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 Civil Engineering 2021
7th Issue
Journal (ISSN: 2476-3055) www.CivileJournal.org

Contents Vol. 7, No. 07, July, 2021

 Page 1098-1111

Stability and Deformation Analysis of Landslide under Coupling Effect of Rainfall and Reservoir Drawdown

Muhammad Shoaib, Wang Yang, Yang Liang, Gohar Rehman

 Page 1112-1124

Seismic Fragility Curves for Performance of Semi-rigid Connections of Steel Frames

Mohamed Saadi, Djarir Yahiaoui, Noureddine Lahbari, Bouzid Tayeb

 Page 1125-1135

The Cognition Role to Understanding Planning and Architectural Production

Ahmed S. Al-Khafaji, Nadia A. Al-Salam, Tuqa R. Alrobaee

 Page 1136-1155

Strengthening of Edge and Corner Columns using Concrete Jackets

Mahmoud Eid Nasr, Mohamed Nour Fayed, Hisham Ahmed El-Arabaty, Mohamed Al-Azzouny

 Page 1156-1168

Structural Equation Modelling (SEM) Approach On Inappropriate Construction Equipment Delay Factors

B. Indhu, K. Yogeswari

 Page 1169-1182

Mechanical Behavior of Concrete Reinforced with Waste Aluminium Strips

Imran Ali Channa, Abdullah Saand

 Page 1183-1202

Factors Affecting Traffic Accidents Density on Selected Multilane Rural Highways

Amjad H. Al-Bayati, Ahmad S. Shakoree, Zahraa A. Ramadan

 Page 1203-1221

Comparative Analytical Study on Crack Width of Reinforced Concrete Structures

Ahmed A. Abu El Naas, Hany M. El Hashimy, Khaled F. El Kashif

 Page 1222-1234

Optimization of Cellular Concrete Formulation with Aluminum Waste and Mineral Additions

Mohammed Salah Bouglada, Noui Ammar, Belagraa Larbi

 Page 1235-1243

Bond Coefficient kb of Concrete Beams Reinforced with GFRP, CFRP, and Steel Bars

Naser Kabashi, Arber Kepuska, Enes Krasniqi, Besart Avdyli

 Civil Engineering 2021
7th Issue
Journal (ISSN: 2476-3055) www.CivileJournal.org

Contents Vol. 7, No. 07, July, 2021

 Page 1244-1263

Bearing Capacity of Interfered Adjacent Strip Footings on Granular Bed Overlying Soft Clay: An Analytical
Approach

R. Shivashankar, S. Anaswara

 Page 1264-1274

Optimizing Mixtures of Alkali Aluminosilicate Cement Based on Ternary By-Products

Hoang Vinh Long

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 Available online at www.CivileJournal.org

Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Stability and Deformation Analysis of Landslide under Coupling

Effect of Rainfall and Reservoir Drawdown

Muhammad Shoaib 1, Wang Yang 1*, Yang Liang 1, Gohar Rehman 2

1
Faculty of Engineering, China University of Geosciences, 430074, Wuhan, Hubei, China.
2
School of Geosciences, College of Construction Engineering, Jilin University, 130026, Changchun, Jilin, China.

Received 10 April 2021; Revised 03 June 2021; Accepted 23 June 2021; Published 01 July 2021

Abstract
Landslides, a devastating hazard, continue to happen, affecting the lives of thousands of people each year. Fluctuation in
the Reservoir Water Level (FRWL) is one of the leading features disturbing the slope stability in reservoir areas, drawdown
is more crucial than the rise to the stability of landslide. Latest studies grounded on field investigation and monitoring data
propose that landslides in reservoir areas are initiated not solely by one issue like precipitation or FRWL, however
conjointly by their joint actions. Zhulinwan landslide in Chongqing, China, Three Gorges Reservoir (TGR) area was
analyzed by field investigation and numerical modelling to evaluate the characteristics of the landslide. The changes in
landslide stability and deformation under the effect of reservoir drawdown and rainfall is analyzed using GEOSLOPE
Software. The seepage analysis is done using SEEP W Model, afterward deformation and stability analysis using SLOPE
W and SIGMA W respectively. The analysis confirmed that the coupling effect of reservoir drawdown at 1.2 m/d and
rainstorm of once in 50 years return period makes the landslide unstable. Moreover, deformation at the same condition is
maximum 0.049 m. The findings may be used by local authorities to help make decisions about slope stabilization in the
event of a confirmed significant rainfall event.
Keywords: Landslide; Geoslope; Stability; Deformation; Reservoir Drawdown; Rainstorm.

1. Introduction
The Three Gorges Dam Project is the world`s largest hydropower project. Many slopes became unstable and
landslides happened in June 2003 when the reservoir level rose to 135 m [1]. After its completion in 2009, the reservoir
water level fluctuates sporadically between 145 m and 175 m. In reservoir area more than 2000 landslides are reported
that are strongly or partially affected by the water storage [2-6]. The survival of local residents and property is threatened
by potential landslide instability. FRWL is one of the most significant extrinsic influences affecting landslide
deformation and stabilization [7]. The two major factors FRWL and rainfall, which cause slope failures, have been
reported well in earlier studies [8-13]. But still there is need to study the behavior of slope under heavy rainstorm coupled
with reservoir drawdown. If the correlation among deformation behavior and precipitation or reservoir water level has
been established, the landslide prediction model can be established [14].
More than 4000 research papers on the landslide threat in TGR have been reported to date [15]. The articles have
focused on the followings (1) identifying and describing the cases of individual landslide; (2) Evaluation of the formation

* Corresponding author: wangyangcug@126.com

http://dx.doi.org/10.28991/cej-2021-03091713

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms and
conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

and behavior of landslide cases; (3) Preventive stabilization steps are being developed, researched, and implemented;
and (4) Geohazards are being tracked and protocols of early warning are being implemented. The reservoir impoundment
and subsequent rise and fall of the water level are the key activating factors for reservoir-induced landslides [16-19].
The triggering mechanism as a result of the dry–wet circulation situation may be (1) a change in the slope's hydraulic
boundary conditions or (2) deterioration of the mechanical properties [20-23].
Many studies have recently investigated landslide seepage and stabilization in relation to FRWL and heavy
precipitation. Saturated coefficients of permeability [24] and the rates at which reservoir water levels fluctuates [25]
effect the groundwater and pore water pressure. Therefore, the stability factor of landslide is affected by saturated
coefficient of permeability and variations in reservoir water level. [26-30]. The reservoir landslide was analyzed in [31]
on the basis of different coefficients of permeability, and the landslide stability factor under extreme climatic conditions
were investigate by [32]. However, the behavior of the wading landslides with a different coefficient of permeability is
not well studied under heavy precipitation conditions and rapid decline of reservoir water.
The study analyses Zhulinwan landslide1s stability and deformation under the action of rainfall and varying rates of
reservoir drawdown. We hope that this study would contribute to a greater understanding of wading landslide issues as
well as realistic expertise and knowledge of reservoir-induced landslide research.
The structure of the paper is as follows. The study's analysis methods are briefly summarized in Section 2. Section
3 goes into the data source, site morphology, hydrological patterns, lithology, physical, and mechanical properties of the
landslide. Section 4 outlines the setting of numerical model and used parameters. The data is analyzed in Section 5 and
6, and the findings are discussed. Section 7 summarizes the analytical observations and completes the paper's claim.

2. Research Methodology
The study used combination of site investigation and numerical modeling. The landslide mapping was done in detail,
to outline the altitude of the slope, its location and geomorphology. Material and structures of the landslide body was
studied by geological survey, trenches and boreholes. Boreholes of substantial depth obtained the lithology, thickness
and structural physiognomies of sliding body and bedrock. Surface displacement was monitored using GPS from 2006
to 20014, while inclinometer was placed to measure the deep displacement. Crack displacement was monitored from
2004 to 2014. Numerical simulation was done using GEOSLPE software [33]. Seepage, stability and deformation were
analyzed by SEEP/W, SLOPE/W and SIGMA/W, respectively. The research flow chart is outlined in Figure 1.

Literature Review and Finishing Research Methods

Site investigation

Laboratory Testing Field Monitoring

Selection of Parameters

Model Generation in Geo studio

Seepage Deformation Stability

Analysis Analysis Analysis

Results Evaluation

Finishing material and paper

writing

Figure 1. Research flowchart

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3. Geological Setting
The study area situated on the eastern edge of the Sichuan Basin and the heart of the TGR area. The terrain extends
diagonally from northwest to southwest. The landslide area is situated in Nanzhu Village, Longkong Town, Fengdu
County, Chongqing City, with geographic coordinates of 107°51'52.96" longitude and 30°4'25.64" latitude Figure 2.
The average annual rainfall in Fangdu County is 1207.8mm, while maximum daily rainfall can reach up to 184 mm
Figure 3.

Figure 2. Location and Geomorphology of the Zhulinwan landslide

Figure 3. Daily rainfall in Fengdu County from 1959 to 2010

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Zhulinwan landslide from Maoshuzi-Zhulinwan landslide group, is a forward slope with a slope direction of 305°, a
slope length of 622 m, a slope height of 126 m and a slope angle about 10°. The topography of the landslide is shown
in Figure 4.

Figure 4. Topography of Zhulinwan Landslide

The Zhulinwan landslide is a rock landslide, having a long strip foot like shape and a stepped profile, with the volume
of 137.46 million m3 and an area of 10.57 million m2. The Lithology of sliding body is purple-red silty clay mixed with
brown-red sandstone and sandstone fragments. Sliding zone is not obvious only 2～3 mm mud film. The bedrock is
the Jurassic upper Suining Formation (J 3S). The reservoir water in the area of study fluctuates between 175 to 145 m.
The reservoir water level annual variations are shown in Figure 5. The drawdown from 159 to 145 m was selected for
the analysis.

Figure 5. Annual fluctuation of water level at Three Gorge Reservoir 2013-2015

3.1. Landslide Materials and Structural Features

Material Composition
Figure 6 shows the geological Section 1-1 of the Zhulinwan landslide. Material of the landslide is predominantly
silty clay intercalated gravel. Parent rock is purple-red mudstone and maroon siltstone, with a thickness of 4.6 to 7.1 m.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

The slip zone soil on the top surface of the bedrock is not obvious, mainly mudstone gravel soil, only 2～3 mm mud
film is seen on the slip surface. Only scratches are seen on the top surface of the bedrock, and the direction of the
scratches is about 310°, which represents the sliding direction.
The sliding surface is straight, high on the left, low on the right side and generally stepped with an inclination angle
of about 10°. The sliding bed rock mass is the top stratum of the Suining Formation of the Upper Jurassic System. The
lithology is interbedded with purple-red, red mudstone and siltstone of varying thickness, with a single layer of gray
feldspar quartz sandstone with a thickness of 1 to 3 m.

Figure 6. Geological Profile section and the signs of landslide activity

Mechanical and Physical Properties of Soil

The natural water content of the landslide soil of Maoshuzi-Zhulinwan Landslide Group is 15.8-17.0%, natural unit
weight is 21.4. ～21.6 kN/m3, void ratio 0.485～0.502, and liquidity index is -0.11～0.04. The natural water content of
slip zone soil is 19.4-25.9%, natural unit weight 19.6-20.6 kN/m3, void ratio 0.59-0.71, and liquidity index is generally
between 0.21 and 0.38.
The compressibility of the Maoshuzi-Zhulinwan landslide soil is 0.14～0.16 MPa-1, and the compression modulus is
9.52～10.31 MPa. Natural shear strength: cohesion 53.0～59.0 kPa, internal friction angle 16.1～17.4°. Saturated
consolidation rapid shear peak strength: cohesion 52.0～61.0 kPa, internal friction angle 15.3～16.4°. Residual strength:
Cohesion 40 ～ 47.5 kPa, internal friction angle 12.0 ～ 13.2°. The natural shear strength of Maoshuzi-Zhulinwan
landslide slip zone soil: cohesion is 26.5～50.0 kPa, internal friction angle is 12.7～17.2°. Saturated consolidation rapid
shear peak strength: cohesion is 30.0～45.0 kPa, internal friction angle is 10.8～15.2°. Residual strength: Cohesion is
18.5～35.0 kPa, internal friction angle is 8.2～13.1°

3.2. Deformation Characteristics

Surface Deformation
The soil body has sunk several cracks ranging from 0.1 to 0.3m, with crack lengths ranging from 5 to 10 m, and a
crack width of 3 to 5 cm, the citrus tree is skewed. The trailing edge trough is 18m wide and 3 to 6 m deep with a strike
of 323°, as can be seen in Figure 4 and Figure 6. The middle draw groove is 5 ~ 8 m, with a visible length of 70 m, the
left side is 273 °, and the right side is 292°. At present, there are no obvious deformations in the two troughs.
Deformation Monitoring
The landslide was monitored for couple of years. The GPS started displacement monitoring in 2006, with no obvious
displacement in first two years. The plane cumulative displacement peaked to 51 mm in 2012, while the maximum value
of vertical displacement 31 mm was recorded in 2013. The monitoring was abandoned in 2014. The borehole
inclinometer got blocked in the start of the monitoring process and no deep displacement data was retrieved. The surface
crack displacement was monitored from 2004 to 2014, the curves shown in the graph below Figure 7.

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Figure 7. Maoshuzi -Zhulinwan Landslide Group Crack Displacement-Time Curve (LC5-LC9)

4. Numerical Simulation of Stability and Deformation

4.1. Numerical Model Execution
GEO-Studio Software was used to simulate seepage, stability and deformation of the landslide. Figure 7 depicts the
geological model meshes from a longitudinal perspective (cross-section in Figure 6). The elevation of landslide model
at the front edge of the shear outlet is 138m, and the elevation of the trailing edge is about 269m. According to the
established finite element model of the Zhulinwan landslide, the finite element grid form is an unstructured grid of
quadrilateral and triangular elements. This simulation uses a 3m grid to divide the sliding body, and a total of 7,354
elements are obtained. After establishing in AUTOCAD software the model was imported into GEO-STUDIO.
Afterward, two hydrological boundary conditions given in Table 1 were used to quantify it. The materials applied were
Silty clay with gravel and impermeable bedrock (Figure 8). For all of the material, the Mohr–Coulomb model was used.
The mechanical and physical parameters used in analysis are given in section 3.1.2.

Figure 8. Model for Zhulinwan Landslide built by Geo-Studio

4.2. Seepage Calculation Parameters

When the SEEP module for seepage field simulation in the software, the permeability coefficient and volumetric
water content of landslide rock and soil materials should be regarded as pore water pressure function of slope [34]. When
the rock and soil body is in a saturated state, the permeability coefficient and volumetric water content are fixed values;
while when the rock and soil body is in an unsaturated state, its permeability coefficient and volumetric water content
should be determined through experiments [35]. According to predecessor survey data, the permeability coefficient of
the Zhulinwan landslide borehole water injection test is 1.5 ×10-4 cm/s. The coefficient of permeability and volumetric
water content of the soil can also be calculated using an analytical model [36], especially the model of Van-Genuchten
[37]. The Van-Genuchten model has a strong alignment with experimental findings, and it can be used to calculate the
soil water characteristics curve of Silty clay. To simulate Zhulinwan landslide seepage field, parameters in saturated
state and Van-Genuchten empirical curve in the SEEP/W module are used for the calculation of soil water characteristic
curve of sliding body (Figure 9).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Table 1. Zhulinwan Landslide calculation parameters

Component Unit Weight(KN/m3) Cohesion (kPa) Internal Friction Angle (◦)

Natural 22.5 11 11.5

Sliding body
Saturated 23.3 7 10.3

Slide bed Impermeable

Figure 9. SWCC and permeability function of sliding body

4.3. Working and Boundary Conditions

The reservoir water from 175 to 159 m usually drops at the rate of 0.13m/d, but from 159 to 145 the rate gets faster.
The faster rate of drawdown is crucial for the stability of river banks slope [38]. The drawdown from 159 to 145 m was
analyzed with coupling effect of rainfall. Table 2 shows the applied working conditions.
1. The surface above 175 m is designated as the rainfall infiltration boundary, 175 m to 145m is variable water head
boundary and confining flux boundary is assigned for the bedrock floor.
2. From 1960 to 2013, daily rainfall data in Fengdu County was analyzed statistically to get the results of three days
heavy rainfall of 78 mm for once in 20 years returns period and 93.3mm for once in fifty years return.

Table 2. Combination of operating conditions for stability of the landslide

Rate of drawdown
Conditions Rainstorm (mm/d) Continuous combined load
(m/d)
1.1 78 for 3 days (once in 20 years)
Deadweight + surface load + drawdown from 159m to 145m (0.6)
1.2 93 for 3 days (once in 50 years)

2.1 78 for 3 days (once in 20 years)

Deadweight + surface load + drawdown from 159m to 145m (1.2)
2.2 93 for 3 days (once in 50 years)

5. Model Results and Interpretation

5.1. Seepage Analysis of Zhulinwan Landslide
The Zhulinwan landslide seepage fields are measured under various operational conditions. The saturation lines and
velocity vectors are shown in Figure 10 for each measurement state. The analysis results show that the seepage field of
this landslide conforms to the general seepage law and has the following characteristics:
(1) As the water level of the TGR drops, the free surface of the infiltration line in the slope also declines with time.
There is a lag in the decline of the infiltration line [7]. The depth of the groundwater surface at the slope's junction with
the field is often greater than the reservoir water level. Water in the pores is drained too late because the river water
level drops faster than the water level within the body, resulting in a distinct groundwater level hysteresis within the
slope.
(2) Rainfall has a certain impact on the groundwater level of the landslide body, but its impact is not very large, it
only has a certain impact on the surface of the landslide, and has a small impact on the interior of the landslide body.
Under the conditions of the reservoir water level falling in the flood season + rainfall conditions, rainfall increased the
groundwater level at the rear of the landslide body, which increased the hydraulic gradient and seepage force.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Figure 10. Transient changes under different conditions

5.2. Deformation Analysis of Zhulinwan Landslide

The Figure 11 shows the deformation at different calculation conditions. The deformation trend gradually develops
from surface to the position of sliding zone. Main deformation area is concentrated on the front edge of the landslide.
The impact of the deformation on the back end and on the surface is relatively small about 25 to 30 mm of displacement
on some points. While on the front edge the deformation reached to more than 49 mm. The condition 1 is the 0.6 m/day
drawdown of the reservoir from 159 to 145 meters. The landslide's displacement is centered on its front edge and back
section, with peak displacements of 47.3 and 47.8 mm at conditions 1.1 and 1.2, respectively. The condition 2 is the 0.6
m/day abrupt drawdown of the reservoir from 159 m to 145 m meters. The landslide's displacement is centered on its
front edge and back section, with peak displacements of 47.3mm and 47.8mm at conditions 2.1 and 2.2, respectively.

Figure 11. X Displacement of Zhulinwan landslide under different operating conditions

Moreover, as the position approaches the sliding zone, the horizontal displacement shows a gradual decreasing trend.
It can be seen that the displacement value is positive, and the X-displacement direction of the landslide points out of the
slope. Therefore, drop in reservoir water level coupled with heavy rainfall will promote greater deformation at
landslide`s front edge [39]. Concluded that under the conditions of drawdown and plentiful rainfall, the Woshaxi
landslide experienced significant deformation.
Four points A, B, C and D, along landslide surface were established at the distance of 150 m from each other, to
check the deformation at each point. Where point D being near the front edge, C and B in the middle, and A at the rear
end. The Figure 12 (a, b, c and d) shows the displacement at these points under different operating conditions. Where
the displacement at point D is the highest. The Figure 11(e), shows the maximum displacement at point D, at all four
conditions. The deformation is increasing with the increase in reservoir drawdown speed and heavy rainfall.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Figure 12. X Displacement (m) at four points under each operating condition. (e) Displacement (m) at point D under
different operating conditions

In the deformation simulation of Zhulinwan landslide, as the level of reservoir water gradually declines, the
hydrostatic pressure on the landslide gradually decreases, which is not conducive to the slope stability. The rainfall
impact on landslide stability is mainly manifested in the large amount of rainwater infiltration, which leads to saturation
of the soil and rock layer on the slope, and even water accumulation on the aquifer at the lower part of the slope, thus
increasing sliding force and landslide weight, reducing soil and rock shear strength and contributing to overall landslide
instability. The deformation of the rear edge of the landslide is mainly affected by rainfall. The occurrence of rainfall
causes the deformation of the landslide along the direction of the landslide. Therefore, rainfall is detrimental to the
stability of the landslide.

Deformation Mechanism of Zhulinwan Landslide

The main factors that induce the resurrection of reservoir bank landslides generally include rainfall and periodic
changes in the level of reservoir water. The characteristics of Zhulinwan landslide is large ground height difference,
along the slope, and the slide bed is straight. The slope has basic conditions for landslide development. The main

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

components of sliding bodies is loose soil layer with silty clay and crushed stones. Outside the underlying bedrock slope,
under continuous rainfall or heavy rain conditions, the precipitation seeps into the slope and move along the slip zone,
resulting in soil being in a saturated state causes the physical and mechanical indexes of the soil to decrease.
(1) The accumulation layer at the front edge of the landslide is thin, and the material in this part is relatively loose due
to the soaking of the reservoir water and lateral erosion. When the reservoir water level drops, the hydrostatic pressure
on the slope decreases, and the anti-sliding force at this time decreases. Because the rate of groundwater level decline
lags behind the level of reservoir water, a hydraulic gradient is generated. When the local water overflows from the
slope, the hydrodynamic pressure is generated on the landslide, and the direction of the force points to the outside of
the slope, resulting in landslide deformation.
(2) The middle and rear part of the landslide body has loose structure and large pores. The rainfall washes the surface
of the slope body. On the other hand, the infiltration of rainfall increases the seepage pressure and soften its rock and
soil, and the instability of the slope becomes natural.

