on
compacted fill, many lifts of fill can be placed and compacted before the engineer arrives.
Testing is done at selected locations and the degree of compaction is reported for each of
these areas tested. The success of the fill and compactive effort is determined by a few
tests. But what about the material lying between the test locations? Normally, it is
assumed that the material lying between the test locations is as good as the material at the
test location.
What if one or two tests fail the compaction criterion? Does this mean that the entire fill
lying between the test locations is also unsatisfactory? Normally, these problem areas are
recompacted and retested until they pass the compaction criterion. When there is no
qualified engineer on site to witness the placement and compaction of the fill, these
questions can remain unanswered. An experienced engineer's participation on site on a
daily basis can provide these answers. The qualified engineer can observe the placement
and compaction of the fill and can witness how the material reacts when compacted. The
engineer can verify that the fill was placed over properly prepared subgrade, that the fill
was placed in the correct thickness, that the fill material meets the specifications, and that
sufficient moisture content and compactive effort was achieved.

Page 68
11.0 ARRIVING AT ACCEPTABLE SOLUTIONS
For a moment, consider that the deformation of a steel member under a compressive load
is equivalent to the settlement of a foundation under its design load. Calculating the
deformation of short sections of steel under an applied load is relatively straightforward
and depends upon the applied load, area of the section, original length of the member and
the elastic modulus of steel. All of these variables are easily acquired and require no
interpretation.
On the other hand, calculating the theoretical settlement of foundations requires a great
deal of interpretation and judgment. Factors such as the complexity of the soil profile,
the engineering properties of the soil itself, the previous load history of the soil and the
variation in groundwater level all play an important role in the outcome.
Is it strange then that geotechnical engineers can arrive at a different set of equally
correct solutions to a problem even if they are given identical information? Since
judgment is required along virtually every step of geotechnical design, differences in
experience, judgment and methods of analysis can affect the conclusion. Soil properties
are not specified and the engineer must develop the soil properties by explorations,
testing and using the engineers own experience and judgment. Since it is unlikely that
anyone would have all of the information associated with a site, the engineer is faced
with choosing simple models based on the limited data that is economically feasible to
retrieve in order to predict the outcome.
An interesting study was undertaken in 1988 by Thomas F. Wolff to explore how

judgment plays a role in geotechnical engineering design. In this study, a group of
experienced practitioners and students were asked to design a shallow foundation (i.e.
specify the size of footing required to carry the specified load but not exceed tolerable
limits of settlement). Each participant was given identical information regarding loads
and subsurface conditions. It was up to each participant to study the data and select
appropriate values and methods to derive their conclusion.
The results of the study showed wide variability in the geotechnical values selected. In
addition, interesting information was revealed about how the participants formulated their
conclusions regarding values that were derived from the same set of subsurface
information. Among the findings:
1. N-values, derived from the soil test boring logs, resulted in a range of values used
in design. Participants selected values that ranged from 14 blows per foot to 26
blows per foot.
2. The soil friction angle selected by the participants ranged from 30 degrees to 35
degrees. However, no designer used a friction angle greater than 35 degrees even
when correlations suggested a greater value.
3. Practitioners tend to be more conservative than students.

Page 69
The study also showed that the participants recommended a wide range of footing sizes
for design. The recommended footings ranged from 5 feet to 9.75 feet wide to support
the same given load. The results reflect many factors such as interpretation and selection
of soil values, methods of analysis and the participants experience. Although this study
was presented for shallow spread footings, there are likely to be similar results for other
aspects of geotechnical engineering such as deep foundations. The important facts are
that since there is no clearly defined universal set of values and equations used by all
practitioners, it would not be unusual for the calculated results to vary among
practitioners even when given the same set of subsurface conditions.

Page 70
12.0 MEANS AND METHODS
There have certainly been many advancements and solutions directed toward building on
less desirable sites. Along with the need comes the solution as many methods have been
developed to handle different situations. Many are based on a choice with economics as a
principle guiding factor. Searching the internet will reveal many examples.
Walls for instance, or methods to resist lateral forces have evolved from a pile of stones
to timber retaining walls, cast-in-place retaining walls, gabion retaining walls and other
unique modular products, mechanically stabilized walls, anchors and soil nailing to
mention a few. Traditional methods for working on sites underlain by undesirable
material have evolved from removing and replacing the material or using deep
foundations to pass through the material to a combination of solutions or using
proprietary methods to stabilize the unsuitable material. Construction of steep slopes is
possible through the use of geotextile fabrics and reinforced earth.
As new challenges emerge, the geotechnical engineer and the geotechnical specialty
contractor are ready to develop solutions.