5.3. Slope Stability Analysis of Zhulinwan Landslide

The impact of reservoir water drawdown and rainfall on the stability of landslide was analyzed according to the
"Code for Investigation of Landslide Prevention Engineering" (DZ/T0218—2006), the factor of safety (FOS) of the
landslide < 1.00 , it is unstable; 1.00 ≤ 𝐹 < 1.05, it is under latent instability state; 1.05 ≤ 𝐹 < 1.15. It is basically
stable; 𝐹 ≥ 1.15, for stable state. The factor of safety of the landslide is 1.013 at the reservoir drawdown rate of 0.6 m/d,
and is 1.009 when the rate of 1.2 m/d. The landslide stability reduces as the water level decreases from 159 to 145 m.
The faster the drawdown rate lower the factor of safety. At the rate of 0.6 and 1.2 m/d drawdown without rainfall the
landslide status changes from basically stable to under stable state as shown in Figure 13.

(a) Figure 13. FOS at 0.6m/d and 1.2m/d without rainfall

(a)

(b)

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

(b)

Figure 14. FOS at condition 1 and 2

At the condition 1 as shown in Figure 14(a), FOS is 1.001 and 1.00, at the drawdown from 159 to 145 m at a rate of
0.6 m/d, coupled with once in 20 and once in 50 years return period of rainfall and the landslide is in under latent
instability state. While at Condition 2 as shown in Figure 14(b), FOS is 0.999 and 0.998 when reservoir level suddenly
drops at the rate of 1.2 m/d, coupled with once in 20 and once in 50 years return period of rainfall, and the landslide
becomes unstable. It can be seen that the value of stability coefficient suddenly drops with addition of rainstorm, which
shows that the rainfall will have direct impact on landslide`s stability.

Figure 15. Minimum FOS at different conditions

Figure 15 shows the minimum FOS at different conditions. The analysis show that the rainstorm has negative effect
on landslide stability, but the reservoir drawdown remains the main factor effecting the overall stability of Zhulinwan
Landslide. Faster rate of drawdown is more crucial then then the slower rate. The influence of rain on FOS during high
rate of drawdown is more significant than that during low rate of water level dropping, but the final effect is to reduce
the stability of the landslide.

6. Discussion
There is close relation between FRWL and stability of river bank slopes. Yang et al. (2017) [40] found out that the
change in reservoir water level continues to correlate with the annual variation in landslide stability. The toughest
condition for the Maliulin landslide's stability is when the water level is down and there is a significant rainfall. Our aim
was to investigate the effect of faster drawdown rates (from 159 to 145m) coupled with heavy rainstorm on Zhulinwan
Landslide. Based on our observation, the faster drawdown was more detrimental to the stability. Same was confirmed
by Zhang et al. (2020) [41] during the seepage, stability and deformation analysis using FLAC3D software of the
Xigouwan landslide. According to in situ monitoring and computational modeling, Shi et al. (2018) [42] discovered that
both rainfall and FRWL had a substantial impact on the action of the Quchi reactivated landslide; FRWL destabilized

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

rock masses at the landslide toe, while rainfall primarily mobilized materials in the rear part. According to our findings,
the drawdown severely deforms the front portion of Zhulinwan landslide, while precipitation has some impact on the
rear part.
Though the landslide is currently in a stable state, with minor deformations but the combined conditions (condition
2) investigated in our study confirms that the landslide will become unstable. Furthermore, it should be noticed that
deformation from in situ monitoring (51 mm in 6 years) and simulated (49.3 mm at 2.1 m/d drawdown combined with
strong rainstorm) seem to be of different magnitudes. This is due to the fact that the material parameters used in the
modeling are homogeneous, and were evaluated on a small number of soil samples, which does not correspond to the
real-world condition. Moreover, certain complex geographical conditions, as well as the natural environment and human
behaviors, were neglected or simplified in simulation.

7. Conclusions
 Zhulinwan landslide is mostly localized, and the landslide is currently stable with no sliding trend. Rainfall and
FRWL are the most important factors effecting landslide stability.
 The groundwater infiltration line appears "downstream" within a certain range of the slope during drawdown,
based on the morphological characteristics of the groundwater infiltration line. The infiltration line has a "convex"
shape, which is "hysteretic" when compared to the reservoir water level decline, and this phenomenon is primarily
concentrated in the reservoir water level fluctuation zone at the front edge of the slope.
 Deformation is mainly concentrated at the landslide`s front edge. With the maximum deformation under condition
2.2 was noted 49.3 mm.
 When the reservoir water level is high, the landslide stability coefficient is higher than when the reservoir water
level is low. The landslide stability coefficient decreases as the water level decreases. The analysis revealed that
the rate of reservoir drawdown has a negative effect on landslide stability; the faster the drawdown rate, the lower
the stability. The Zhulinwan Landslide will become unstable at the coupling effect of 1.2m/d drawdown and once
in 50 years return period of rainfall.

8. Declarations
8.1. Author Contributions
M.S.: Conceptualization, Data curation, Methodology, Investigation, Software, Formal analysis, Roles/Writing -
original draft. W.Y.: Funding acquisition; Project administration; Resources; Supervision; Writing - review & editing.
Y.L.: Conceptualization; Investigation; Software; G.R.: Visualization; Validation. All authors have read and agreed to
the published version of the manuscript.

8.2. Data Availability Statement

The data presented in this study are available on request from the corresponding author.

8.3. Funding
This research work was supported by the National Natural Science Funding of China (No. 42077277).
8.4. Conflicts of Interest
The authors declare no conflict of interest.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Seismic Fragility Curves for Performance of Semi-rigid

Connections of Steel Frames

Mohamed Saadi 1*, Djarir Yahiaoui 1, Noureddine Lahbari 1, Bouzid Tayeb 1

1
LGC-ROI, Civil Engineering Laboratory-Risks and Structures in Interactions, Department of Civil Engineering, Faculty of
Technology,University of Batna 2, Batna 5000, Algeria.

Received 29 March 2021; Revised 24 May 2021; Accepted 11 June 2021; Published 01 July 2021

Abstract
A steel frame with a semi-rigid connection is one of the most widely used structural systems in modern construction.
These systems are cheap to make, require less time to construct and offer the highest quality and reliable construction
quality without the need for highly skilled workers. However, these systems show greater natural periods compared to
their perfectly rigid frame counterparts. This causes the building to attract low loads during earthquakes. In this research
study, the seismic performance of steel frames with semi-rigid joints is evaluated. Three connections with capacities of
50, 70 and 100% of the beam’s plastic moment are studied and examined. The seismic performance of these frames is
determined by a non-linear static pushover analysis and an incremental dynamic analysis leading finally to the fragility
curves which are developed. The results show that a decrease in the connection capacity increases the probability of
reaching or exceeding a particular damage limit state in the frames is found.
Keywords: Semi-rigid Connection; Steel Frame; Pushover Analysis; Incremental Dynamic Analysis; Fragility Curve.

1. Introduction
The actual behavior of connections is conventionally ignored in steel frame. In reality, structural analysis of steel
frames is usually performed assuming that the connections meet the perfect conditions of a pinned or rigid connection.
Consequently, the calculations are somewhat simplified but the structural model does not show the actual structural
response. Available experimental data [1-3] show that, on one hand, joints commonly considered to be hinges often
exhibit quite high stiffness and rotational resistance. On the other hand, the joints which are generally considered to be
stiff can develop bending deformation. These behavioural characteristics largely affect the frame response. In fact, in
conventionally pin- joint frames, the real stiffness of the joint results to a more favourable distribution of bending
moments in the beams, whereas the true deformability of the joint in nominally stiff frames influences negatively the
frame vulnerability to second order effects [4].
In contrary, experimental research shows that the actual behaviour of connections is found in between of that
perfectly pinned joint and completely rigid joint: these joints are named semi-rigid joints [5]. The simple models used
in the current design procedure are clearly effective in analysing a large number of structures, but in many cases the
correct assessment of the structural reliability requires the semi-rigid behaviour of joints to be accounted for. This is
expected to improve the reliability of the structural response prediction, allowing it to benefit from the actual

* Corresponding author: m.saadi@univ-batna2.dz

http://dx.doi.org/10.28991/cej-2021-03091714

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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behaviour of the joints. In fact, many studies [6-8] pointed out the economic benefits that can result from a design
considering the real behaviour of beam-to-column joints. De Alvarenga (2020) [9] suggested new numerical
formulation that integrates the behaviour of the plastic zone finite element model for semi-rigid steel frames.
However, Astaneh and Nader (1992) and Mazzolani and Piluso (2012) [10, 11] have provided some attempts to codify
the semi rigidity for seismic steel structures, and the evidence of the positive effect of semi-rigid joints in such
structures is continuously increasing.
According to the new generation of European seismic codes, e.g., the ECCS Manual and Eurocode 8 [12, 13], a
clear distinction is made between dissipative and non-dissipative structures. Non dissipative structures must resist to
the most severe seismic movement within the elastic range, while dissipative structures are designed by allowing
deformation to occur in predefined zones. During an earthquake, these zones must dissipate energy through hysteretic
ductile behaviour in the plastic range. The formation of an appropriate dissipative mechanism is related to the
topology of the structure and proper dimensioning.
Unbraced frames are used quite widely in areas affected by strong earthquakes for low and medium height
buildings due to their high ductility. They generally provide a good energy dissipation capacity as a result of the
hysterical ductile behaviour of the beams elements composing these frames. It is also possible for inelastic cyclic
deformations to occur in other elements, such as connections .However, although the reputation of steel frames is well
established, the vulnerability of unbraced frames became apparent during the powerful El Centro1940, Northridge
1994 and Kobe 1995 earthquakes, through brittle failures detected at the connections beams to columns of the
structures [14]. Other studies include, the monotonic, cyclic, and dynamic behaviors of several types of semi-rigid
joints were explored in Nader et al. (1996) [15]; and it was claimed that these joints are able to dissipate energy due to
their relatively enlarged moment rotation hysteresis loops, which work as damping mechanism in steel frame.
One of the first experimental studies on the seismic behaviour of semi-rigid steel frame was published by Elnashai
et al. (1998) [16]. It was shown that, when correctly designed, semi-rigid joints can perform similarly or even better
than their fully rigid counterparts under a variety of loading conditions. Aksoylar et al. (2011) [17] studied the
behaviour of structures with energy dissipation zones in semi-rigid joints designed in high seismicity locations and
their seismic response was estimated analytically with various connection capacities. By using semi-rigid energy
dissipating joints, it eliminates the necessity of the weak beam from the strong column and allows the use of more
economical column sections. Razavi and Abolmaali (2014) [18] examined semi-rigid and rigid connections in high-
rise steel construction, and observed that semi-rigid frames were more efficient than fully rigid frames. Faridmehr et
al. (2017) [19] studied the seismic response of steel frames with semi-rigid joints and found that the more flexible the
semi-rigid joint, the more the base shear demand decreases during the earthquake. Moussemi et al. (2017) [20], based
on free vibration analysis, found the dynamic parameters of a two-story frame, in which the beam-column joints were
modeled using semi-rigid connections.
Recently, Koriga et al. (2019) [21] studied the dynamic response of rigid and semi-rigid joints of steel frame under
dynamic loads. The novelty introduced in the nonlinear model is to consider a unique bar element that represents the
semi-rigid connection. Thus, there is no need to discretize the structural element (member) in the computer program
where nonlinearity is taken into account by a flexibility factor in the stiffness matrix. Mahmoud and Elnashai (2013)
[22] worked on a new hybrid system-level simulation application for seismic evaluation of steel frames with
TSADWA connections. Sharma et al. (2021) [23] studied in detail the effects of semi-rigid joints using a variety of
response parameters for a set of far-field and near-field earthquakes with directivity and flutter step employing
nonlinear time history analysis. Hassan et al. (2020) [24] worked on the seismic response of semi-rigid steel frames
exposed to actual main and aftershock ground motion with different connection capacities. Kiani et al. (2016) [25]
developed fragility curves for three- and five-story building models composed of unbraced frames with masonry infill
walls. Finally, Guettafi et al. (2021) [26] developed an equation to assist engineers in the design and response of soil-
pile-structure interaction. The results of this formula allowed harmonization with the results of the fragility curves.
In this research study, the seismic response of steel frames with semi-rigid joints is estimated. Three semi-rigid
moment-resisting frames with bolted connection with capacities of 50, 70 and 100% of the beam plastic moment are
studied and examined. The seismic performance of these frames is determined by a non-linear static pushover analysis
and an incremental dynamic analysis leading finally to the establishment of fragility curves.

2. Model Description
This study examines three frames with bolted joints at the ends representing 50, 70 and 100% of the beam's plastic
moment capacity. The frames consist of five, seven, and ten stories with three spans of 4 m width and 3 m height,
respectively. A similar elevation of frame is shown in Figure 1. It should be noted that the loads used is a dead load of
30 KN/m including the dead weight of the frame. The same gravity loads are considered for all floors. The structural
steel used in this research is type S235 for the beams and columns.

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(a) (b) (c)

Figure 1. View of the sample steel frames (a) 5 stories (b) 7 stories (c) 10 stories

To model the joint, the standard nonlinear software SAP2000 [27] is employed. In this software, a multi-linear
plastic connection element with zero length joints is applied. The joint shows kinematic hysteresis behaviour. The
moment-rotation behavior curve of the joint is shown in Figure 2(a).

(a) (b)
Figure 2. Hysteresis curves for (a) Flexural default plastic hinges [23] (b) flexural plastic hinges used [27]

Material nonlinearity in steel frames is modeled as plastic hinges concentrated at the end of flexural hinges. Here,
the standard plastic hinges contained by default in SAP2000, in accordance with the guidelines of Eurocode 3 [28], are
used to capture the material nonlinearity. Type M3 and type P-M3 hinges are used for beams and columns,
respectively, and are inserted at an equal absolute value of 0.05 of the member end length. Three limits states, namely
"IO" immediate occupancy, "LS" life safety and "CP" collapse prevention for the default hinges are being considered
[29], Figure 2(b) shows hysteresis curve for flexural plastic hinges used in this work study. Table 1 shows the details
for the sections used in the frame and acceptance criteria.

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Table 1. Dimensions of beam and column and acceptance criteria of rotation and translation displacement

Connection Moment Acceptance Criteria

Story Components Sections Hinge
Capacity (%) plastic IO LS CP
100 HE 240A P + M3 225.36 0.001 0.005 0.005
Column 70 HE 220A P + M3 171.82 0.001 0.005 0.005
50 HE 180A P + M3 98.31 0.001 0.005 0.005
5 Story
100 M3 146.41 0.008 0.072 0.088
Beam 70 IPE 270 M3 102.49 0.007 0.063 0.077
50 M3 73.2 0.007 0.063 0.077
100 HE 260A P + M3 278.30 0.001 0.005 0.005
Column 70 HE 240A P + M3 225.36 0.001 0.005 0.005
50 HE 200A P + M3 129.77 0.001 0.005 0.005
7 Story
100 M3 189.97 0.007 0.063 0.077
Beam 70 IPE 300 M3 132.98 0.007 0.063 0.077
50 M3 94.98 0.007 0.063 0.077
100 HE 320A P + M3 492.47 0.001 0.005 0.005
Column 70 HE 240A P + M3 225.36 0.001 0.005 0.005
50 HE 200A P + M3 129.77 0.001 0.005 0.005
10 Story
100 M3 189.97 0.007 0.063 0.077
Beam 70 IPE 300 M3 132.98 0.007 0.063 0.077
50 M3 94.98 0.007 0.063 0.077

3. Research Methodology
The flowchart of the research and characterization methodology is depicted in Figure 3

Start

Structure modelling for steel frame with variation in connection capacity

Analysis

Nonlinear Static Nonlinear Time History Analysis

Analysis

Numerical Results

Pushover results IDA results Fragility curve

Conclusion

Figure 3. Flowchart of the research study

3.1. Nonlinear Static Pushover Analysis

Pushover analysis is an approach method in which the frame is exposed to monotonic increasing lateral force with
an unchanging height-width partition until a target displacement is achieved. Hence, the method consists of a variety
of sequential elastic analyses, overlaid to approach the force-displacement curve of the global structure. A two- or
three-dimensional model comprising of bilinear or trilinear load-deformation diagrams of all lateral force withstanding
elements is first generated and the gravity loads are initially applied [30]. The pushover analysis method is shown in
Figure 4.

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Figure 4. Pushover analysis method [31]

3.2. Ground Motions used in the Dynamic Analysis

The selection of an appropriate parameter that reflects the intensity of ground motion is a difficult operation in the
analysis of the probability of the seismic potential. This parameter should not only express the gravity of an
earthquake, but should also be related to the damage to structures and elements. The ideal measures must satisfy
several recognized criteria: satisfaction, practicability, calculability and effectiveness [32]. In one term, a selected
intensity value must make engineering sense and be independent of ground motion characteristics with a total variety
of structural response for IM in a reasonable range for different types of structures.
An appropriate set of ground motions is necessary to execute the incremental dynamic analysis. As suggested by
Eurocode 8 and by Bommer and Scott (2000) [33], a minimum of seven ground motions should be used to represent
the behavior of a building. However, for mid-rise buildings, ten to twelve ground motions are needed to obtain a
reliable evaluation of the seismic demand [34]. FEMA P695 [35] recommends a minimum of twenty ground motions
to realize incremental dynamic analysis and elaborate fragility curves. The ground motions can be necessary selected
from real earthquake records or artificially generated. In fact, real earthquakes are more realistic because they include
all the ground motion information’s, such as duration, energy content, frequency, amplitude, phase and number of
cycles [36]. Accordingly, twenty earthquake records from many regions were employed to perform the incremental
dynamic analysis. Details of the 20 record of ground motion which were selected are presented in Table 2.

Table 2. Ground Motions used in the dynamic analysis

No. Year Earthquake M Country PGA

1 1976 Friuli 6.5 Italy 0.25
2 1961 Hollister 5.6 USA 0.17
3 1979 Imperial Valley 6.5 USA 0.38
4 1995 Kobe 6.9 Japan 0.212
5 1999 Kocaeli 7.5 Turkey 0.358
6 1992 Landers 7.3 USA 0.42
7 1983 Trinidad 5.8 Trinidad and Tobago 0.33
8 1994 Newhall 6.7 USA 0.605
9 1994 Santa Monica 6.7 USA 0.228
10 1979 Elcentro 6.5 USA 0.40
11 1979 Array-06 6.5 USA 0.43
12 1989 Corralitos 6.9 USA 0.483
13 1987 Lacc North 5.9 USA 0.25
14 1989 Lexington 6.9 USA 0.4
15 1994 Sylmar 6.7 USA 0.578
16 1992 Lucerne 7.3 USA 0.60
17 1992 Petrolia 7.2 USA 0.18
18 1992 Yermo 7.3 USA 0.154
19 1989 Oakland_Outher 6.9 USA 0.42
20 1988 Pomona 7.5 USA 0.34

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Figure 5 shows the result the simulation of twenty acceleration records in the form of response spectrum curves
and the target response spectrum. To match these ground motions, the Seismo-Match software [37] is used. This
software program can adjust the ground motion records to match a particular target response spectrum [37].

Figure 5. Matched spectrums by Seismo-match

Table 3 shows the value of fundamental period and the different acceleration projection on spectrum acceleration
with variation in connection capacity (50, 70, and 100%)
Table 3. The values of the fundamental periods and their corresponding acceleration

5 Story 7 Story 10 Story

100% 70% 50% 100% 70% 50% 100% 70% 50%
Period Tf 1.43 1.55 1.90 1.73 1.84 2.21 2.23 2.64 3.17
Ag (Tf) (g) 0.17 0.15 0.13 0.14 0.13 0.10 0.10 0.07 0.05

3.3. Incremental Dynamic Analysis IDA

IDA is a method of computer analysis employed to evaluate structures subjected to increasing seismic loads. In
this approach, the seismic risk for this structure is estimated by a probabilistic seismic analysis [38]. The IDA allows
for multiple nonlinear time history analysis of the structure being studied by applying a set of specified ground
motions. Each earthquake is scaled to generate a specific seismic intensity. Nonlinear dynamic analysis is achieved by
applying each ground motion record many at various scales. The scaling is performed that the structure is subjected to
a wide range of behaviours, from elastic to inelastic, and eventually to a global dynamic instability represented by a
total collapse. Figure 6 shows the IDA method.

Figure 6. Incremental dynamic analysis method [35]

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The analysis discussed in this section focuses on the three limits states, namely the immediate occupancy, life
safety, and collapse prevention. In order to quantify the level of damage corresponding to each of these three states,
the inter story drift ratio was considered as a non-cumulative damage index as mentioned by FEMA356 [39]. The
values of the maximum inter-story drift ratios used to evaluate damage are 0.5, 1.5, and 2% for the immediate
occupancy, life safety, and collapse prevention states, respectively.
Nonlinear time history analysis by means of SAP 2000 software was performed on each structure using some
ground motion with maximal ground acceleration, PGA scaled incrementally to 1.0g using a 0.1g step. The maximum
inter-stage drift ratio was determined for each PGA, which represents a point on the IDA curve. The points of this drift
ratio result from the various PGA values form the complete IDA curve for a specific ground motion. The procedure
was iterated for the 20 ground motions employed in this study. All curves of IDA for these 20 ground motions
characterize the seismic performance of a specific structural model.

3.4. Fragility Function

Fragility curves represent the probability of structural damage from earthquakes as a function of different ground
motion indices. In the present paper, the fragility curves are established in terms of acceleration. It is supposed that the
fragility curves can be represented as a two-parameter lognormal distribution functions [40]. Based on this theory, the
cumulative probability of damage occurrence, equal to or higher than damage level D, is given by the following
equation.
ln⁡(𝑥/𝜇)
𝑃(𝐼𝑀 = 𝑥) = Φ [ ] (1)
𝜎
where P(IM=x) is the probability that a ground motion with IM = x will cause the structure to collapse, Φ is the
standard normal cumulative distribution function (CDF), µ is the median of the fragility and σ is the standard
deviation.

4. Results and Discussions

The assessment of the frames is conducted using static pushover analysis, and non-linear IDA and fragility curve.
In this section, all the results are summarized, interpreted, and discussed.

4.1. Pushover Results

Figure 7 shows the lateral response of steel frame with connection capacity equal to 50, 70, and 100% of the
plastic moment capacity of the respective beams for 5 story, 7 story and 10 story frames.

a-5 Story b-7 Story c-10 Story

Figure 7. Lateral load–displacement response with variation in connection capacity (50, 70 and 100%) and steel frame story

The results show that the lateral capacity of model with connection capacity equal to 50%, 70%, decreases in
comparison with rigid model (100%) with values of (63.7%, 28%) for 5 stories, (63%, 27%) for 7 stories and (84%,
51%) for 10 stories. The results leading to that of the model with connection capacity 50, 70%, indicate that the
ductility increases 16.4% and 29% for 5 stories, 32% and 9.7% for 7 stories and 98% and 11.6% for 10 stories
compared to the rigid model.

4.2. Incremental Dynamic Analysis

Figure 8 shows the IDA results for steel frame with variation connection capacity of 50, 70, and 100% of the
plastic moment capacity for the respective beams for five- story, seven- story and ten- story frames, respectively.

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a- 5 Stories - Capacity 50% b- 5 Stories - Capacity 70% c- 5 Stories - Capacity 100%

a- 7 Stories - Capacity 50% b- 7 Stories - Capacity 70% c- 7 Stories - Capacity 100%

a- 10 Stories - Capacity 50% b- 10 Stories - Capacity 70% c- 10 Stories - Capacity 100%

Figure 8. Generated IDA for models with variation in connection capacity (50, 70, and 100%) and steel frame story

It is observed that the behaviour of all steel frames is linear when the inter-story drift ratio is less than 0.5%. And
when the capacity of the connection decreases, the spectral acceleration is decreased by 20 and 70 % for connection
capacity equal to 50, 70% respectively. When the inter-story drift ration increases the spectral acceleration is increased
compared to connection capacity equal to 50%.
The increase in number of stories leads to a decrease of the spectral acceleration when compared to 5 stories, 10 to
20%, for 7 stories, and 60 to 40% for 10 stories for connection capacity of 50, 70 and 100% respectively. This is due
to the augmentation of period of structures.

4.3. Fragility Curves

Figures 9 shows the fragility curves for steel frame with five stories and variation in connection capacity (50, 70,
and 100%).

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Immediate occupancy Life Safety Collapse Prevention

Figure 9. Fragility curves for steel frame of five stories and variation in connection capacity (50, 70, and 100%)

The decrease of the value of connection capacity indicates that the probability of exceedance for each damage state
is increased and is affected by different damage states. The five story steel frame with capacity connection of 50% is
more vulnerable than 70 and 100%. The values of Sa (50%) of probability of damage of steel frame with connection
capacity, gives a reduction compared to a connection capacity 100%. In order of 54, 62, 60% for connection capacity
equal to 50% and 21, 25, and 20% for connection capacity equal to 70%; for all limit states due to the decrease in
moment plastic.
Figure 10 shows the Probability of Exceedance (POE) for five-story frame for different accelerations Ag(Tf)
giving through projection the value of fundamental period on spectrum acceleration with variation in connection
capacity (50, 70, and 100%) for different damage states (IO, LS, CP).

Figure. 10. Probability of Exceedance (POE) for five-stories with Ag(Tf)

The highest POE is provided by connection capacity of 50% in the order of 100% at 0.13g for all limit states. For
connection capacity of 70% in the order of 100%, 5.28% and 2.8% at 0.15g for IO, LS CP respectively. Finally for
connection capacity of 100% in the order of 100%, 1% and 0.05% at 0.17g for IO, LS CP respectively.
Figure 11 shows the fragility curves for steel frame with seven stories and variation in connection capacity (50, 70,
and 100%). The results for a seven-story steel frame give the same results as for a five-story steel frame, but with an
increase in the value of acceleration for the probability of damage 50% in life safety and collapse prevention limit
states.

Immediate occupancy Life Safety Collapse Prevention

Figure 11. Fragility curves for steel frame of seven stories and variation in connection capacity (50, 70, and 100%)

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Figure 12 shows the Probability of Exceedance (POE) for seven-stories for different accelerations Ag(Tf) giving
through projection the value of fundamental period on spectrum acceleration with variation in connection capacity (50,
70, and 100%) for different damage states (IO, LS, CP).

Figure 12. Probability of Exceedance (POE) for seven-stories with Ag(Tf)

The highest POE is provided by connection capacity of 50% in the order of 100% at 0.10g for all limit states, for
connection capacity of 70% in the order of 100%, 5.28% and 2.8% at 0.13g for IO, LS CP respectively. And for
connection capacity of 100% in the order of 100%, 1% and 0.05% at 0.14g for IO, LS CP respectively.
Figures 13 shows the fragility curves for ten story steel frame and variation in connection capacity (50%, 70%, and
100%). The results for a ten-story steel frame give the same results as for a five-story and seven-story steel frames, but
with a decrease in the value of acceleration for the probability of damage 50% in life safety and collapse prevention
limit states.

Immediate occupancy Life Safety Collapse Prevention

Figure 13. Fragility curves for steel frame of ten story and variation in connection capacity (50, 70, and 100%)

Figure 14 shows the Probability of Exceedance (POE) for ten-story frame for different accelerations Ag(Tf) giving
through projection the value of fundamental period on spectrum acceleration with variation in connection capacity (50,
70, and 100%) for different damage states (IO, LS, CP).

Figure 14. Probability of Exceedance (POE) for ten-story frame with Ag(Tf)

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The highest POE is provided by connection capacity of 50% in the order of 100% at 0.05g for all limit states, for
connection capacity of 70% in the order of 100% for IO and zero percent for LS and CP at 0.07g. For connection
capacity of 100% of the order of 100% for IO and zero percent for LS and CP at 0.10g.

5. Conclusions
In this study, three frames with bolted joints representing 50%, 70% and 100% of the beam's plastic moment
capacity, were investigated under earthquake loading. Pushover and the incremental dynamic analyses were carried for
the three steel frames (five, seven and ten stories) for developed the fragility curves were compared, and the important
findings inferred from the study are enumerated as follows:
 The results show that the lateral capacity decreases and the ductility increases when the connection capacity is
decreased, because semi-rigid connections of steel frames show greater natural periods compared to their
perfectly rigid frame counterparts. This causes the building to attract low loads during earthquakes;
 The steel frame with connection capacity of 50% is highly vulnerable for all types of frames;
 The steel frame with connection capacity of 70% slows vulnerability and damage for all types of frames, which
gives a good result;
 The diminution in capacity of the connection leads to a decrease of the spectral acceleration;
 The increase in the number of stories leads a decrease in spectral acceleration.
Therefore, the design of steel frame with semi-rigid connection should provide adequacy with the consideration to
the two demand measures, MIDR and MID, especially under NFD-HR and NFFS earthquakes.

6. Declarations
6.1. Author Contributions
The basic theme of the research was discussed and decided by all authors. The manuscript was written by S.M. and
Y.D. while the numerical analysis work was carried out by L.N. and T.B., the results, discussions and conclusion
section was completed by all authors. All authors have read and agreed to the published version of the manuscript.

6.2. Data Availability Statement

The data presented in this study are available in article.

6.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

6.4. Conflicts of Interest

The authors declare no conflict of interest.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

The Cognition Role to Understanding Planning and

Architectural Production

Ahmed S. Al-Khafaji 1*, Nadia A. Al-Salam 2, Tuqa R. Alrobaee 1

1
Faculty of Physical Planning, University of Kufa- An-Najaf, Iraq.
2
Centre of Urban and Regional Planning for Post Graduate Studies, University of Baghdad, Baghdad, Iraq.

Received 11 March 2021; Revised 07 May 2021; Accepted 26 May 2021; Published 01 July 2021

Abstract
This paper focuses on the concept of cognition and its clarification in the light of Islamic epistemology. Knowledge passes
through two essential parts: conception and assent. Conception explains simple knowledge, while assent explains
knowledge involving a judgment. The paper proceeded with the identification of the problem of relationship blurring
between cognition and knowledge. The external and inner senses have explained the relationship between the stages of
knowledge and cognition. The external senses receive stimuli and form primary conceptions. These conceptions transfer
to the first part of the inner senses, which is common sense; it collects the sensations and transmits them to pictorial power.
Secondary conceptions are formed, accompanied by feeling. Then, the estimative power role emerges in imparting meaning
to be stored in memory, here knowledge is suspicion, and the perception is achieved. Finally, the images reach the thinking
power to impart the specific meaning of the image, which constitutes cognition. Using the Hagia Sophia Case Study, the
paper reached important indices in clarifying the cognition stages and understanding of planning and architectural
production. These indices were represented by: color, scale, lighting, the harmony of the building with its surroundings,
and the meanings associated with cultural, social, and civilized values.
Keywords: Attention; Sensation; Feeling; Perception; Cognition.

1. Introduction
Most of the architectural and planning studies that investigate the cognition issue focus on the results of the cognitive
process, without delving into its stages and do not discuss its cognitive and conceptual origin. As the studies that dealt
with cognition on the conceptual side are few due to the difficulty of explaining and clarifying mental processes. As it
is possible to find these contributions in psychology research, but the contributions in the architectural and planning
field are limited. The knowledge acquired about concepts and processes of cognition allows the possibility of creating
high-quality urban environments through planning and design policies and procedures. This ensures that there is no
conflict between planning and design as well as the performance of cognitive processes is proper [1]. This paper attempts
to address the gap represented by clarity lack of the relationship between the knowledge stages and the cognition stages,
assuming that knowledge stages are parallel to cognition stages, and the link between them is the external and inner
senses. The aim of finding the relationship between knowledge stages and cognition stages is to help urban designers
and planners to create meaningful environments related to society memory, thus allowing easy cognition and reading in
a clear and unambiguous manner.

* Corresponding author: ahmeds.alkhfaji@uokufa.edu.iq

http://dx.doi.org/10.28991/cej-2021-03091715

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms and
conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Several recent studies have addressed cognition from different perspectives to understand and explain behavioral and
psychological issues. The authors find that some studies shed light on the recipient and his behavior, other researches
focused on the environment, to understand aspects of the cognitive process. Rad et al. (2021) presented a systematic
review of experimental trials and studies that illustrate the emotional and cognitive impact of environments built on the
human brain, with a focus on the procedures and techniques used in them. In their study, they recommend that thinking
about recent lines of research in cognitive neuroscience can provide new insight to provide a better understanding of the
environmental impact on humans [2]. Hollander et al. (2019) stated that context continually influences cognitive and
behavioral processes. They have argued that different urban environments may influence dynamic mental states. They
sought to test the principles of cognitive engineering: edges, facades/patterns, shapes, and vitality. The study found that
these urban principles can stimulate important cognitive responses and positive emotional reactions. It is an important
step towards understanding the relationship between human emotions and the built environment [3].
D’Acci (2019) pointed out the effect of urban forms, such as the shape of the streets, on our perception of spaces and
our behavior in them, which determine the quality of our daily life and our actions. The study found that urban aesthetics
influence perception and walking decision-making when a direction is not the main criterion. The study indicated that
the majority of the stratified random sample prefer, assuming the rest of the variables and the continuous/readable streets
are constant, to walk through winding paths instead of straight ones [4]. Talebzadeh and Nowghabi (2018) found the
place's perception is achieved through the good design of the environment. Providing clarity and readability of buildings
gives people a comfortable sense and safety. Also, the perception of environmental images allows people to easily
identify and link to the values entrenched in their minds [5]. Taylor (2009) used perception as a tool to compare the
concepts of legibility and aesthetics. The study found the aesthetics perception of the environment is a critical indicator.
Legibility alone is not an important criterion for townscape quality compared to aesthetics [6].
This study differs from the previous ones in that it attempts to explain the cognitive process, images transfer from
external senses to inner senses, and the transition from simple knowledge to the complex one containing meanings.
These meanings are formed in the recipient's brain as a result of impressions taken from his/her environment.

2. Theoretical Approach
The theoretical part of this study includes three main items: The first item is Islamic Epistemology, which will be
used to explain the relationship between knowledge and perception. The second one includes the clarification of the
apparent and the inner senses, as they are the bridge between knowledge and perception. While the third one explains
the stages of perception according to the architectural and planning studies.

2.1. The Islamic Epistemology

The study in the knowledge roots requires a set of mental processes done by the human brain, especially cognition.
This mental process is the core of epistemology. With it, the truth of things can be known and discovered. The brain
plays an essential role in this process [7]. Cognition is the psychological process that contributes to reaching the
meanings, connotations of things, and situations. The person deals with this process by organizing, interpreting, and
formulating the sensory stimuli related to it in meaningful, holistic forms [8]. It is defined as “the image occurrence in
the human brain, or the representation of the thing reality without a judgment against it called a conception, and with
the judgment on it is called an assent [9]. Knowledge is mainly divided into two parts, one of which is “Conception”,
which is simple knowledge, and the other is “Assent”, which is complex knowledge involving judgment. The conception
is like our understanding of the meaning of heat, light, or sound, while assent is like our belief that heat is energy
imported from the sun [10] (See Figure 1).

Cognition

Simple knowledge Complex knowledge

Conception Assent

Knowledge

Figure 1. Relationship between knowledge and cognition

This paper adopts the Islamic theory in its interpretation of conception and assent. Conceptions are divided into two
main parts: primary and secondary. “Primary conceptions” are the conceptual basis of the human brain; these
conceptions are generated directly from receiving things by senses. It is the reason for the conception and presence of
ideas in the human brain [11]. Primary conception can be considered a base for every conception in the human brain,

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but this stage is only an introductory stage that has no role in creating concepts and ideas. Another stage is known as the
“Secondary conceptions,” which takes from elementary meanings the primary basis for conception. It begins with the
role of innovation, creation, generating, and extracting new concepts. This is what the Islamic epistemology theory calls
“Dispossession” [7]. Assent is a mental act that expresses truthfulness to the one who said it, and the opposite is denial.
Assent has degrees; if there is a possibility of its opposite, it is called “suspicion”; otherwise, it is a “certainty” [12]
(Figure 2).

Knowledge

Assent Conception

Secondary conceptions
Primary conceptions
Suspicion

Certainty

Dispossession
Figure 2. Stages knowledge

From the above, the authors find that knowledge is achieved starting from the primary conception. It is moving to
the secondary conception, then to suspicion, and ending with certainty. In these stages, knowledge is manifested; within
them, the stages of cognition are realized. This study clarifies the relationship between cognition and knowledge,
assuming that the cognition stages coincide with knowledge stages explained by Islamic epistemology. Therefore, the
research will use the external and the inner senses to explain this relationship.

2.2. The External and Inner Senses

The acquisition of knowledge comes from the close relationship between the senses and the brain. It is a process of
cognition that brings them together. Cognition is divided into two parts: external perception related to the five external
senses and inner cognition related to the brain [13]. As the human brain can use, encode and interpret spatial information
[14]. To prove the relationship between cognition stages and knowledge stages, Al-Farabi’s theory will be used to clarify
the role of the external and inner senses in the process of cognition and knowledge acquisition, according to the following
stages:
 External senses get excited as a result of the external stimuli presence they receive [15]. It perceives substance and
its suffixes as they exist without abstraction. It perceives images of objects only when they are present but cannot
evoke them in their absence, unlike the inner senses, which do not require the presence of the image of the substance.
After that, it leads to the first part of the inner senses, which is a common sense [16].
 Common sense: It is the center of the senses and sensation; it is considered a “common force for all the senses” [17].
This sense aims to accept the images perceived by the five external senses and collect them together, then transform
them to the other force, which is pictorial power to preserve them [18].
 Pictorial power: It is the force that abstracts substance but preserves its suffixes, such as preserving the color. It is a
servant power to estimative power [19]. Pictorial power has the function of innovation and creativity. It forms the
stored images derived from common sense into new forms that were not previously recognized by the sense. It
superimposes them with each other and separates them from each other according to the choice [20]. If it is
adequately adapted, a pleasant feeling occurs; when it is conflicting, a painful feeling occurs [21].
 Estimative power: It is the force that abstracts substance more abstractly than the pictorial and realizes the meanings
such as good and bad for a specific subject. It preserves a part of the suffixes of substance, such as the sheep’s
perception of wolf enmity. Estimative power is the source of all judgments and beliefs that the brain cannot confirm
their validity. The brain may accept the validity of these judgments by way of illusion and imagination. The
judgments of illusion may be truthful, and the brain will testify to their validity later [22].
 Memory power: It stores the perceived meanings from estimative power [21]. This power’s function relates to the
extent of a person’s ability to remember, his ability to preserve and retrieve meaningful objects when requested [20].
 Thinker or imaginary power: This power controls the images and meanings stored in the two forces: pictorial and
memory. It meets and combines them or divides and separates them. It is called a “Thinker” if the image in pictorial
power matches with meaning in memory power to reason it. This power is called “Imaginary” if the image does not
match the meaning, leading to estimative and unreasonable [21] (See Figure 3).

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External senses

External senses
Brain
Common sense

Knowledge Pictorial
Cognition

Estimative

Senses Memory
Inner senses
Thinker or Imaginary

Figure 3. The senses mediate between knowledge and cognition

In the next section, the paper will move on to explaining architectural and planning studies of cognition to find the
relationships between the stages of cognition and knowledge.

2.3. Cognition Stages in Architectural and Planning Studies

Lynch (1960) was the first author to focus his work on cognition concepts of the urban environment. He described
two important things in explaining his theory in the book “Image of the City”: the first is the physical elements of the
urban environment, the second is the psychological and mental image of the city. He also identified four critical elements
in a mental image of the urban environment: legibility, building the image, identity, and image-ability [23].
Several studies dealt with the cognition stages. Some studies have classified it into four stages, starting with attention,
sensation, perception, and ending with cognition [24]. Some studies have confirmed that the cognition process consists
of five stages: attention, sensation, feeling, perception, and cognition [25]. The authors note from what previously
mentioned that the last division is the most comprehensive one so that it will be adopted in this paper.
 Attention: It is the first condition for achieving environmental knowledge. It is intended to focus the senses towards
an object [26]. Attention is obtained by the stimulus presentation, which is an external factor that stimulates the
activity of the human or the activity of one of the sense organs [27]. Several factors contribute to achieving attention,
such as scale, size, color, texture, and lighting [28]. It can be said that several issues may attract attention, such as
marked difference, variation and change, pattern and constancy, and kinetic succession [29].
 Sensation: It is the first threshold for initial perception of the topics we feel when stimuli arouse the various sense
organs. It is referred to as the essential instantaneous experience generated by physical stimuli and their direct
connection with human receptors [30]. It is also known as receiving physical stimulation and encoding input into the
nervous system [31].
 Feeling: It is a conscious experience characterized by mental activity. It is accompanied by a specific degree of
pleasure or suffering. The emotion is often overlapped with the psychological state and mood. This stage can be
considered the link between sensation and perception [32]. Strong evidence has been presented that emotions play a
crucial role in perception [33]. Emotion is also closely related to proper judgment. Many researchers have argued
that emotions are the source of our intuitive proper judgments [34].
 Perception: It is the organization and interpretation of sensory information using our experience. In this stage, the
sensory impressions of the stimuli are translated into mental images that produce meanings [35]. These meanings
are not necessarily straightforward and specific [36].
 Cognition: It is how the person begins to impart meaning to the primary senses’ stimuli. The person draws on his
experiences and his individual and collective culture [37]. In addition to the context in which he receives these
influences. This stage reduces the influences that a person received from his surrounding environment. The
influences which the brain can interpret and link them to a cultural, social, political, or civilized value remain. The
influences that are not related to meaning be disappeared [30] (See Figure 4).