Page 71
APPENDIX A
REFERENCES
Bearing Capacity of Soils, Technical Engineering and Design Guides, As Adapted from
The US Army Corps Of Engineers, No. 7, American Society of Civil Engineers, New
York, NY, 1993.
Carter, M and Bentley, S. P., Correlations of Soil Properties, Pentech Press, London,
1991.
Craig, R.F., "Soil Mechanics, Sixth Edition", E & FN Spon, London, UK, 1997.
Das, Braja M., Principles of Foundation Engineering, Third Edition," PWS Publishing
Company, Boston, MA, 1995.
Department of the Navy, NAVFAC, DM-7, May 1982.
Design of Pile Foundations, Technical Engineering and Design Guides" As Adapted

From the US Army Corps Of Engineers, No. 1, American Society of Civil Engineers,
New York, NY, 1993.
Duncan, J. Michael, Factors of Safety and Reliability in Geotechnical Engineering.

Journal of Geotechnical Engineering and GeoEnvironmental Engineering; ASCE
Vol. 126 No. 4; April 2000; pp 307-316
Foundation Engineering Handbook, 2nd Edition, Fang, Hsai-Yang (editor), Chapman &
Hall, New York, NY, 1990.
Gibbens, J.B., and Briaud, J.L., Predicted and Measured Behavior of Five Spread
Footings On Sand, Results of a Prediction Symposium Sponsored by the FHWA,
Geotechnical Special Publication No. 41, ASCE, 1994.
Introduction to Probability and Reliability Methods for Use in Geotechnical Engineering,

USACE, Technical Letter No. 1110-2-547, 30 September 1997.
Settlement Analysis, Technical Engineering and Design Guides" As Adapted From the
US Army Corps Of Engineers, No. 9, American Society of Civil Engineers, New York,
NY, 1994.
Sowers, G. B. and Sowers, G. F., Introductory Soil mechanics and Foundations, Third
Edition, The Macmillan Company, New York, 1970.
Weber, Richard P., Personal Notes

Page 72
Wolff, Thomas F, Geotechnical Judgment in Foundation Design; Foundation
Engineering; Current Principles and Practice, Vol. 2; ASCE" Evanston, IL, June 25-29,
1989, ASCE, New York, NY, pp 903 917.
APPENDIX B
DISCLAIMER
The material presented in this publication is intended only for general familiarization
with the subject matter and for educational purposes. The course does not cover all
aspects of the subject. Use of this material in any manner whatsoever shall only be done
with competent professional assistance. The author provides no expressed or implied
warranty that this material is suitable for any specific purpose or project and shall not be
liable for any damages including but not limited to direct, indirect, incidental, punitive
and consequential damages alleged from the use of this material. This communication is
not intended to, and shall not be construed as, providing professional engineering in any
jurisdiction.

Page 73

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Basic Geotechnical Engineering

Course No: G07-003

Continuing Education and Development, Inc.

Buildings and Bridges and Retaining Walls

3.0 SOIL PROPERTIES

4.0 BEARING CAPACITY OF SHALLOW FOOTINGS

5.0 SETTLEMENT OF SHALLOW FOOTINGS

6.0 LATERAL EARTH PRESSURE

7.0 RETAINING WALLS

8.0 DEEP FOUNDATIONS

9.0 DRILLED SHAFTS

10.0 COMPACTED FILL

11.0 ARRIVING AT ACCEPTABLE SOLUTIONS

12.0 MEANS AND METHODS

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Photograph 1.1 - Foundations for a Medieval Era Cathedral

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Soil test borings with standard penetration testing.

Cone penetrometer soundings with cone penetration testing.

Test pit excavations.

More discussion on these topics is provided in Sections 2.3 to 2.5.

Basic Geotechnical Engineering for Non-Geotechnical Engineers

The geotechnical engineer is interested primarily in two pieces of information derived

Characteristics of the material encountered, including groundwater.

Engineering properties of the material and calculated values.

The type of material encountered is important because it provides an indication of how

Basic Geotechnical Engineering for Non-Geotechnical Engineers

2.2 Geologic Profile

In short, the purpose of the exploration program is to provide sufficient site-specific

Figure 2.2 - Geologic Profile

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Photograph 2.1 Test Pit Excavation

Often a subsurface exploration program is taken at locations around the perimeter of a

Basic Geotechnical Engineering for Non-Geotechnical Engineers

2.4 Soil Test Borings

Photograph 2.2 Standard Penetration Test

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Basic Geotechnical Engineering for Non-Geotechnical Engineers

The Standard Penetration Resistance (N) determined by blow counts, especially in

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Photograph 2.3 Soil Test Boring

2.5 Cone Penetrometer

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Figure 2.4 Example of Correlation

The discussion in the previous section related to interpreting subsurface conditions

2.6 Depth of Explorations

Basic Geotechnical Engineering for Non-Geotechnical Engineers

Basic Geotechnical Engineering for Non-Geotechnical Engineers

3.2 Weight-Volume Relationship

From the diagram shown in Figure 3.1a, it is evident that:

Basic Geotechnical Engineering for Non-Geotechnical Engineers

The following definitions apply to soil.

3.2.1 Void Ratio

Basic Geotechnical Engineering for Non-Geotechnical Engineers

3.2.3 Degree of Saturation

Degree of Saturation (S) = (Vw / Vv) * 100 (3.3)

3.2.4 Water Content

Water Content (Wc) = (Ww / Ws) * 100 (3.4)

3.2.5 Total Unit Weight