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Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Attention Sensation Feeling Perception Cognition

Interpreting
An immediate A link between information and Compared to
Stirring the sense feeling and perception
organs as a result experience resulting translating feelings previous experiences
from receiving the represents into abstract images and generate
of the external psychological
stimulus initial stimuli meaning
emotion

Figure 4. Cognition stages

The external and inner senses have explained the relationship between the stages of knowledge and cognition. The
external senses receive stimuli and form primary conceptions. These conceptions transfer to the first part of the inner
senses, which is common sense; it collects the sensations and transmits them to pictorial power. Secondary conceptions
are formed, accompanied by feeling. Then, the estimative power role emerges in imparting meaning to be stored in
memory, here knowledge is suspicion, and the perception is achieved. Finally, the images reach the thinking power to
impart the specific meaning of the image, which constitutes cognition. Figure 5 summarizes the external senses’ role
and the inner senses in clarifying the relationship between knowledge and cognition.

Knowledge

Conception Assent

Primary Secondary
Dispossession Suspicion Certainty
conceptions conceptions
External Senses

Inner Senses
External Common Pictorial Thinker or
Estimative
senses sense Imaginary

Attention Sensation Feeling Perception Cognition

Cognition stages

Cognition Stages

Figure 5. Cognition coincide with knowledge

3. Research Methodology
The authors relied on philosophical parallels and approaches to find the relationship between knowledge and
cognition. The research relied on the role and function of the external and internal senses in clarifying the stages of
cognition and used an analytical method in application to the Hagia Sophia building.

4. Case Study
Hagia Sophia was initially built as a Byzantine-style church, which is a two-storey building for holding the monastic
rites. It is one of the largest and most luxurious buildings within a complex that includes many buildings. This complex
was largely protected by being located outside the city to be safe from the Seljuk and Georgian raids during the thirteenth
century. It was established on a high stone hill to be overlooking the Black Sea. This location has given her great
importance [38]. The building can be summarized into four periods:
 The first period back to the fourth and fifth centuries AD, when the Bfirst Church was consecrated during the reign
of Constantius II. In 360 AD it was built in a close area to the present site of Hagia Sophia, but in 404 AD, the
building was burned and completely destroyed [39].
 The second period refers to the fifth and sixth centuries AD when Theodosius II built the Bsecond church in 415.
The building was destroyed by a fire during the Nika revolt against Emperor Justinian I in 532 [39].

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 The third stage covers a long period from the sixth century to the fourteenth century AD. When Emperor Justinian I
began construction of a new building. It was constructed by the architect Isidore and the physicist Anthemius, it was
opened in 537, then, two earthquakes caused cracks that led to the collapse of the dome in 553 and 557. Later,
reconstruction work was assigned to Isidore the Younger, who chose materials lighter than previously used. The
dome was changed to give the building its current appearance. The works were completed in 562. During the
following centuries, the building suffered other severe damage, a great fire broke out in 859, an earthquake in 869,
while in 1346, the collapse of some structural elements caused the building to close until 1354 [40].
 The last stage refers to the fifteenth and nineteenth centuries AD, after the conquest of Constantinople in 1453.
Mohamed II (the Conqueror Sultan Mohamed) converted the Hagia Sophia into a mosque. Additions were made to
it, most notably the Ottoman-style minarets when the modern republic of Turkey in 1934, the building was converted
into a museum by Mustafa Kemal Ataturk. In the following centuries, Hagia Sophia underwent many restorations,
rebuilding, and amalgamation works [41]. Finally, in the year 2020, it was converted again into a mosque by a court
ruling [42].
There are many discussions about Hagia Sophia, whether it is a church or a mosque. Because it lasted 1500 years and
witnessed two different religions (Christian and Islamic) and different societies, then it became a museum by gaining
religious and cultural value [43]. To clarifying the relationship between the stages of knowledge and cognition in a
practical way, the paper will use this building.

Figure 6. Site of Hagia Sophia

5. Results and Discussion

5.1. First Stage: Attention – External Sense – Primary Conception
In the attention stage and the acquisition of primary conception, the authors find that scale of the building and the
lighting have guided the sense of sight and generated attention towards it without other buildings adjacent to it. The
external senses received stimuli from the external environment due to color, scale, and light. The primary conception of
knowledge was generated. It represents the basic rule and the first initiation point of cognition (See Figure 7).

Figure 7. Dominant scale and lighting in the Hagia Sophia

It was found that the main indices of this stage were Scale, size, luminance, color, texture that produced the primary
conceptions. Table 1.

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Table 1. Conceptual indices of the first stage

Attention External senses Primary conceptions

Scale, size, luminance, The five senses (sight, smell, Simple primary perception at the boundaries, shape,
colour, texture hearing, etc.) and size of a building

5.2. Second Stage: Sensation and Feeling-Common Sense and Pictorial-Dispossession and Secondary Conceptions
The Hagia Sophia is designed with its surroundings through the harmony of color, formation, relationship to green
areas, fountains, and the sea view. The sensations generated from these elements are combined by common sense, then
transferred to a mental stage in which another mental activity begins. This activity creates and stores composite images
of innovative new forms, builds, and saving secondary conceptions. A feeling of relief and joy accompany this activity.
This stage represents the end of simple perceptions of the building’s elevated level (Figure 8).

Figure 8. Harmony between the building and its surrounding

It was found that the main indices of this stage were formal harmony, color harmony, and effects of roaring water
and green areas that produced the secondary conceptions. Table 2. It should be noted that the sensation stage and the
feeling stage are intertwined, therefore it was found that some planning and architectural studies consider them one
stage.
Table 2. Conceptual indices of the second stage

Sensation - Feeling Common sense - Pictorial Dispossession - Secondary conceptions

A sense of the formal harmony between the building

Collecting the various sensations that the Producing new forms of composite images
and its surroundings, colour harmony between the
five senses received in the previous stage, to preserve them and create an integrated
building and its surroundings, and effects of roaring
bringing them together in common sense Conception of the building as a whole with
water and green areas around the building, creating
power, and storing them in pictorial power. its surroundings
a joy and relief feeling.

5.3. Third Stage: Perception – Estimative - Suspicion

When looking at the Hagia Sophia building carefully, it was found that the building was built as a church in a
Byzantine style. Minarets were added to it later to turn it into a mosque; after that, it turned into a museum then returned
to become a mosque. These transformations affected the brain’s estimative power, as they worked to abstract the building
shape and generated meaning through the issuance of primary judgments.
These judgments depend on the formal characteristics of the building and drew on experiences stored in memory.
However, it could not generate a clear and specific meaning, which caused suspicion about the building knowledge,
whether it was a church, mosque, or museum (See Figure 9).

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Figure 9. Byzantine style and Ottoman-style for element building

It was found that the main index of this stage was a difference between the building parts that produced a lack of
meaning clarity of the building and generated suspicion (Table 3).
Table 3. Conceptual indices of the third stage

Perception Estimative Suspicion

A difference between the building parts It stripped the building shape and Suspicion and uncertainty in the judgment release for not
as a result of adding the Ottoman generated elementary meanings and generating a clear and specific meaning about the knowledge of
minarets to the Byzantine building judgments the building, whether it is a church, museum, or mosque

5.4. Fourth stage: Cognition – Thinker - Certainty

Because of the changes that occurred in Hagia Sophia in form, function, and two religions (Christian and Islamic)
punished it. In addition to the difference in society over time, it has become a museum for its human values acquisition.
In this regard, we cannot disagree about the building’s meaning linked to cultural, social, political, and urban values.
Those values that the brain could explain according to the stored meanings, so its brain became certain because of the
correspondence between image and meaning of the building. These values have been added to the building to be an icon
and important landmark in Istanbul. This is what made it a museum expressing the culture and history of society (Figure
10).

Figure 10. Hagia Sophia as a landmark

It was found that the main index of this stage was the different functions of the building across the different eras,
which produced certain civilizational and cultural values (Table 4).

Table 4. Conceptual indices of the fourth stage

Cognition Thinker Certainty

Explaining the difference in form and The cultural, social, and civilizational values Final judgment as a result of the building's image
function due to the succession of different of the building matched the meanings stored in congruence with its cultural and social meaning,
political and social systems. the brain. which made it an important landmark in Istanbul.

6. Conclusions
Cognition of the urban environment is a goal for architects and urban designers. They strive to make environments
clear and understandable to the recipient. Therefore, this paper explains the stages that cognition goes through to reach
knowledge and generate meanings about a place. The relationship between knowledge and cognition is explained by the
external and the inner senses. Stimuli are the essential part of the cognitive process, as it is the main outlet in the cognitive

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process. As the brain deals with the images, it passes out and ignores the others. Cognition in the first stage is not limited
to the sense of sight in receiving formal stimuli. Instead, it goes beyond that to include olfactory stimuli such as odors,
auditory such as roaring water or noise, and touch-like roughness or smoothness of surfaces, as well as taste stimuli.
Common sense can combine it with trying to abstract the material and obtain the overall meanings.
The harmony of color, shape and geometric proportions plays an important role in generating good impressions of
places, as they introvert the perception. If the impression is good, positive perception and a feeling of comfort and
pleasure are generated. This feeling makes places acceptable and increases attachment to them. Cultural storage and
experiences also have an essential influence in generating and retaining meanings. The meanings and perceptions that
do not find an explanation in the brain are not preserved. The meanings of cultural and social value remain; this is the
cognitive process’s goal and purpose.

7. Declarations
7.1. Author Contributions
Conceptualization, A.S.A., N.A.A., and T.R.A.; writing—original draft preparation, A.S.A., N.A.A., and T.R.A.;
writing—review and editing, A.S.A., N.A.A., and T.R.A. All authors have read and agreed to the published version of
the manuscript.

7.2. Data Availability Statement

Data sharing is not applicable to this article.

7.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

7.4. Acknowledgements
We would like to thank Dr. Ali A. Al-Maliki, a lecturer at the Department of Civil Engineering/College of
Engineering/University of Thi_Qar (Iraq), for his technical support. Also, we would like to thank Hisham Adnan
AlMumar, a lecturer at the Department of Regional planning/College of Physical Planning/University of Kufa (Iraq),
the specialist in the English language, for his support in language correction.

7.5. Conflicts of Interest

The authors declare no conflict of interest.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Strengthening of Edge and Corner Columns using Concrete

Jackets

Mahmoud Eid Nasr 1*, Mohamed Nour Fayed 2, Hisham Ahmed El-Arabaty 2,
Mohamed Al-Azzouny 3
1
Teaching Assistant of Structural Engineering, Ain-Shams University, Cairo, Egypt.
2
Professors of Structural Engineering, Ain-Shams University, Cairo, Egypt.
3
Assistant Professor of Structural Engineering. Cairo Higher Institute for Engineering, Cairo, Egypt.

Received 10 March 2021; Revised 22 May 2021; Accepted 03 June 2021; Published 01 July 2021

Abstract
Strengthening of columns using concrete jackets depends on friction at the interface between them. So strengthening of
edge and corner columns in only one story needs a large cross section area due to the shortage of friction length which
leads to architectural issues. This research aims to study strengthening the edge and corner columns using a concrete
Jacket in more than one story which increases the friction area between the Jacket and the original column. As a result,
the load transferred from original column to the jacket will be increased. Thirteen models were done using ANSYS
program to study the effect of various factors on the Jacket capacity such as the number of strengthened floors, the Jacket
type (two sides or three sides), and whether there were shear connectors or not. The results showed that in the case of the
edge and corner columns, it is preferable to strengthen the column by making a concrete Jacket on at least two or three
floors to increase the surface area, which leads to increase the friction and thus increases the capacity of the strengthened
column by an acceptable percentage. The results of ANSYS models were compared with the Indian code IS 15988
(2013) and the results were shown differently because the code equations depend on the presence of a full bond between
the concrete column and the Jacket, which does not occur, but rather the load is transferred by friction between the Jacket
and the original column.
Keywords: Repair; Strengthening; Non-symmetric Jacket; ANSYS; Multi-story Jacket.

1. Introduction
Concrete structures consist of several elements, the most important of which is the column. When the column
cannot sustain the applied loads because of an increase in load, a change in the use of the structure or an initial poor
design of the structure, the column must be strengthened. Jacketing is one of the preeminent habitually utilized
strategies to retrofitting R.C. columns. With this technique, axial strength, bending strength, and stiffness of the main
column are expanded. It's notable that the achievement of this technique relies upon the monolithic behaviour of the
composite component. As indicated by Finite Element Method (FEM) which used in this research. The structural
behaviour of a reinforced concrete jacket under axial loads is transferring the load by friction which generated by
confinement. Four-sided jackets give confinement more than three-sided and two-sided; thus, the capacity of interior

* Corresponding author: mahmoud.eid@eng.asu.edu.eg

http://dx.doi.org/10.28991/cej-2021-03091716

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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column jackets is greater than edge and corner Jackets. Unlike the numerical equations in IS 15988 (2013) [1] which
expect full bond among jacket and column, this research is considered as a continuity of a previous work done by
Mohamed Al Azzouny [2, 3]. Al Azzouny’s research concerned columns strengthened in one story without the effect
of story slab in the modelling, this research modifies Al Azzouny’s work by strengthening the columns in more than
one, two and three stories taking into account the effect of the floor slab in the models, then the surface area between
the original column and jacket will be increased which leads to transfer more amount of load to jacket then the
strengthened column capacity will be increased.

2. Literature Review
Lacking or deteriorating reinforced-concrete columns in many existing constructions must be retrofitted using most
economic, effective, and quick techniques. The adequacy of fortifying strategies is subject to numerous components,
e.g., for the CFRP repression; it was the sweep of the chamfer of the edges, for the steel confines, they were the
components of the steel individuals and the pitch of the steel battens, and for the Ferro-cement; they were the
thickness of the wire mesh and the mortar layer. Using steel fibbers increase Stiffness. On the other hand, The CFRP
wrapping proved to be the costliest [4].
Many techniques can be used for retrofitting concrete column like FRB, Steel Jacket, and R.C Jacket. Changing
building usage from residential to administrative or public or storage led to increase the applied loads on structure
which need to increase the columns capacity [5-7]. Steel jackets are most recommended as a strengthening method for
reinforced concrete columns because its cheap cost, doesn’t increase the cross sections as well as being simple to
manufacture and it can be done while the structure in use [8, 9]. Reinforced concrete column jacketing is the most
traditional technique used in seismic retrofitting. It's been broadly utilized after earthquakes in Mexico, Japan, the
Balkans, and the U.S. We don’t need to make the interface between column and jacket rougher or add bonding
material or use shear connectors in this technique [10-12].
Two to three decades ago, researchers attempted to create proper fortifying and fix procedures for R.C. columns
that make a balance between the structural requirements to improve the strength, ductility, and drift with different non-
structural requirements, such as fabrication time/construction costs. In case of evaluating an existing building, some
elements may need to be strengthened to enhance their ductile strength. There are many strengthening methods such as
concrete jackets, steel jackets and FRP. Each technique has advantages and disadvantages. Using hybrid jacketing is
recommended to combine the advantages of these [13, 14].
Concrete jackets are recommended to increase the stiffness and capacity of reinforced concrete columns if we need
to retrofit by more than 25% [15]. Slippage between the old and new concrete is one of the disadvantages of the
concrete jacketing strengthening method to decrease the slippage, we can use rough surface or dwells which increase
the coefficient of friction from 0.75 to 0.85 [16]. Concerning the column cracking before the strengthening stage has a
significant effect on the capacity of strengthened column afterwards [17]. Many techniques are used for roughing the
surface between column and R.C jacket such as shear dwells, mechanical scarification and wire brushing, but the most
significant method is using dwells [18]. Sand blasting also could be used for making the interface rougher as it gives
high bond in shear and tension. On the other hand, pre-wetting the surface does not affect the bond [19].

3. Research Methodology
3.1. Finite Element Material Models
ANSYS workbench R18.2 Software that uses Finite Element Analysis (FEM) was used in this research for
modelling the strengthened columns. A three main elements were needed for the modelling, concrete element,
reinforcement bars element and the interface between the original column and the concrete jacket. The concrete was
modelled using Solid 65 element, Figure 1 show the element discretion from ANSYS [23], the steel bars and
horizontal stirrups were modelled using link 180 elements [20, 23]. A column concrete geometry, steel bars, stirrups,
and a jacket are all included in the model. The concrete solids have been meshing with reinforced bars.

Figure 1. SOLID65 - 3-D Reinforced Concrete Solid

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Figure 2. Link 180Element

A bonded connection was assumed between concrete and reinforced bars, on the other hand a surface-to-surface
connection was established as a frictional interface between the column and concrete jacket with coefficient of
friction=0.8. The sliding contact resistance calculation as per ANSYS Manual [23] shown in Equations 1 and 2.

τ=µ×P (1)
Fck
TAUMAX= (2)
√3

Where, τ: Contact friction with units of stress; µ: Coefficient of friction; P: Normal contact pressure; TAUMAX: max
contact friction with units of stress; Fck: Concrete compressive Strength.

Figure 3. Sliding Contact Resistance

A Hinged base was assigned for all models at the lower plate (Ux=Uy=Uz=0) while it was assigned as a roller for
the upper plate (Ux=Uz=0), but it was different for the slab sides (Ux=0) for side perpendicular to x axis and (Uz=0)
for other side. The failure load was applied on the upper plate and 30 ton on the slab as a floor load.

3.2. Determination of Load-Carrying Capacity

The recommendation of Indian standard code IS 15988 (2013): Seismic Evaluation and Strengthening of Existing
Reinforced Concrete Buildings – Guidelines issued by Bureau of Indian Standards [1, 20] are followed in this article.
Column flexural strength and ductility are improved by reinforced concrete jacketing. The jackets closely spaced
transverse reinforcement improves durability. The strength of the column is determined from the following equation
with respect to IS 456:2000 [21].

Pu= 0.4 Fck Ac+0.67 Fy.Asc (3)

Where, Pu: Ultimate Load; Fck: Concrete compressive Strength; Fy: Yield Strength of Steel; Ac: Area of Columns;
As: Steel Reinforcement area.
Using a factor of safety as 1.5, the failure load will be:

P=1.5×Pu (4)

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4. Verification
In 1988 some experimental works done by EL-Dodo (1988) [22]. These works concern the strengthening of edge
and corner column with two types of jacket, first using full height jacket and second type height is 5cm less than the
column height. All of these were done three times, once using jacket stirrups not connected to the column, second time
hooking the jacket stirrups to the column ends and finally using jacket stirrups welded to the column.
The original column was 200×200 mm having 4 ϕ 13 RFT, edge column was 300×400 mm having 14 ϕ 13 RFT
and the corner column was 300×300 mm having 11 ϕ 13 RFT. Figures 4 and 5 show the verification for the
compression strain for edge and corner columns.

160
Analytical
140
Experimental
120
Total Load Applied (t)

100

80

60

40

20

0
0 0.05 0.1 0.15 0.2 0.25 0.3
Compression Strain (×10-3)

Figure 4. Verification for the Compression Strain of Edge column

140
Analytical
120
Experimental
100
Total Load Applied (t)

80

60

40

20

0
0 0.05 0.1 0.15 0.2 0.25 0.3
Compression Strain (×10-3)

Figure 5. Verification for the Compression Strain of corner column

After modelling these groups of columns using ANSYS workbench we get almost nearest results to the
experimental results as shown in Table 1

Table 1. Comparison between experimental work results and ANSYS results

Experimental failure load ANSYS failure load

Control column 80 (ton) 90 (ton)
3-sided jacket 120 (ton) 128 (ton)
2-sided jacket 90 (ton) 105 (ton)

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This research is an extension of a previous work done by Al-Azzouny [2, 3]. In the last work a column with
dimension 250×600 mm having 8ϕ16 RFT were modelled using ANSYS R13. And strengthened from 2sides and three
sides for one story only but without adding the slab for the model. In this research the same models had been done
using ANSYS workbench R18.2 [23] and getting the same result almost as shown in Table 1, then the models repeated
after adding the slabs and compare the results with columns models strengthened for two stories and three stories.

Table 2. Comparison between previous work results (Al-Azzouny) and research results

Previous results Research results Research results

without floor slab effect without floor slab effect with floor slab effect
Control column 160 (ton) 153 (ton) 153 (ton)
4-sided jacket 355 (ton) 344 (ton) 365 (ton)
3-sided jacket 245 (ton) 243 (ton) 329 (ton)
2-sided jacket 220 (ton) 200 (ton) 218 (ton)

5. Application for Strengthening Edge and Corner R.C. Columns

5.1. Modelling
The R.C. column in this study is cast with concrete having a compressive strength 15 MPa, 250×600 mm
dimensions, with longitudinal vertical bars of 8ϕ16 having yield stress 360 MPa and horizontal stirrups. 10ϕ8/m with
yield stress 240 MPa at the top and bottom of column decrease to 5ϕ8/m at the middle as shown in Figure 3. The
column has a clear height of 3 m and has upper and lower plates, as well as a slab 2×2 m above the column with a 20
cm thickness to represent load transferee from the story and other stories load apply on the upper plate.
The distress in this case is in the form of low compressive strength of concrete leading to low load-carrying
capacity. Due to this reason, a strength modification of the concrete compressive strength in the R.C. column is
required to enhance the load-carrying capacity. In this case, the R.C. column is retrofitted with the external application
of reinforced concrete R.C. jacket around it.
Two groups of jackets were modelled; each group consists of six models as shown in Figures 6 to 12. The first
group present three-sided RC jacket 450×700 mm with 19ϕ16 RFT, and two-sided RC jacket 350×700 mm with
15ϕ16 RFT. The concrete jackets have compressive strength 35 MPa, thickness 100 mm, the same amount and
distribution of stirrups as that for control column and they extend for one story, two stories and three stories. The
concrete jackets stop at the bottom of the last story slab. The second group having the same characteristics of the first
group, but the difference is using shear connectors to increase the bond at the interface between the old and new
concrete. The upper plate loading until failure, this load represents the upper stories loads while the slabs have load 30
ton to simulate the strengthened stories loads that transferee to the column.

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Figure 6. Control Column Figure 7. Typical R.C. Column Jacket (one story) Figure 8. Typical R.C. Column Jacket (one story) with shear connectors

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Figure 9. Typical R.C. Column Jacket (two stories) Figure 10. Typical R.C. Column Jacket (two stories) Figure 11. Typical R.C. Column Jacket Figure 12. Typical R.C. Column Jacket
with shear connectors (three stories) (three stories) with shear connectors

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5.2. Cases Study

In this paper three parameters will be studied to show its effect on the capacity of the column after repair.
 The concrete jacket type such as corner or edge column;
 The number of strengthened stories like one or two or three stories to study the effect of the friction length on
the strengthened column behaviour;
 Using shear connectors to improve the bond between original column and concrete jacket at the interface.

5.3. Geometry Input

Below some snaps from the models to shows the concrete geometry for column, floor slab and concrete jacket,
reinforcement bars for column and jacket, stirrups, and shear connectors as in Figures 13 to 17.

Figure 13. Geometry of Control Column

Figure 14. Geometry of Corner Column with Two Sides Jacketing for One Story

Figure 15. Geometry of Corner Column with Two Sides Jacketing for Two Stories

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Figure 16. Geometry of Edge Column with Three Sides Jacketing for One Story

Figure 17. Geometry of Corner Column with Two Sides Jacketing for Two Stories

6. Results and Discussion

Control column has a failure load 153 ton and t it is deformations and normal stresses were compared with all
models and shown in Tables 3 to 5. The main phenomenon is that the failure occurs in the upper part of the jacket due
to the slippage in the jacket, so the figures concern this part of model to illustrate the results clearly.

6.1. Concrete Jacket in One Story Output

Analysis was done for four models edge strengthened column for one story, corner column strengthened for one
story and repeat these two models again using shear connectors. Snap shots for the deformations and concrete normal
stress at the failure were shown below in Figures 18 to 21 as the results show the edge column can sustain normal
stress before failure more than the corner column because the three sides jackets give confinement more than two sides
jacket, subsequently the edge column gives failure load bigger than the corner column, also the slippage decrease
while using edge column. The results before and after using shear connectors were plot in figs 22-25, the figures show
the effect of the shear connectors on the column behavior as it increases the column capacity because the interface
became more rough and transfer large amount of load to the concrete jacket.

a- Two Sides jacketing b- Three Sides jacketing

Figure 18. Normal stress of RC Jacketing for One Story

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a- Two Sides jacketing b- Three Sides jacketing

Figure 19. Directional Deformation of RC Jacketing for One Story

a- Two Sides jacketing b- Three Sides jacketing

Figure 20. Normal stress of RC Jacketing for One Story-with shear connectors

a- Two Sides jacketing b- Three Sides jacketing

Figure 21. Directional Deformation of RC Jacketing for One Story-with shear connectors

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3500 4000
Two Sided Two Sided-connectors
3000 Three Sided 3500 Control Column

Control Column Three Sided-connectors

3000
2500
2500
load (kN)

load (kN)
2000
2000
1500
1500
1000
1000
500
500

0 0
0 -0.5 -1 -1.5 -2 0 -0.5 -1 -1.5 -2
Deformation (mm) Deformation (mm)

a- Without shear connectors b- With shear connectors

Figure 22. Deformation for RC jacketing for One Story

4000 4000
Two Sided Two Sided-connectors
3500 Three Sided 3500 Control Column
Control Column Three Sided-connectors
3000 3000

2500 2500
load (kN)

load (kN)

2000 2000

1500 1500

1000 1000

500 500

0 0
0 -5 -10 -15 -20 -25 -30 0 -5 -10 -15 -20 -25 -30
Normal Stress (MPa) Normal Stress (MPa)

a- Without shear connectors b- With shear connectors

Figure 23. Normal stress for RC jacketing for One Story

4000 4000
Two Sided-connectors Two Sided-connectors
Three Sided-connectors Three Sided-connectors
3500 3500
Two Sided Two Sided
Three Sided Three Sided
3000 3000

2500 2500
load (kN)

load (kN)

2000 2000

1500 1500

1000 1000

500 500

0 0
0 0.5 1 1.5 2 2.5 0 0.05 0.1 0.15 0.2
Friction Stress (MPa) Sliding (mm)

Figure 24. Frictional stress for interface in One Story Figure 25. Sliding for interface in One Story

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6.2. Concrete Jacket in Two Story Output

Investigation was accomplished for four models’ edge and corner column retrofit for two story and rehash these
two models utilizing shear connectors. Snap shots for the deformations and concrete normal stress at the failure were
shown in Figures 26 to 29. The edge column normal stress before failure is larger than the corner column because the
confinement increases with increase of the jacket sides, subsequently the edge column gives failure load bigger than
the corner column, also the slippage decreases while using edge column. The results before and after using shear
connectors were plot in figs 30-33, the figures show the effect of the shear connectors on the column behavior as it
increases the column capacity because the interface became rougher and transfer large amount of load to the concrete
jacket.

a- Two Sides jacketing b- Three Sides jacketing

Figure 26. Normal stress of RC Jacketing for Two Stories

a- Two Sides jacketing b- Three Sides jacketing

Figure 27. Directional Deformation of RC Jacketing for Two Stories

a- Two Sides jacketing b- Three Sides jacketing

Figure 28. Normal stress of RC Jacketing for Two Stories-with shear connectors

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a- Two Sides jacketing b- Three Sides jacketing

Figure 29. Directional Deformation of RC Jacketing for Two Stories-with shear connectors

4000 4500
Two Sided Two Sided-connectors

3500 Three Sided 4000 Control Column

Control Column Three Sided-connectors

3500
3000
3000
2500
load (kN)

load (kN)

2500
2000
2000
1500
1500
1000 1000
500 500

0 0
0 -0.5 -1 -1.5 -2 -2.5 -3 -3.5 -4 -0.3 -0.8 -1.3 -1.8 -2.3 -2.8 -3.3
Deformation (mm) Deformation (mm)

a- Without shear connectors b- With shear connectors

Figure 30. Deformation for RC jacketing for Two Stories

4000 4500
Two Sided Two Sided-connectors

3500 Three Sided 4000 Control Column

Control Column Three Sided-connectors
3000 3500

3000
2500
load (kN)

load (kN)

2500
2000
2000
1500
1500
1000
1000
500 500
0 0
0 -5 -10 -15 -20 -25 -30 0 -10 -20 -30
Normal Stress (MPa) Normal Stress (MPa)

a- Without shear connectors b- With shear connectors

Figure 31. Normal stress for RC jacketing for Two Stories

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4500 Two Sided-connectors 4500 Two Sided-connectors

Three Sided-connectors Three Sided-connectors
4000 4000
Two Sided Two Sided
3500 Three Sided 3500 Three Sided

3000 3000
load (kN)

load (kN)
2500 2500

2000 2000

1500 1500

1000 1000

500 500

0 0
0 1 2 3 0 0.05 0.1 0.15 0.2 0.25
Friction Stress (MPa) Sliding (mm)

Figure 32. Frictional stress for interface in Two Stories Figure 33: Sliding for interface in Two Stories

6.3. Concrete Jacket in Three Story Output

The same analysis was done for three stories as mentioned before and the results from the models were shown in
Figures 34 to 37. Also, in this case the edge column is better than the corner column and it is recommended to use the
shear connectors at the interface between the column and concrete jacket as it shown in Figures 38 to 41.

a- Two Sides jacketing b- Three Sides jacketing

Figure 34. Normal stress of RC Jacketing for Three Stories

a- Two Sides jacketing b- Three Sides jacketing

Figure 35. Directional Deformation of RC Jacketing for Three Stories

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a- Two Sides jacketing b- Three Sides jacketing

Figure 36. Normal stress of RC Jacketing for Three Stories-with shear connectors

a- Two Sides jacketing b- Three Sides jacketing

Figure 37. Directional Deformation of RC Jacketing for Three Stories-with shear connectors

4000 4500
Two Sided
Two Sided-connectors
Three Sided
3500 4000 Control Column
Control Column
3500 Three Sided-connectors
3000
3000
2500
load (kN)

load (kN)

2500
2000
2000
1500
1500
1000
1000
500 500

0 0
0 -1 -2 -3 -4 -5 -6 0 -1 -2 -3 -4 -5 -6
Deformation (mm) Deformation (mm)

a- Without shear connectors b- With shear connectors

Figure 38. Deformation for RC jacketing for Three Stories

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4500 4500
Two Sided Two Sided-connectors
4000 Three Sided 4000 Control Column

3500 Control Column Three Sided-connectors

3500
3000 3000
load (kN)

load (kN)
2500 2500
2000 2000
1500 1500
1000 1000
500 500
0 0
0 -10 -20 -30 0 -10 -20 -30
Normal Stress (MPa) Normal Stress (MPa)

a- Without shear connectors b- With shear connectors

Figure 39. Normal stress for RC jacketing for Three Stories

4500 4500
Two Sided-connectors
4000 Three Sided-connectors 4000
Two Sided
3500 3500
Three Sided
3000 3000
load (kN)

2500
load (kN)

2500
2000 2000
1500 1500
Two Sided-connectors
1000 1000 Three Sided-connectors
500 Two Sided
500
Three Sided
0 0
0 0.5 1 1.5 2 2.5 0 0.05 0.1 0.15 0.2 0.25 0.3
Friction Stress (MPa) Sliding (mm)

Figure 40. Frictional stress for interface in Three Stories Figure 41. Sliding for interface in Three Stories

6.4. Overall Comparison

The control failure load for original column without jacket was 151 tons, after analysis all models its show that:
 The two sides jackets load capacity increase the capacity of the original column without strengthening by 43,
63 and 74% for one story, two stories and three stories respectively while for three sides jackets it became 116,
138 and 152% for one story, two stories and three stories respectively, which indicates that the increase in
number of strengthened stories leads to an increasing in column-jacket capacity (Table 5).
 When using shear connectors, the results increase by 53, 70 and 86% for two side jacket and 129, 158 and
173% for three side jacket. These values show that using shear connectors increases the failure load since it
gives more confinement than strengthening without shear connectors (Tables 3 and 5).
 FEM modelling results (load capacity, normal stresses, deformations and sliding) are varying according to the
jacket type (3sided or 2sided), using shear connectors, and the number of strengthen story, this variation is due
to the friction at the interface and the confinement of column by jacket. More confinement leads to increasing
the normal stress that can be sustained by strengthened column before failure and decreasing the sliding
between the original column and the concrete jacket (Figure 42).
 The capacities of the two sides and three sides strengthened columns were calculated using mathematical
equations of the Indian code IS 15988 (2013) and compare with the models results, there are difference
between FEM results and mathematical equations of the Indian code IS 15988 (2013) because the
mathematical equations assume that the jacket is fully bonded with column and neglect the effect of
confinement and the friction between the original column and concrete jacket (Table 4).

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Jacket in one story Jacket in two stories Jacket in three stories

415
383 392
361
348
329
283
265 259
248
232
218

Corner column without Corner column with Edge column without Edge column with shear
shear connector shear connector shear connector connector

Figure 42. Comparison between strengthened in one, two and three stories capacity for all jacket types

Table 3. Strengthened Column failure load in all case

Without Shear Connectors With Shear Connectors

Jacket Type
One story Two stories Three stories One story Two stories Three stories
218 (ton) 248 (ton) 265 (ton) 232 (ton) 259 (ton) 283 (ton)
2 sided
43% 63% 74% 53% 70% 86%
329 (ton) 361 (ton) 383 (ton) 348 (ton) 392 (ton) 415 (ton)
3 sided
116% 138% 152% 129% 158% 173%

Table 4. Comparison between mathematical and FEM failure load calculations

Without Shear Connectors With Shear Connectors

Jacket Type Mathematically
One story Two stories Three stories One story Two stories Three stories
218 (ton) 248 (ton) 265 (ton) 232 (ton) 259 (ton) 283 (ton)
2 sided 443.5 (ton)
51% 44% 40% 48% 42% 36%
329 (ton) 361 (ton) 383 (ton) 348 (ton) 392 (ton) 415 (ton)
3 sided 617 (ton)
26% 19% 14% 22% 12% 6%

Table 5. Summary of results

Jacket Type Failure load (ton) Normal Stress (MPa) Jacket Sliding (mm)
Control column 153 -11.7
2-Sided Jacket 218 -22.2 0.2
One story
3-Sided Jacket 329 -23.5 0.147

One story with 2-Sided Jacket 223 -22.7 0.214

connectors 3-Sided Jacket 348 -26.37 0.158
2-Sided Jacket 248 -22.46 0.21
Two stories
3-Sided Jacket 361 -23.8 0.16

Two stories with 2-Sided Jacket 259 -23.5 0.285

connectors 3-Sided Jacket 392 -28.3 0.16
2-Sided Jacket 265 -22 0.205
Three stories
3-Sided Jacket 384 -23.88 0.144

Three stories with 2-Sided Jacket 283 -23.15 0.28

connectors 3-Sided Jacket 415 -27.6 0.167

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7. Summary and Conclusions

This research presents the analysis of strengthening edge and corner columns using ANSYS program, the analysis
depends on transferring the load between the original column and the concrete jacket by friction between them.
Thirteen models were studied (3 Models for edge column, 3 Models for corner column and one Model for control
column) each column (Edge or corner) analysed by strengthening in one story, two stories and three stories. The
Analysis made twice, once without shear connector between the original column and the concrete jacket then the
analysis has been done using a shear connector between the original column and the concrete jacket. The analysis
results of the models were presented in the form of figures and tables; the results were compared with the values
derived from the equation of the Indian code IS 15988 (2013). From the analysis results we can conclude that:
 The Load capacity of concrete jacket increases with increasing the friction area between the original column
and the concrete jacket;
 The strengthening of edge and corner jacket for two or three stories enhancement the efficacy of the column
than strengthening in one story;
 Increasing the number of strengthened stories leads to more sustained normal stress before failure since the
jacket gives more confinement for original column;
 The sliding became smaller with increasing the confinement by using shear connectors or strength using more
than one story;
 It’s recommended that for edge column the concrete jacket must be at least in two stories and for corner
columns the concrete jacket must be at least in three stories;
 Using shear connectors between original column and concrete jacket increase the strengthened column
capacity;
 Mathematical design based upon IS 15988 (2013) assumes full bond between the concrete jacket and the
column which gives a higher value than FEM analysis, because the FEM depends on transferring the load from
the original column to the concrete jacket by friction which gives more realistic values.

8. Declarations
8.1. Author Contributions
Conceptualization, M.E., M.N., H.A. and M.A.; modelling and analysis, M.E. and M.N.; analysis and interpretation
of the results, M.N. and H.A.; writing - original draft preparation, M.E. and M.A.; writing - review and editing, M.E.,
H.A., M.A. and M.N. All authors have read and agreed to the published version of the manuscript.

8.2. Data Availability Statement

The data presented in this study are available on request from the corresponding author.

8.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

8.4. Conflicts of Interest

The authors declare no conflict of interest.

9. References
[1] BIS. IS 15988:2013: Seismic Evaluation and Strengthening of Existing Reinforced Concrete Buildings – Guidelines, (2013): 1-
25.

[2] Al-Azzouny M.A., El-Arabaty H., Korashy A.A., El-Shafie H. M. “Effect of Contact Surface Normal Pressure on the Structural
Behavior of Non-Symmetric Concrete Column Jackets. The International Journal of Engineering and Science (IJES), (2019):
56-70.

[3] Al-Azzouny. Nonlinear Response of Columns Strengthened by Non-Symmetric Concrete Jackets under Eccentric Vertical
Loading. PhD thesis, Faculty of Engineering, Ain shams University, Cairo, (2017).

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[4] Tariq, Shah Rukh, Liaqat Ali Qureshi, Babar Ali, and Muhammad Usman Rashid. “Structural Behavior of RC Columns
Improved by Different Strengthening Techniques.” Slovak Journal of Civil Engineering 28, no. 3 (September 1, 2020): 20–28.
doi:10.2478/sjce-2020-0020.

[5] Jassim, Wathiq, and Samir M. Chassib. “Effect of Fibrous Jacket on Behavior of RC Columns.” Civil Engineering Journal 6,
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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Structural Equation Modelling (SEM) Approach On Inappropriate

Construction Equipment Delay Factors

B. Indhu 1, 2*, K. Yogeswari 3

1
Research Scholar, B. S. Abdur Rahman Crescent Institute of Science and Technology, Chennai, India.
2
Assistant Professor, Department of Civil Engineering, SRM Institute of Science and Technology (SRMIST), Chennai, India.
3
Associate Professor, B.S. Abdur Rahman Crescent Institute of Science and Technology, Chennai, India.

Received 26 February 2021; Revised 15 May 2021; Accepted 27 May 2021; Published 01 July 2021

Abstract
The advancement of construction equipment is a trend in the construction industry, with numerous benefits. However,
using inappropriate construction equipment causes delays in construction projects, affecting the firm's reputation. A
number of research studies on overall delay have been conducted globally. Even so, there is a lack of research on
construction delays caused by inappropriate construction equipment. The aim of this paper is to investigate the
inappropriate construction equipment delay factors and their effects on the firm's reputation. Based on the issues
identified in the focus group interviews and the literature survey, a questionnaire survey was conducted to assess the
impact of these factors on the progress of Indian construction projects. The primary constraint was that all 300 responses
were collected in person from construction professionals to avoid lethargic responses that could skew the results. Pearson
correlation coefficients were used to determine the positive strength of each factor's relationship. A t-test was used to see
if there was a significant difference between the respondents' firm categories. Structural Equation Modeling (SEM) was
used to validate the effective relationship between the causes of delays due to inappropriate construction equipment and
its impact on company's reputation. All of the factors examined by the SEM analysis evidenced that the inappropriate
construction equipment factors are correlated among themselves and combined to impact the reputation of the company.
Recommendations are made to overcome the inappropriate equipment delay factors.
Keywords: Inappropriate Equipment; Management; Inventory; Equipment Selection; Equipment Replacement; Construction Delay.

1. Introduction
In fact, delays are one of the most common problems in the construction industry [1]. Only if the project is
completed within the projected timeline, meets the basic quality standards, and meets the client's expectations is it
considered satisfactory [2]. Despite several resources assisting the construction industry, construction project delays
continue [3, 4]. Investigating the causes of delays is essential to enhancing the construction industry's efficiency [5, 6].
For years, researchers all over the world and in their own country have been studying the causes and consequences of
delays in construction projects in a variety of protocols. The crisis discovered in various countries by various scholars
varies from country to country; in time, it varies from project to project [7].
According to global research, one of the most important factors influencing the success of building projects over
the last decade has been delays caused by the use of ineffective on-site equipment [3]. Massive equipment usage has

* Corresponding author: indhub@srmist.edu.in

http://dx.doi.org/10.28991/cej-2021-03091717

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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recently begun as a result of the need to complete building projects as soon as possible; however, effective equipment
planning, budgeting, optimization, and use of emerging modelling techniques are woefully inadequate. Construction
equipment preparation and scheduling must be carefully considered, because improper on-site equipment affects not
only the operation or the overall project duration, but also the project cost [8] in the current trend, innovations in the
construction sector can be demonstrated by the availability of a diverse range of specialised equipment on the market,
each with a unique design feature, making it difficult to select suitable equipment with advantageous characteristics
from a diverse range of alternatives available [9]. The SEM is a multivariate statistical technique for analysing the
relationships in a model between latent variables (causes of delay) and observed variables (effects of delay) [10]. SEM
can quantify the comprehensive relationships between investigated factors and has a high potential to solve
experience-oriented problems in the construction industry [11]. It is essential to understand the relationship between
the causes and effects of delays in order to make effective decisions to reduce project completion delays and avoid the
firm's reputation being negatively affected.
Various studies have used different ranking methods to investigate the factors influencing delay in Indian
construction projects. The effects of delay have also been investigated. However, there has been no research into
validating those factors versus effects using Structural Equation Modeling. This is the research's gap. This study
identifies the factors influencing inappropriate construction equipment as well as the factors influencing firm
reputation in India. The study's novelty is satisfied by using SEM to validate the relationship between the factors
influencing inappropriate construction management and their impact on the firm's reputation.

2. Past Studies
The first step in controlling the delay is determining the source of the delay [12]. With the rapid development of
infrastructure, the task of on-site machinery and equipment is critical to achieving efficiency and productivity. This
decision is made by matching the equipment in the fleet to the task at hand.

2.1. Improper Equipment Selection

Improperly chosen construction equipment can stymie progress, incur unnecessary costs, and pose significant
safety risks, making equipment selection a critical stage in execution and planning [13]. The proper construction
equipment must be chosen in order to meet the estimated costs, quality, and duration of the construction project, as
well as to ensure the active participation of both the individual construction union and the entire construction industry.
[14, 15]. Nonetheless, given the complicated financial circumstances and the project's total failure, this selection
problem necessitates locating and selecting the best version [16]. Unavailability of replacement parts for imported
equipment [17]; disposal of equipment for potential projects affecting the economy, lack of service support for
imported equipment, unsuitable climatic conditions for certain equipment, and lack of a prior record of equipment
verification were all issues related to inappropriate on-site equipment [18, 19].

2.2. Improper Inventory Management

Spare parts are required to ensure the critical equipment's operation. The nature of the requirement necessitates the
procurement of spare parts. To reduce the financial and commercial costs of downtime, both equipment dealers and
service providers must stock spare parts in their inventories [20]. Inadequate inventory planning of spare parts by the
project manager due to a lack of awareness and negligence causes inconvenience when the need for onsite equipment
arises. Improper procurement management, which results in the non-availability of spare parts when needed, is one of
the most common causes of project delays and should be taken seriously [21]. In that case, preventive maintenance
must be performed on the available equipment in order to track the inventory requirement in advance [22]. Improper
procurement management causes include: Non-stocking of imported spare parts; Equipment idleness due to importing
of spare parts; Inadequate installation: Non-tracking of equipment availability and Utilisation study [4, 23, 24].

2.3. Non-Replacement of Equipment

The equipment is subject to normal wear and tear due to its age. They may not be replaced on time, however, due
to financial constraints [25]. Failure to replace equipment on time results in low productivity and equipment efficiency
[3, 26–28]. Advances in the construction industry cause equipment obsolescence [7, 29]. Inadequate equipment is
another factor affecting the construction project's progress. Equipment cannot be replaced due to insufficient payment
[30–32].

2.4. Loss of the Firm’s Reputation

Delays have a negative impact on project delivery, resulting in late project completion and operation, which
contributes to the company's reputation being harmed [33- 35]. The critical effects of the delay examined in relation to
the Relative Importance Index (RII) in the Ethiopian construction industry rank termination of the contract as the third

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most important factor contributing to the Loss of the firm’s reputation [7]. The study conducted in the South African
construction industry discovered five major effects of the delay; among the five outcomes, low quality of work and
conflicts contributed to the Loss of the firm’s reputation [28]. Another Tanzanian study on the causes and effects of
construction project delays identified the negative social impact as the third most critical factor that tends to lead to the
company's reputation being harmed [36]. Cost overruns are another critical effect of delay, contributing to the firm's
reputation loss [37, 38]. Frequent construction delays cause disagreements and litigation, affecting the firm's reputation
[39].
The literature review revealed that, while equipment is available on-site, it is ineffective and inefficient, reducing
productivity. When needed, imported spare parts are not in stock. The inability to obtain imported spare parts also
contributes to equipment idleness. The three main factors affecting delay due to inapt equipment are an improper
selection of the right equipment, improper inventory management and non-replacement of equipment on time.
Equipment is also not replaced when needed due to a lack of funds. Cost overruns, negative social impact, disputes,
and litigation are all negative effects of delays caused by the use of inappropriate equipment on the job site. All of
these consequences result in the firm's reputation being affected.

3. Research Methodology
Figure 1 depicts the study's research design. To document the practical issues occurring on the construction site, a
focus group interview was conducted by arranging personal interviews with twenty-six plant and machinery
procurement managers. The factors were gathered from focus group interviews as well as the literature, and a
questionnaire was created. A questionnaire survey was conducted, and 300 samples were obtained from various
construction professionals. SPSS tools were used to analyse their questionnaire responses. Pearson correlation
coefficient analysis was performed to determine the strength of correlation within the delay factors. The t-test was
used to determine the impact of firm’s reputation loss. To investigate the relationship between the two types of firms,
the t-test was used. SEM analysis was performed to validate the positive relationship between the factors and their
impact on the firm's reputation. Based on the findings, recommendations are made to address the factors causing the
delay.

Figure 1. Research Design

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4. Data Collection
A focus group interview was conducted with twenty-six plant and machinery procurement managers to elicit
current factors of inappropriate construction equipment delay. Individual interviews were set up with each of the
experts, and the causes and effects of construction project obstruction due to inappropriate construction equipment
were explored. In a questionnaire, the questions based on the causes and effects of delay identified in the focus group
interview and literature survey were divided into four sections. Two senior academicians and one industry expert
reviewed the questionnaire design. The reviews were checked and edited as needed. The revised questionnaire was
distributed to respondents. 300 responses were gathered. The responses for the surveys were collected in person from
each respondent using the company's or individual's authorized facsimile.
The responses were analysed using multivariate statistical techniques. On a 5-point Likert scale, the questionnaire
responses were received. Table 1 categorises the causes of delay due to inappropriate construction equipment
identified through focus group interviews and a literature review as three major factors: Improper inventory
management; Non-replacement of equipment and Improper equipment selection. The causes grouped under Improper
inventory management are: (1) Non-stocking of imported spare parts (2) Equipment idleness due to importing of spare
parts (3) Inadequate installation and (4) Non-tracking of equipment availability and utilization study. The causes
grouped under Non-replacement of equipment are: (5) Normal wear for age (6) Low efficiency of equipment (7)
Obsolescence i.e. outdated equipment and (8) Inadequacy i.e. Outdated product design. The causes grouped under
Improper equipment selection are: (9) Improper size selection leading to workspace constraints (10) Non-availability
of spare parts for imported equipment (11) Demand of trained operators for specialised equipment (12) Useless for
future projects affecting economy (13) Lack of service support for imported equipment (14) Unsuitable climatic
conditions and (15) Lack of past performance analysis. Also, the effects of delay with respect to Loss of the firm’s
reputation are categorised as: (16) Cost overrun; (17) Negative social impact; (18) Disputes and litigation; (19) Poor
quality of work and (20) Termination of contract.

Table 1. Causes and Effects of delay

Sl. No Causes of Delay Key Factor

1 Non-stocking of imported spare parts.
2 Equipment idleness due to importing of spare parts.
Improper Inventory Management
3 Inadequate installation
4 Non-tracking of equipment availability and utilisation study
5 Normal wear for age
6 Low efficiency of equipment
Non-replacement of equipment
7 Obsolescence i.e. outdated equipment
8 Inadequacy i.e. outdated product design
9 Improper size selection leading to workspace constraints
10 Non-availability of spare parts for imported equipment
11 Demand of trained operators for specialized equipment
12 Useless for future projects affecting the economy Improper equipment selection
13 Lack of service support for imported equipment
14 Do not go well with the climatic conditions
15 Lack of past performance analysis
Effects of Delay
16 Cost overrun
17 Negative social impact
18 Disputes and litigation Loss of the firm’s reputation
19 Poor quality of work
20 Termination of contract

Since this study was conducted for Indian Context, the sample was collected from various parts of India as given in
Table 2.

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Table 2. Study Area Locations

Sl. No Districts State / Union Territory No of respondents

1 Chennai Tamilnadu 54
2 Cochin Kerala 20
3 Bhopal Madhya Pradesh 42
4 Ahmedabad Gujarat 29
5 Portblair A & N Islands 35
6 Hyderabad Telangana 20
7 Bangalore Karnataka 30
8 Mumbai Maharashtra 44
9 Kolkata West Bengal 10
10 Amaravathi Andra Pradesh 16
Total 300

The sample was gathered from construction experts who have worked with construction equipment in the past and
in current projects. The frequency of the samples concerning the Category of the firm, Designation of the surveyors,
Experience in years, Type of the current project and delay in the current project is given in Table 3. Private firms have
a higher response rate than individual firms because private firms have all designations and employees with varying
levels of experience. However, individual company has a limited number of employees.

Table 3. Frequency distribution of the collected samples

Category of firm Frequency Percent
Private 237 79
Individual 63 21
Designation of Surveyors
Contractor 36 12
Equipment Dealer 6 2
Equipment Operator 18 6
Engineers 123 41
Project Managers 69 23
Others 48 16
Experience in years
Up to 5 120 40
6–10 84 28
11–15 39 13
16–20 27 9
Above 20 30 10
Type of the project
Residential 210 70
Road 9 3
Commercial 81 27
Delay in the current Project (%)
No delay 144 48
6–10 45 15
11–15 57 19
16–20 48 16
Above 20 6 2
Total 300 100

5. Factor Analysis
A t-test was used to see if there was any significant difference between the Categories of firms in terms of
Inappropriate equipment delay causes. Table 4 shows the results. Because the effects of delay in this study are on the
‘Reputation of the firm,' a t-test is used to determine whether or not there is a significant difference between the two
categories of the firm. As a result, because the P-value is greater than 0.05, there is no significant difference between

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the Mean and SD of the Category of Firms for the factors of ‘Improper inventory management’, ‘Non-replacement of
equipment’, and ‘Improper equipment selection’. Whether it is an individual firm or a private firm, they all have a
similar level of experience with the equipment. It has been observed that both face similar equipment-related issues,
which cause construction work to be delayed.
Table 4. t-Test Category of firm

Category of firm
Inappropriate equipment delay causes Individual Private T value P value
Mean SD Mean SD
a. Improper Inventory Management 14.44 2.886 13.75 3.193 0.939 0.350
b. Non-replacement of Equipment 13.86 3.343 13.40 4.627 0.507 0.613
c. Improper equipment selection 24.44 5.448 24.80 3.365 0.279 0.781

Table 5. Pearson Correlation Coefficient among Inappropriate equipment delay causes

Improper Inventory Non-replacement of Improper equipment

Inappropriate equipment delay causes
Management Equipment selection
Improper Inventory Management 1 0.705** 0.589**
Non-replacement of Equipment - 1 0.642**
Improper equipment selection - - 1

Table 5 shows the linear relationship between the three factors of causes of delay with each other. (**) Denotes
significant at 1% level The Spearman's rank correlation coefficient ranges from +1 to -1. Where +1 denotes a perfect
positive relationship, -1 denotes a perfect negative relationship, and values close to zero denote little or no correlation
[40]. The correlation coefficient between Inappropriate equipment delay Causes on ‘Improper inventory management’
and ‘Non-replacement of equipment’ is (0.705), indicating a 70.5 percent positive relationship between ‘Improper
inventory management’ and ‘Non-replacement of equipment’ and is significant at the 1% level. The correlation
coefficient (0.642) between factors of causes of delay on ‘Non Replacement of equipment’ and ‘Improper equipment
selection’ shows 64.2 percent of positive relationships between ‘Non Replacement of equipment’ and ‘Improper
equipment selection’ and is significant at the 1% level. The coefficients in the preceding two cases were greater than
0.6, indicating a high correlation coefficient. Because the correlation coefficient (0.589) between ‘Improper inventory
management’ and ‘Improper equipment selection’ is less than 0.6, it shows only 58.9 percent of a positive
relationship, indicating a medium-correlation relationship [11].
Table 6. Mean and SD of Factors affecting delay due to Improper inventory management

Factors affecting delay due to Improper inventory management Mean SD

a. Non - stocking of imported spare parts. 4.044 0.944
b. Equipment idleness due to importing of spare parts. 3.860 0.909
c. Inadequate installation 3.584 0.976
d. Non-tracking of equipment availability and utilization study 3.540 1.039

According to the mean score in Table 6, the main factor affecting project delay due to ‘Improper inventory
management’ is ‘Non-stocking of imported spare parts’ (4.044), followed by ‘Equipment idleness due to importing
spare parts’ (3.860), ‘Non-tracking of equipment availability and utilisation study’ (3.540), and ‘Inadequate
installation’ (3.584) are the least important factors.
Table 7. Mean and SD of Factors affecting delay due to non-replacement of equipments

Factors affecting delay due to non-replacement of equipments Mean SD

a. Normal wear for age 3.900 0.951
b. Low efficiency of equipment 3.734 0.987
c. Obsolescence i.e. outdated equipments 3.656 1.004
d. Inadequacy i.e. Outdated product design 3.576 1.098

The main factor affecting the delay in the project based on the mean score mentioned in the Table 7 due to ‘Non-
replacement of equipment’s are ‘Normal wear for age’ (3.900), followed by ‘Low efficiency of equipment’ (3.734).
The least factors affecting the delay are ‘Inadequacy i.e. Outdated product design’ (3.576), followed by ‘Obsolescence
i.e. outdated equipment’s’ (3.576).

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Table 8. Mean and SD of Factors affecting delay due to Improper equipment selection

Factors affecting delay due to Improper equipment selection Mean SD

a. a. Improper size selection leading to workspace constraints 3.816 1.043

b. b. Non availability of spare parts for imported equipments 3.714 0.981

c. c. Demand of trained operators for specialized equipments 3.742 0.951

d. d. Useless for future projects affecting economy 3.494 1.030

e. e. Lack of service support for imported equipments 3.642 0.963

f. f. Do not go well with the climatic condition 3.510 1.073

g. g. Lack of past performance analysis 3.624 1.016

According to the mean score in Table 8, The most important factor influencing the delay in projects due to
‘Improper equipment selection’ are ‘Improper size selection leading to workspace constraints’ (3.816), which is
followed by the ‘Demand of trained operators for specialized equipment’ (3.742), ‘Non-availability of spare parts for
imported equipment’ (3.714) and so on. The least important factor affecting the delay of the project is ‘Useless for
future projects affecting economy’ (3.494) followed by ‘Do not go well with the climatic condition’ (3.510), ‘Lack of
past performance analysis’ (3.624) and so on.

Table 9. Mean and SD of Factors affecting Loss of the firm’s reputation of the firm

Factors affecting delay due to Loss of the firm’s

Mean SD
reputation of the firm

Cost overrun 3.766 1.011

Negative social impact 3.506 1.090

Disputes and litigation 3.764 0.980

Poor quality of work 3.620 1.109

Termination of contract 3.650 0.972

According to the mean score in Table 9, the most important factors affecting Loss of the firm’s reputation of the
firm are ‘Cost overrun’ (3.766), which is followed by ‘Disputes and litigation’ (3.764). The least factor affecting is
‘Negative social impact’ (3.506) followed by ‘Poor quality of work’ (3.620).

6. Structural Equation Modelling Results

Structural Equation Modelling describes how closely the factors of Inappropriate equipment delay, namely
‘Improper inventory management’, ‘Non-replacement of equipment’, and ‘Improper equipment selection’, are
correlated with one another and have an impact on the company's reputation as shown in Figure 2.

R²=0.5

Improper inventory
management 0.756

R²=0.34
R²=0.72
0.846 0.583
Non Replacement of Causes of
Loss of reputation
equipments delay

R²=0.50 0.705

Improper selection of
equipment

Figure 2. Structural equation model based on standardised coefficient on Inappropriate equipment delay causes

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Table 10. Inappropriate equipment delay causes in the Structural Equation Model Analysis

Inappropriate equipment delay Unstandardised Standard Standardised

t value P value
causes coefficient (B) Error of B coefficient

Improper inventory Management 2.241 0.124 0.756 18.142 <0.001**

Non-replacement of equipment 2.651 0.127 0.846 20.922 <0.001**

Improper equipment selection 3.418 0.206 0.705 16.624 <0.001**

Loss of the firm’s reputation 3.083 0.234 0.583 13.157 <0.001**

Table 10 shows that (**) indicates significant at the 1% level. The most significant cause is an unstandardized
coefficient of ‘Improper equipment selection (3.418), followed by ‘Non-replacement of equipment’ (2.651) and
‘Improper inventory management’ (2.241). The coefficient of ‘Loss of the firm’s reputation’ (3.083) indicates that the
causes of inappropriate equipment have a positive impact on it.A standardized coefficient's purpose is to assess the
relative contribution of a predictor variable and an actual variable [41]. ‘Improper inventory management’ is
associated with causes of delay (B = 0.756, p-value 0.001); ‘Non-replacement of equipment’ is associated with causes
of delay (B = 0.846, p-value 0.001); ‘Improper equipment selection’ is associated with causes of delay (B = 0.705, p-
value 0.001); and causes of delay are associated with ‘Loss of the firm’s reputation’ (B = 0.583, p-value 0.001). There
is no such thing as a negative coefficient. In this study, all three causes of Inappropriate equipment delay are shown to
have an impact on the firm's reputation.

Table 11. Model fit summary of Structural Equation Model

Indices Value Suggested by Hair et al. (2010) [42]

Chi-square value/DF 2.091 <3.00

GFI 0.979 > 0.959

AGFI 0.937 > 0.90

NFI 0.970 > 0.990

CFI 0.972 > 0.955

RMR 0.066 < 0.08

RMSEA 0.039 < 0.08

According to Table 11, the Goodness of Fit Index (GFI) value (0.979) and Adjusted Goodness of Fit Index (AGFI)
value (0.937) are greater than 0.959 and 0.9, indicating a good fit. It is found that the calculated Normed Fit Index
(NFI) value (0.970) and Comparative Fit Index (CFI) value (0.972) indicate that it is a perfect fit, as do the Root Mean
Square Residuals (RMR) value (0.066) and Root Mean Square Error of Approximation (RMSEA) value (0.039).6.

7. Discussion
According to a Taiwanese study, SEM quantifies the strength of relationship in both observed and construct
variables. Using SEM, they have identified how the causes of delay are related to one another and how they're being
combined to impact the effects of delay. The SEM validated this study by demonstrating the impact of Inappropriate
equipment delay causes among themselves and on the firm's reputation (R2=0.34). A study in Ghana examined the
effects of delay, ‘Cost overrun (Rank =1),' Litigation (Rank =3), Contract termination (Rank =6). and ‘Increased
Portfolio of Non-Performant Projects (Rank=7)' contributing to the factor of ‘Loss of firm’s reputation' in this study
[43]. A study in Iran ranked ‘Cost overrun (Rank=2), Disputes (Rank=3), and Litigation (Rank=6) among the
consequences of delay. The Inappropriate equipment delay causes are influenced by ‘Improper inventory
Management’ (R2=0.57), ‘Non-replacement of equipment’ (R2=0.72) and ‘Improper equipment selection’ (R2=0.50).
According to this study, the causes of delays caused by inappropriate equipment are linked. A study in Hargeisa found
that ‘Low efficiency of equipment' ranks third in the delay factor related to equipment, contributing to the factor ‘Non
replacement of equipment' [44, 45]. In support of the factor ‘Improper equipment selection,' a recent Malaysian study
ranked ‘Improper or insufficient plant and equipment selection' 17 th in overall causes of delay [46]. Among the overall
causes of delay, ‘Equipment unavailability' ranks eighth in Benin and nineteenth in Oman, contributing to the factor
‘Improper Inventory Management.' [47-48]. Previous researchers have also used simple tools such as regression,
which are insufficiently accurate due to co-linearity and multi-co-linearity effects [27]. The key strength is that the
research findings demonstrated that absolute fit indices fit the sample data and reveal that the proposed model has an
acceptable fit by satisfying the recommended values [36].

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7.1. Recommendations
Although not all the causes of equipment delay can be completely eliminated, but actions can be taken to reduce
the maximum delay by considering the following recommendations as balanced inventory must be maintained to
overcome both zero stock to avoid non-availability of the equipment at the right time and to avoid excessive stock,
which increases the cost for storing excess spare parts than required; the people in-charge employed for a particular
type of project have to be well experienced in the field of interest. Change in type of project takes time for them to get
adapted to, leading to improper planning for availing the right choice of equipment. The person in-charge must be
aware of the working conditions and production rate of equipment required for the project and should be able to make
a proper selection of equipment; downtime of equipment has to be reduced by detecting and diagnosing the fault
during maintenance; quick replacement of equipment with respect to deterioration (normal wear and tear),
obsolescence (outdated equipment) and inadequacy (change in product design) has to be ensured.

8. Conclusion
Through focus group interviews and a literature review, this study systematically investigated the reasons for the
delay caused by the use of Inappropriate construction equipment on the job site. Through focus group interviews and a
literature review, fifteen causes of delay due to Inappropriate equipment usage were identified and classified into three
major factors: ‘Improper inventory management’, ‘Non-replacement of equipment’, and ‘Improper equipment
selection’. ‘Improper equipment selection’. The following were the consequences of the delay: ‘Cost overruns;
Negative social impact; Disputes and Litigation; Poor quality of work; and Contract termination, resulting in the firm's
reputation being negatively affected. These factors were framed as questions and distributed to various construction
professionals under various categories, such as firm category, surveyor designation, experience in years, type of
current project, and delay in current project. The SEM demonstrated that the indices' values perfectly fit the suggested
value, indicating a positive relationship between Inappropriate equipment delay causes and ‘Loss of the firm’s
reputation’ factor. Using SEM, the factor ‘Improper equipment selection' is reported to be the most sensitive factor
causing delay, followed by ‘Non Replacement of Equipment' and ‘Improper Inventory Management.' As a result, in
order to avoid a loss of the firm's reputation, projects must be delivered on time by increasing productivity on-site by
using appropriate equipment.
Limitations
 This study is limited to inappropriate construction equipment factors alone, despite the fact that there are
numerous other causes of construction equipment delay due to the fact that ‘Inappropriate construction
equipment’ factor itself has numerous causes. There are various other effects of delay, but in this study, only the
‘Loss of the firm's reputation’ has been thoroughly researched because this issue itself afflicts the development of
the country in a large scale
 Because India is such a large country, only a few states have been surveyed.
Future Scope
Future research can be improved by overcoming the study's limitations and investigating other causes and effects
of equipment delay. The sample size can also be increased by covering a large section of the population on a mass
scale.

9. Declarations
9.1. Author Contributions
B.I.: Research Design, Conducted questionnaires survey, Analysed and interpreted the data; writing—original draft
preparation; K.Y.: Conducted focus group interview; Analysed and interpreted the data. All authors have read and
agreed to the published version of the manuscript.

9.2. Data Availability Statement

The data presented in this study are available in article.

9.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

9.4. Conflicts of Interest

The authors declare no conflict of interest.

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Appendix I: Questionnaire Survey

Company Profile
Category of firm:
Type of current project:
Delay in the current project (%):

Respondent’s Profile
Name of the Respondent:
Designation:
Experience:
Five Point Likert Scale
5 – Strongly Agree 4 – Agree 3 – Neutral 2 – Disagree 1 – Strongly Disagree

Table A1. Factors affecting delay due to Improper inventory management

Causes 4 3 2 1 0
a. Non-stocking of imported spare parts.
b. Equipment idleness due to importing of spare parts.
c. Inadequate installation
d. Non-tracking of equipment availability and utilisation study

Table A2. Factors affecting delay due to Non-replacement of equipment

Causes 4 3 2 1 0
a. Normal wear for age
b. Low efficiency of equipment
c. Obsolescence i.e. outdated equipment
d. Inadequacy i.e. outdated product design

Table A3. Factors affecting delay due to Improper equipment selection

Causes 4 3 2 1 0
h. Improper size selection leading to workspace constraints
i. Non-availability of spare parts for imported equipment
j. Demand of trained operators for specialised equipment
k. Useless for future projects affecting the economy
l. Lack of service support for imported equipment
m. Do not go well with the climatic conditions
n. Lack of past performance analysis

Table A4. Factors affecting Loss of the firm’s reputation of firm

Causes 4 3 2 1 0
Cost overrun
Negative social impact
Disputes and litigation
Poor quality of work
Termination of contract

Place and Data: Signature with Company Seal

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Mechanical Behavior of Concrete Reinforced with Waste

Aluminium Strips

Imran Ali Channa 1*, Abdullah Saand 2

1
Civil Engineering Department, Quaid-e-Awam University of Engineering, Science & Technology, Nawabshah, Sindh 67450, Pakistan.
2
Professor, Civil Engineering Department, Quaid-e-Awam University of Engineering, Science & Technology, Nawabshah, Sindh 67450, Pakistan.

Received 08 March 2021; Revised 24 May 2021; Accepted 06 June 2021; Published 01 July 2021

Abstract
The main objective of this research work is to investigate the influence of the addition of waste materials, like aluminium
waste material, Soft Drink Tin Fibers (SDTF) or soft tins to improve mechanical properties of concrete and also study the
strength behavior of concrete, such as flexural strength and indirect or split tensile strength. It has been acknowledged
that the use of fibers in concrete has considerable effects to improve strength parameters and characteristics of concrete.
In this research work, similar efforts are made to present the effects of soft tin fibers or aluminium waste material as a
reinforcing material in concrete and to assess the mechanical behavior of concrete. Particularly, this research work aimed
to investigate experimentally the effect of soft drink tins on tensile (cylinder splitting tensile strength) and flexural
strength. Soft tin fibers of 25.4 × 5 × 0.5 mm in size were used and added from 1 to 5% by the weight of cement with
the design mix of 1:1.624:2.760 at 0.50 w/c ratio. Therefore, 6 batches (every batch contained 3 prisms and 3 cylinders)
were prepared and cast for evaluation of tensile and flexural strength. One batch was cast without inclusion of fibers
(controlled batch) and remaining 5 batches were cast with the addition of fibers using 1, 2, 3, 4, and 5% respectively. It
was revealed from obtained results that split tensile strength and flexural strength of specimen increases as compared to
controlled batch up to 4% addition of fibers. Moreover, beyond 4% soft drink tin fiber level, strength begins to fall down.
Thus, it can be suggested that mechanical properties of concrete can be enhanced by 4% of soft drink tin fibers.
Moreover, in this study, soft drink tin fibers (SDTF) or aluminium waste are used as the application of utilization of
waste materials as a partial construction material and also on another side it controls the solid waste and environmental
pollution.
Keywords: Fiber-reinforced Concrete; Mechanical Behaviour; Soft Drink Tin Fibers (SDTF); Aluminium Waste; Flexural Strength;
Indirect Tensile Strength.

1. Introduction
Concrete is considered a very important and versatile material extensively used in construction industry owing to
various benefits. It is viable, robust and cost-effective as compared to other conventional building materials [1].
Flexural and tensile strength of concrete is low; however, it is very strong in compressive strength as concrete is brittle
in nature [2]. Thus, in order to improve the flexural strength and tensile strength, various types of fibers are mostly
used as reinforcement [3]. As a matter of fact, steel helps to the carbon dioxide CO2 emissions in atmosphere, which
enhances to global warming [4]. In this regard, there is need of an hour for sustainable, green or fiber reinforced

* Corresponding author: channaimran99@gmail.com

http://dx.doi.org/10.28991/cej-2021-03091718

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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concrete to be used from waste materials, that must be eco-friendly concrete. Fiber reinforced concrete is the concrete
that contains fibrous material that increases its structural performance. It comprises short discrete fibers that are
consistently distributed and randomly oriented. Furthermore, the fibers obtained from waste materials of the
environment are utilized in order to protect natural resources and reduce environmental pollution. The idea of
reinforcing concrete by the inclusion of fiber was first advised by Portar in 1910.
Moreover, the works of Romualdi, and Batson (1963) on steel fibers in concrete, and of Biryukovich on the glass
fiber reinforced concrete paved a new concept in this subject [5]. The concept of utilizing fibers as reinforcement
material is not a modern concept, fibers have been used as reinforcement since traditional and ancient times [6]. A
recent advancement has been made in this subject; waste materials have been used in concrete to improve one of the
strength behaviors of the concrete by incorporating fibers in concrete [7]. Inclusion of fibers improves the performance
of concrete. Most of the fibers have high value of elastic modulus and other properties which might have a positive
influence on concrete properties. Thus, fibers contribute in improving many of the properties like, flexural strength,
tensile strength, compressive strength, and others. At the present time, waste material is abundantly being utilized in
concrete as one other fibers to make fiber reinforcement concrete. Many researchers are struggling on the usage of
such waste materials for increasing the strength of concrete structures and ultimately finding the cost-effective and
eco-friendly materials. Moreover, research into novel fiber-reinforced concretes continues at present [8]. Thus, in this
study soft tin fibers or aluminium waste fibers are used as reinforcing material to enhance mechanical properties of
concrete [9, 10].
In recent times, similar efforts have been made to improve strength parameters by using fibers [11]. They
investigated the compressive strength by using soft tin fibers and results were obtained satisfactory, moreover,
workability was also investigated by using fibers. However, other strength parameters such as tensile and flexural
could also be determined by using the same fibers. Therefore, this study aimed to investigate tensile and flexural
strength parameters to improve overall mechanical performance of concrete. As concrete is very weak in tension, it is
quite essential to improve the weaker part of concrete. Tensile strength of concrete is considered as 10% of its
compressive strength and flexural strength is comparatively low. In this regard, few studies are available on the use of
soft tin fibers or aluminium can fibers to determine strength parameters [12, 13]. Authors utilize aluminium can fibers
by using different fiber ratios by the weight of cement, results revealed that the tensile and flexural strength is
improved with increasing fibers while compressive strength is adversely affected. It was observed from the study that
for 3% addition of aluminium can fibers tensile and flexural strength increase considerably. Similar work was also
performed on the use of soft drink can fibers with different dosage of fibers by the volume of concrete [14, 15]. It was
found from the study that the tensile strength is increased by 1.5% and the compressive strength by 0.5%, however,
with the increasing dosage of fibers, the compressive strength slightly decreases.
In order to improve low tensile strength and flexural strength, inclusion of fibers in concrete have been a major
concern of the researchers. Moreover, Influence of addition of fibers on concrete have been studied and investigated in
detail and use of waste materials and aluminium can fibers are being used abundantly as a reinforcing material and
partial construction material in today’s construction industries to make concrete robust and cost-effective material [16,
17]. Large amounts of solid waste materials gather every year in every country. Nowadays resource efficiency is being
increased as the utmost important concern in construction industries [18]. Thus, use of waste materials and secondary
materials are being emphasised in the production and today’s construction industries. With the increasing demand of
cement for concrete, a huge volume of energy is required. It is reported that about 7% of CO 2 is released to the
atmosphere owing to generation of cement in production industries [19]. Detrimental properties of concrete on the
environment can be eliminated by making durable concrete by using these secondary and waste materials. In our
country Pakistan, there is a huge number of construction practices which are growing at a rapid rate. Such an
enormous scale building and construction activities demand a huge amount of capital and other sources. Building and
other construction materials contribute near around 75% of the cost out of total cost. Thus, there is dire need of the
replacement of expensive, and conventional construction materials by creative, innovative cost-effective substitute
construction materials. Hence, in this study use of soft drink can fiber or aluminium waste fiber is used as the waste
and secondary materials generated as a result of the environmental waste. This can have a good influence on tensile
and flexural strength parameters. Results revealed that there is a positive influence of addition of fibers in improving
mechanical performance of the concrete in terms of tensile and flexural strength parameters.
Soft drink tin fiber or aluminium can fiber is considered as one of the waste materials or secondary materials, this
could have a promising future in the construction sector. It is a waste material obtained after the use of beverage cans
in which beverage or liquid is filled, a large number of beverage cans are accumulated at shops of ‘scrape’ per day by
laborers. Moreover, there are a number of studies related to the utilization of these fibers under the capacity of
reinforcing material in concrete that have been investigated and reported by the researchers and investigators [20]. In
all studies, the researchers have worked on the use of soft drink can fibers or aluminium waste fibers to improve some
of the parameters and characteristics of concrete [21], such as workability, fatigue strength, density, post crack
behavior, energy absorbing capacity of concrete. Moreover, it is found that the inclusion of fibers in concrete has

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considerable effects to reduce the cracking, shrinkage, and permeability of concrete by using different types of fiber
dosage and weightage ratios. However, use of soft drink can fibers in concrete for determining mechanical behaviour
of concrete in terms of tensile and flexural strength is comparatively less investigated. Thus, this research work is
aimed and limited to explore the effect of the addition of aluminium waste fibers or soft drink can fibers on these
parameters and is undertaken in detail by using different weightage or dose of the fibers. Furthermore, compressive
strength and other parameters are not taken as the targets to be investigated under this study, however, the problem of
low tensile strength and flexural strength of concrete is addressed; that is the real gap and problem to be considered
under this piece of research work.

2. Materials and Methods

2.1. Water and Cement
In this study, ordinary Portland cement (OPC was used, named Falcon cement line brand of BSS-12 / 1978,
Pakistan standard. In this research, potable and drinking water of the city of Nawabshah, Pakistan was used for
concreting. Characteristics of cement are mentioned in Table 1.

Table 1. Cement Properties

Properties Value
Specific gravity 3.14
Fineness (m2/kg) 225
Initial setting time 40
Final Setting time 138
Standard Consistency (%) 27

2.2. Aggregates
Hill sand of size less than 4.75 mm was used and nominal maximum size of 10 mm for coarse aggregates used in
this study. Fine and coarse aggregates were obtained from Nooriabad, district Jamshoro. Aggregate properties are
mentioned in Table 2.

Table 2. Aggregate Properties

Aggregates
Properties
Fine Coarse
Specific gravity 2.61 2.66
Fineness Modulus 2.49 6.94
Water Absorption (% age) 1.69 1.38
Unit Weight (lb/ft3) 102.5 97.5

2.3. Soft Drink Tin Fibers

Soft Drink Tin Fibers, the metallic waste, were collected from the different sources, such as, shops of scrape and
marriage halls or clubs from Hyderabad, Nawabshah and Karachi. They were collected with the help of laborers. This
soft drink can fiber is an aluminium metal container that is designed to take the liquid and beverages, such as soft drinks
(carbonated), alcoholic liquids or beverages, energy and fruit juices or drinks etc. [22]. Beverages fibre cans are made
up of aluminum nearly 75% or tin-plated steel about 25%. Worldwide production of beverages cans is nearly 470
billion cans per annum [23]. Chemical composition of modern beverage can be shown in the Table 3.

Table 3. Chemical Composition

Value
Properties
Fe Si Mg Mn Cu
Specific gravity 0.4 0.2 1.2 0.9 0.2
Fineness (m2/kg) 0.2 0.1 4.7 0.3 < 0.1

2.4. Concrete Mix Design

Concrete mix design was selected for 30 MPa at 28 days as per British DoE method. Few trials were performed to
check the mix design for the required strength; design mix proportion of concrete by DoE method was obtained as:
1:1.624:2.760 at 0.50 w/c ratio. The slump cone method was used for workability for freshly prepared concrete. In this
research, 36 specimens were cast consisting of 6 batches and each batch was consisted of 6 specimens (3 cylinders and

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3 prisms). Among 36 specimens of 6 batches, 6 specimens of 1 batch were made with control concrete (without
inclusion of soft tin fibers) and remaining 30 specimens of 5 batches were made of fiber reinforced concrete (inclusion
of fibers). Each 6 specimens were made using 1, 2, 3, 4, and 5% of soft tin can fibers respectively. After casting, the
cylinders and prisms were demolded after 24 hours and then kept in water tank for 28 days for proper curing. After
proper 28 days curing, they were tested for tensile and flexural strength.

2.5. Collection, Storage and Treatment of Soft Tin Fibers

Generally, the sources of getting beverage cans are the shops of scrape and marriage halls or clubs, where beverage
cans are habitually used and were collected after drinking purposes. In this connection, estimated required quantities
were collected from different shops of scrape from Nawabshah, Hyderabad and Karachi with the help of laborers from
marriage halls and clubs. After collecting required quantity of beverage cans, they were stored in a storeroom in closed
bags to protect from possible environmental effects.

Figure 1. Compressed and levelled top & bottom portions of cans

For good quality of work in this research work, cans were washed with detergent and cleaned with wire brushes.
Top and the bottom portion were separated from the main body with the help of cutting iron cast cutters with sharp
edges like scissors. Before making their fiber strips, top and bottom portion of cans were leveled by Forney hydraulic
machine, Universal Testing Machine (UTM). In order to create roughness on surfaces for producing good bond,
surfaces of fibers were scratched with steel wires.

Figure 2. Sketch work for cutting strips

After leveling, circular portions of top and bottom were sketched into small strips having a length of strip 25.4 mm
(1 inch) width 5 mm and thickness 0.5 mm with the help of pencil and scale, and after completing the sketches fibers
were cut according to given sketches with the scissors.

2.6. Concreting
2.6.1. Selection of Materials
As a matter of fact, good quality of concrete primarily be governed by the quality of materials selected and the
materials used for concrete must follow the required specifications depends upon the required strength of concrete
[24]. In this study, fresh cement (Falcon line brand cement) of approved quality, the crushed aggregate of good quality
and potable water (drinking water) were used.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

2.6.2. Proportioning of Materials for Concrete

Concrete must be adequate in two conditions namely that in which it is placed in position; and that in which it
becomes ultimately hardened mass. Hence, both these conditions govern the choice of proportion [25]. The proportion
of cement, fine aggregated and coarse aggregates according to DOE method, was obtained and suggested as 410: 666:
1134 (kg/m3) or 1:1. 624:2.76

2.6.3. Batching of Concrete

Materials for making concrete can be batched either by volume or by weight. Weight batching was done in this
study, every batch consisted of 6 specimens with 3 cylinders and 3 prisms (small beams), for each batch 8.15, 13.20,
and 22.50 kg of cement, fine aggregated and coarse aggregates respectively were required as per mix design and 4.10 kg
of water was used. In order to obtain uniformity, mixing was done thoroughly and mixing was done manually because
work was limited and small only for 0.0198 m3 quantity, ingredients were mixed on a watertight platform in the dry
state.

Figure 3. Mixing of soft drink can/aluminium can fibers in concrete

The quantity of fibers was mixed in a dry state with % of cement quantity used, as shown in Figure 3, then the
estimated quantity of water was added and mixing was done uniformly till the concrete becomes uniform in color. It
was preferred to add about 8 to 10% extra cement considering lesser efficiency of hand mixing [26].

2.6.4. Handling and Transportation of Concrete

As soon as the concrete was mixed, it was transferred for placing purpose besides the electrical table vibrator where
the specimens were placed. In no case this time should exceed the initial setting time of cement further it should not
cause segregation of it and should be economical and metal pans were used for this purpose.

2.6.5. Placing of Concrete

After transferring concrete from mixing place, placing of concrete was done carefully to the required place and in no
case this time should exceed the initial setting time i.e., about 20 to 30 minutes, further once it was placed it should not
be disturbed. Before placing of concrete into the specimens, specimens were oiled, cleaned, and wetted that they may be
safely removed after casting and they may not absorb moisture from concrete, concrete was poured into the specimen in
horizontal layers.

2.6.6. Compaction
In order to ensure a dense structure, free from air bubbles, compaction of concrete was done, it is one of the most
important parts of concreting, compaction was done by table vibrator, concrete was poured into specimen on the base of
electrical table vibrator and placing and compaction was carried out simultaneously and steel rod was used for uniform
placing and remove air bubbles.

2.6.7. Curing of Concrete

The setting of concrete is due to the chemical action of concrete; this chemical reaction depends on the presence of
water. Sufficient quantity of water should be there to continue the chemical action till the concrete becomes fully
hardened. The cast specimens were put in a water tank for the period of 28 days; generally, beyond 28-day strength is
comparatively slower [27]. Before curing, water tank was cleaned and foreign matter (organic and inorganic) was
removed. Moreover, drinking water was used for curing.

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• Initiating/Planning
• Selection & Collection of Materials
Preliminary/Field Work
• Storage of Materials
• Treatment Processes of Fibers

• Different Trials were performed for required

ratio
Concrete Mix Design
• DOE method was used
• Parameters were selected

• Amount of Cement & Water

Materials • Aggregates
• Fiber Quantities (weightage/dose)

• Proportioning
• Batching (by weight)
• Handling/Transportation
Methods
• Placing
• Compaction
• Curing

• 18 Cylinders were cast for Tensile Strength

Casting Evaluation
• 18 Beams were cast for Flexural Strength Evaluation

Performance Evaluation under

UTM Machine

Analysis of Test Results

Conclusions and Findings

Figure 4. Flowchart showing research methodology
3. Study Parameters and Laboratory Tests
For study purpose, there were two parameters under consideration i.e., indirect tensile strength and flexural
strength and individually every parameter is described in detail.

3.1. Indirect Tensile Strength

To investigate the indirect tensile strength (splitting), cylindrical molds with 100 mm in diameter and 200 mm in
length were cast. Total 18 cylindrical specimens were cast. The cylinders were designated and divided into six series
labelled as A, B, C, D, E, and F.

Figure 5. Section details of cylinderical mould

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Figure 6. Experimental setup under UTM

Series A contained three cylinders labelled as A1, A2 and A3. These three cylinders were set as control specimen
and were without inclusion of fibers. Series B contained three cylinders labelled as B1, B2 and B3. These three
specimens were added with 1% of soft drink/aluminium can fiber in cement concrete. In similar fashion, series C, D, E
and F contained C1, C2, C3, D1, D2, D3, E1, E2, E3 and F1, F2, F3 cylinders were added with 2, 3 ,4 and 5% of soft
drink tin fiber respectively. For easy removal of cast material from the molds, the crude lubricant was applied properly
on inner surfaces. Concrete was placed and poured properly throughout its length then compacted well. To conduct the
experimental test, the cylinder specimens were placed under Universal Testing Machine (UTM) as shown Figure 6.

Figure 7. Splitting failure at ultimate load

Figure 8. Splitting at ultimate load

The indirect or splitting tensile strength of concrete was calculated by using expression, Ft = 2P/πLD to conform
with ASTM C 496-96 [28], where P= maximum possible load at failure stage, L= length of cylinder in mm, 𝜋 =
constant (3.142).

3.2. Flexural Strength

The beam specimens of 500×100×100 mm size were cast and tested with and without inclusion of fibers for normal
conditions. Total 18 number of beams specimen were cast. Likewise, the specimens were designated and divided into
six series labelled as A, B, C, D, E, and F. Series A contained three beams labelled as A1, A2, and A3. These three
specimens were treated as control specimen and were without inclusion of fibers. Likewise, series B contained three

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beams designated as B1, B2, and B3. These three specimens were added with 1% of soft drink/aluminium can fiber in
cement concrete. In similar fashion, series C, D, E and F contained C1, C2, C3, D1, D2, D3, E1, E2, E3, and F1, F2, F3
beams were added with 2, 3, 4, and 5% of soft drink tin fibers respectively. To investigate the experimental test, the
prisms were placed on the loading frame. Two-point loading system was used for conducting the test as shown in
Figure 10.

Figure 9. Section details of prism mould

Figure 10. Experimental setup under Two-point loading system

Figure 11. Failure at ultimate flexural load

Figure 12. Cracks at failure stage

The flexural strength, popularly called average modulus of rupture, was calculated using formula F = PL/BD2 to
conform with ASTM C78 [29], F = Average modulus of rupture, P = ultimate flexural load in N, L = length of
specimen in mm, B = width of beam in mm, D = depth of beam in mm.

3.3. Plan for Study and Schedule of Work

Total 36 specimens were cast, consisting of 6 batches and every batch was consisting of 6 specimens (three
cylinders and three prisms), total plan and schedule work for study is tabulated in Table 4.

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Table 4. Plan and Schedule work

Material per batch (kg)

Number of Total
Batch Specimen Volume of Fiber (% of Cement) Date of
Specimen Volume per
No. Type Specimen Cement F.A C.A Casting
per batch batch %age of Quantity of
Cement Fiber (g)
Cylinder 0.0016 3 0.0048 0% 06-Aug-
1 8.15 13.2 22.5 ---
Prism 0.005 3 0.015 (Normal) 2012

Cylinder 0.0016 3 0.0048 08-Aug-

2 8.15 13.2 22.5 1% 81.5
Prism 0.005 3 0.015 2012

Cylinder 0.0016 3 0.0048 20-Aug-

3 8.15 13.2 22.5 2% 163.0
Prism 0.005 3 0.015 2012

Cylinder 0.0016 3 0.0048 28-Aug-

4 8.15 13.2 22.5 3% 244
Prism 0.005 3 0.015 2012

Cylinder 0.0016 3 0.0048 29-Aug-

5 8.15 13.2 22.5 4% 326.0
Prism 0.005 3 0.015 2012

Cylinder 0.0016 3 0.0048 05-Sep-

6 8.15 13.2 22.5 5% 407.5
Prism 0.005 3 0.015 2012

4. Experimental Results and Discussions

4.1. Test Results and Discussions of the Effect of Soft Drink Tin Fibers on Indirect Tensile Strength of Concrete
Total 18 specimens (cylinders) were experimentally tested for determining indirect or splitting tensile strength in
conformation with ASTM C 496-96. The tensile strength was calculated by using expression Ft= 2P/πLD. The results
obtained from the tensile test at 28 days are tabulated in Table 5.

Table 5. Results of Indirect Tensile Strength of Concrete at 28 days

Ultimate Load Average Load Average Split Tensile Increase in split

Sr. No. % of Fiber
(N) (N) Strength (MPa) tensile strength (%)
124200
A-0%
1 109300 109733 3.49 ---
(Normal)
95698

137251

2 B-1% 115395 118092 3.75 7.45

101630

125913

3 C-2% 123015 121335 3.86 10.60

115076

121037

4 D-3% 118791 125081 3.98 14.04

135414

140501

5 E-4% 114039 126532 4.03 15.39

125051

120522

6 F-5% 123900 123078 3.92 12.24

124812

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 Civil Engineering Journal Vol. 7, No. 07, July, 2021

1.3
1.26
1.25
1.25 1.23

Average Peak Tensile Load

1.21

(105 N) 1.2 1.18

1.15

1.1 1.09

1.05

1
Normal 1 2 3 4 5
% of Fiber

Figure 13. Comparison of average peak tensile load of normal concrete with average peak tensile load of fiber reinforced concrete

4.1 4.03
3.98
Average Tensile Strength (MPa)

4
3.92
3.9 3.86

3.8 3.75

3.7

3.6
3.49
3.5

3.4

3.3

3.2
Normal 1 2 3 4 5
% of Fiber

Figure 14. Comparison of average tensile strength of normal concrete with average tensile strength of fiber reinforced concrete

18

16 15.39
% Increase in Tensile Strength

14.04
14
12.24
12 10.6
10

8 7.45

0
1 2 3 4 5
% of Fiber

Figure 15. Comparison of percentage increase of tensile strength with percentage increase of fiber

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The results reveal that the indirect tensile strength increases as compared to normal specimen. It was observed that
tensile strength is increased with the addition 4% of fibers level. However, value reduces beyond 4% addition of fibers.
The results show that the addition of fibers in concrete improves the tensile strength up to 15.40% as compared to plain
concrete.

4.2. Test Results and Discussions of the Effect of Soft Drink Tin Fibers on Flexural Strength of Concrete
Likewise, total 18 beams were also experimentally tested for determining flexural strength under two-point loading
system. Three specimens named as A1, A2, A3, were called as control specimens, other specimens were added with
fiber quantity of 1, 2, 3, 4 and 5%. The test results are tabulated in Table 6.

Table 6. Results of Flexural Strength of Concrete at 28 days

Peak Load Flexural Strength Average Peak Increase in flexural

Sr. No. % of Fiber
(kN) (MPa) Load (kN) strength (%)

8.09 4.09
A-0%
1 8.01 4.06 8.12 ---
(Normal)
8.25 4.15

8.68 4.39
2 B-1% 8.75 4.42 8.76 8.04
8.86 4.49

9.15 4.57
3 C-2% 9.37 4.73 9.24 11.46
9.20 4.41

9.35 4.61
4 D-3% 9.75 4.88 9.70 18.05
9.98 5.05

9.91 4.98
5 E-4% 12.03 4.09 9.96 18.50
17.95 5.53

9.65 4.60
6 F-5% 9.15 4.06 9.42 15.30
9.46 4.50

12

9.96
Average Flexural Peak Load (kN)

9.7 9.42
10 9.24
8.76
8.12
8

0
Normal 1 2 3 4 5
% of Fiber

Figure 16. Comparison of average flexural peak load of normal concrete with average flexural peak load of fiber reinforced
concrete

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 Civil Engineering Journal Vol. 7, No. 07, July, 2021

5
4.84 4.86
4.8 4.72

Average Flexural Strength (MPa) 4.6

4.57
4.43
4.4

4.2 4.1

3.8

3.6
Normal 1 2 3 4 5
% of Fiber

Figure 17. Comparison of average flexural strength of normal concrete with average flexural strength of fiber reinforced concrete

20 18.5
18.05
18
15.3
% Increase in Flexural Strength

16
14
11.46
12
10
8.04
8
6
4
2
0
1 2 3 4 5
% of Fiber

Figure 18. Comparison of percentage increase of flexural strength with percentage increase of fiber

The results show a significant increase in flexural strength as compared to control specimens. It was observed as the
load was increased then cracks started to appear over the shear span from the either side of beam. Specimens with
inclusion of fibers added give more flexural strength as compared to the plain specimen. The results obtained from the
tests show a substantial increase of flexural strength of beams up to 4% addition of fiber level, moreover, 5% inclusion
of fibers causes a reduction in strength. The results show that optimum result is obtained with the 4% fiber addition and
flexural strength increases by 18.50% as compared to control specimens.

5. Conclusions and Recommendations

In this study, soft drink/aluminium can fibers are used in concrete as fibers to make fiber reinforcement concrete.
Soft drink tins are the substitute for fibers and added to improve mechanical properties of concrete. Soft drink can fibers
with the size of 25 mm x 5mm x 0.5mm are used in various proportions and percentages such as, 1, 2, 3 ,4 and 5%
based on the weight of cement used. Based on the experimental results obtained, the following conclusions and
suggestions can be drawn from the study of the effect of soft drink tin fibers on the concrete properties.
 The addition of soft drink tin fibers has improved the tensile and flexural strength of concrete;
 With the inclusion of soft drink tin fibers in concrete, the concrete remained workable and workability was not
affected;
 The results of the indirect tensile strength test on cylinders reveal that the ultimate load-carrying capacity of the
cylinder increases by 15.40 % with the addition of 4% soft drink tin fibers;

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

 The results of the flexural strength test on beams show that the ultimate load-carrying capacity of the beam
increases by 18.50 % with the addition of 4% soft drink tin fibers;
 The use of soft drink tin fiber as a reinforcing material in concrete imparts strength up to 4% soft drink tin fiber
level. A higher ratio of soft drink tin fiber leads to segregation consequently affects the strength;
 Fiber reinforced concrete mixes can yield better tensile and flexural strengths than that of control concrete mix at
28 days;
 Further extensive study can be carried out in control conditions;
 Better results can be expected by using different sizes and %age of soft drink tin fibers;
 Waste materials (soft drink tin fibers) can be utilized in a better way by giving special treatment and as a result,
environmental pollution can be controlled.

6. Declarations
6.1. Author Contributions
Conceptualization, I.A.C. and A.S.; methodology, I.A.C.; formal analysis, I.A.C.; data curation, I.A.C.; writing—
original draft preparation, I.A.C.; writing—review and editing, I.A.C. and A.S.; supervision, A.S. All authors have
read and agreed to the published version of the manuscript.

6.2. Data Availability Statement

The data presented in this study are available on request from the corresponding author.

6.3. Funding
This work was funded by Quaid-e-Awam University of Engineering, Science &Technology, Nawabshah, Pakistan.
The financial support is gratefully acknowledged.

6.4. Conflicts of Interest

The authors declare no conflict of interest.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Factors Affecting Traffic Accidents Density on Selected

Multilane Rural Highways

Amjad H. Al-Bayati 1*, Ahmad S. Shakoree 2, Zahraa A. Ramadan 3

1
Professor, Civil Engineering Department, University of Baghdad, Baghdad, Iraq.
2
Ph.D., Head of Engineers, Wassit Municipality Directorat, Al Kut Municipality Directorate. Wassit, Iraq.
3
M.Sc. Candidate, Civil Engineering Department, University of Baghdad, Baghdad, Iraq.

Received 24 March 2021; Revised 19 June 2021; Accepted 28 June 2021; Published 01 July 2021

Abstract
Estimations of average crash density as a function of traffic elements and characteristics can be used for making good
decisions relating to planning, designing, operating, and maintaining roadway networks. This study describes the
relationships between total, collision, turnover, and runover accident densities with factors such as hourly traffic flow
and average spot speed on multilane rural highways in Iraq. The study is based on data collected from two sources:
police stations and traffic surveys. Three highways are selected in Wassit governorate as a case study to cover the studied
locations of the accidents. Three highways are selected in Wassit governorate as a case study to cover the studied
locations of the accidents. The selection includes Kut–Suwera, Kut–ShekhSaad, and Kut–Hay multilane divided
highways located in the south of Iraq. The preliminary presentation of the studied highways was performed using
Geographic Information System (GIS) software. Data collection was done to obtain crash numbers and types over five
years with their locations, hourly traffic flow, and average spot speed and define roadway segments lengths of crash
locations. The cumulative speed distribution curves introduce that the spot speed spectrum for each highway's whole
traffic extends over a relatively wide range, indicating a maximum speed of 180 kph and a minimum speed of 30 kph.
Multiple linear regression analysis is applied to the data using SPSS software to attain the relationships between the
dependent variables and the independent variables to identify elements strongly correlated with crash densities. Four
regression models are developed which verify good and strong statistical relationships between crash densities with the
studied factors. The results show that traffic volume and driving speed have a significant impact on the crash densities. It
means that there is a positive correlation between the single factors and crash occurrence. The higher volumes and the
faster the driving speed, the more likely it is to crash. As the hourly traffic flow of automobile grows, the need for safe
traffic facilities also extended.
Keywords: Traffic Safety; Accidents Density; Hourly Traffic Flow; Average Spot Speed; Multiple Linear Regression; GIS; Iraq.
.

1. Introduction
Every road accident is significant and essential. Traffic accident frequency has been increasing in Iraq in recent
years, especially on rural roads. Road traffic crashes represent a severe problem threatening the world's societies, their
well-being, and economies. In Iraq, like other countries, traffic crashes are one of the leading causes of death [1]. The
answer to the question "Who is to blame"? Is usually more complex since more than one component must be

* Corresponding author: alkenanyz@yahoo.com

http://dx.doi.org/10.28991/cej-2021-03091719

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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considered when determining the cause of accidents. It may be the combination of two or sometimes all the three
components: the driver, the roadway parameters and environment, and the vehicle.
A better understanding of the factors associated with crashes must be recognized to enable engineers to implement
and identify operative countermeasures to reduce crash incidents. Many research and studies have shown to conclude
the relations between factors connected with crashes and crash characteristics [2, 3]. The results of these researches
have not been consistent, but strong suggestions from their data that severity and crash occurrences are greatly
affected by speed-flow characteristics, such as average spot speed and Average Annual Daily Traffic (AADT). For
example, worthy evidence suggests that a higher variation in vehicle speeds increases the occurrence of crashes in a
traffic stream. The development of models for traffic accident density described by traffic stream data can assist the
identification of hot spots and dangerous areas easily and objectively. This leads to indicate where effective
countermeasures can be applied preferentially.
The problem of traffic accidents in Iraq has gained little attention as a field of scientific research. The police
authorities have undertaken various legislative or along with the road actions as preventative means, but these are
more or less based on personal judgments. Apart from the lack of a scientific background for some of those actions,
they are efficient issues temporarily adopted to deal with specific situations. The road and traffic conditions in Iraq
still need detailed investigation and revisions of design standards, especially in multilane rural highways. Several
types of research have been implemented to relate hourly traffic volumes, geometric characteristics, the average speed
with crash rates, and severities [4, 5].
Nevertheless, these researches have not recognized scientific relations that can be used to predict changes in
accident characteristics because of the combined effects of changes in traffic flow and speed. The establishing of such
mathematical models would considerably improve the efforts of traffic engineers to evaluate and determine suitable
remedies and countermeasures to reduce the severity and occurrence of accident crashes. This study offers a starting
point for the traffic crashes density prediction by validating national models, which could be employed in Iraq. The
particular goal of the research is to examine and investigate the impact of the traffic volumes and vehicle speeds on the
accident density.
The main purpose of this study is to recognize and identify the hourly traffic flow and average spot speed that
significantly affect different types of crash density rates on multilane highways of Wasit governorate in Iraq and to
find mathematical relationships which define and describe how these characteristics affect crash occurrence. The
precise aims of the study are as follows:
 To investigate and determine mathematical relationships between collision, turnover, runover, and their total
number of accidents density that occurred in Wasit governorate rural roads with traffic stream characteristics.
 To show the effect of hourly traffic flow and average spot speed on the traffic stream and accident density.

2. Materials and Methods

The methodology surveyed and followed in this study involved the following tasks:
 A review of the literature was accompanied to determine the influence of traffic characteristics and different
types of crashes and crashes features;
 Data collection was done to obtain crash numbers and types and their locations, hourly traffic flow, and average
spot speed and define roadway segment lengths of crash locations.
 Analyzing the accidents based on a surveying analysis during 2015-2019 considering; accident number,
accident type, and accident location for each studied highway.
 The Geographic Information System (GIS) was used to visualize road traffic accident locations in the studied
highways to understand the causes, relationships, patterns, and trends.
 Descriptive statistical analysis will be conducted to collect traffic data regarding the numbers, rates and
behavior.
 Multiple linear regression analysis was carried out using the SPSS program and implemented to estimate the
dependent variable – accident density rate – and the function of the independent variables – the hourly traffic
flow and average spot speed. Regression helps determine the relationship between these variables and is mainly
used in prediction studies to select the best model.
2.1. Variation of Crashes with Speed Characteristics
Speed is generally considered a traffic element. However, the fact that the driver has complete control of their
vehicle and choosing the speed may introduce speeding as a human factor. When a crash occurs between two moving

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vehicles, all kinetic energy must be dissipated mainly in the form of damage to both the vehicles and their occupants.
The analysis of a traffic conflict between two vehicles as an inelastic impact reveals that the dissipated energy is
proportional to the square of the relative speed vector. Accordingly, the severity of the conflict is significantly affected
by the magnitude of each vehicle's speed and their angle of intersection [6].
The associated examinations [7, 8] also presented that driving speed is one of the highest causes of traffic crashes
and the most operative factor for highway traffic accidents. Furthermore, some scholars carried out some
investigation. Roque and Jalayer [9] suggest that single-vehicle accidents in rural open areas have a higher probability
of mortality than accidents in urban areas due to the higher speed limits. Xie et al. [10] proposed that roadside
accidents on interstate highways are more likely to be deadly, caused by the higher average spot speed. Researches
had shown that the greater the average vehicle speed deviation, the higher probability of that vehicle being involved in
a crash. This relationship is often referred to as being "U-shaped" and has been verified in research [11].
Furthermore, the most vulnerable road users— pedestrians, cyclists, and motorcyclists—have a high risk of severe
or fatal injury when motor vehicles collide with them. The probability that a pedestrian will be killed if hit by a motor
vehicle increases dramatically with speed. Figure 1, illustrates the likelihood of fatal injury for a pedestrian hit by a
vehicle. The research indicates that while most pedestrians survive if hit by a car traveling 30 km/h, most are killed if
hit by a vehicle traveling 50 km/h or more [12].

Figure 1. Probability of Fatal Injury for a Pedestrian Hit by a Vehicle [12]

2.2. Variation of Crashes with Traffic Volume

Of particular and specific interest is the effect of traffic conditions on accidents. A strong understanding of the
relationship between traffic crashes and volume is necessary to improve traffic management and reduce crash
frequency. The research stems from the 1930s, with relationships between crash occurrence and traffic
volume/congestion falling into two broad categories: linear and non-linear [13, 14]. Generally, the relationship of
speed with crashes cannot be defined without taking into account the simultaneous effect of other traffic
characteristics such as traffic flow [11].
A crash prediction model can be represented by a graph, as shown in Figure 2. On the x-axis, the annual traffic
volume (AADT) is plotted, and on the y-axis, the number of road crashes per kilometer. On the x-axis (AADT) of
different intersections are displayed, which means that it does not represent an increased traffic volume of a single
intersection [15].

Figure 2. Graph of Crash Prediction Model [15]

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The main aim of a study implemented for Romania's road network, one of the top countries in the EU Road Death
Statistics, is to investigate state-of-the-art road accident research. The study offers a starting point for the crash
anticipation by certifying an international mathematical model, which could be employed in Romania. The specific
objective of the paper is to examine and investigate the influence of the traffic volumes on crash occurrence. The
outcome was identified further in the research to highlight the correlation between traffic volumes and accidents
through power regression. The results have proved the significant impact of traffic volumes in crash occurrence up to a
definite congestion level [16].

2.3. Data Collection and Description

The data collection stage involved the next sub-tasks:
 Obtaining crash types data;
 Describing roadway segments of crashes locations;
 Attaining hourly traffic flow and average spot speed data.
Full descriptions regarding data, methods of collection, research methodology, and traffic survey are depicted in
Figure 3. At the same time, collection of the accident data is a complex process because of the existing routine
problems in country administrations, primarily due to the time restraint of the study. However, in this study, accident
information has been gathered from two possible sources; reports made by traffic officers at the collision and
statistical data from the Central Statistical Organization (CSO), Ministry of Planning, Republic of Iraq.

Research Methodology

Selection of Highways

Determination of
Period of Study

Existing Data Analysis of Experimental

Collection Collected Data Investigation

Accidents Data Descriptive 1. Selecting

1. Police Stations. Analysis Parameters for
2. Direct Interviews. Physical Survey

Regression 2. Physical Survey and Field

Analysis Work

Development of Hourly Flow

Prediction Models Spot Speed Data
Data

Manually and Camera Radar Meter

Models Validation
Recording Gun

Figure 3. Plan of the Survey Program and Research Methodology

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2.4. Selection of the Highways

Based on the scope of the study, the selection of the highways may depend on the available crash data and must be
within the borders of the Wasit governorate in Iraq. The points considered during highways choice are:
 Asphalt surfaced multilane paved rural highways, which connect with Al Kut city representing the
governorate's central official town.
 The length of the studied roads ranges between 40 and 100 km. This is mainly to get precise and specific traffic
accidents, which will be determined from the police and traffic stations along these highways.
 Dense vehicles movement and frequent crash locations.
 Therefore, to conduct the present study, three multilane divided rural highways are selected for this study,
which are:
 Kut–Suwera highway, 105 km length.
 Kut–Shekh Saad highway, 52 km length.
 Kut–Hay highway, 43 km length.
Figure 4 shows a GIS map that illustrates the administrative boundaries of the Wassit governorate and the general
location of the studied highways. Furthermore, Figures 5 to 7 demonstrate the detailed and exact location for each
studied highway.

Figure 4. The Administrative Boundaries of Wasit Governorate Map Describes Studied Highways

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In Iraq, highway (7) is a highway extending from Al Kut to Nasiriyah city. Kut–Hay highway is a part of this road.
Kut–Suwera and Kut-Shekh Saad highways had number (6) in the coding system of the roads network in Iraq in which
they are a part from Baghdad – Emara - Basrah highway. It radiates from Baghdad and provides access to Wasit in the
southeast and Misan - Basrah in the south, with Kut city being the crossroads junction to Badra, Shekh Saad, and Hay
cities. This highway is the most heavily used highway facility in Wasit.

Figure 5. The Exact Location of Kut–Suwera highway

Figure 6. The Exact Location of Kut–Shekh Saad highway

Figure 7. The Exact Location of Kut–Shekh Saad highway

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In order to give adequate confidence in the study results, the information's about traffic crashes in Wasit
Governorate presented herein was taken from the following authorities:
 The annual abstracts published by the Statistics Division in the Directorate General of Police;
 Central Statistics Organization (C.S.O);
 General Traffic Directorate;
 Crash files and reports in police and traffic stations;
The police stations involved in this study were distributed from Wasit Police Directorate as follows:
 For Kut–Suwera highway, four police stations were visited, which are: Al Balda, Al Salam, Al Debony, and Al
Azezeya stations;
 For Kut–Shekh Saad highway, two police stations were involved which are: Al- Khelod, Shekh Saad stations;
 For Kut–Hay highway, two police stations were involved: Al- Falaheya, Al-Hay stations.
The data were obtained by checking out all the available files individually in all these stations. These files are just
meant to keep the papers, which are supposed to make their way to court. Various meetings with the police personals
and interviews with drivers were prepared to ensure some information about crashes location and severity. After
analyzing all crashes reports, ten of places with their lengths are identified as crashes locations in which five, three,
and two segments were recognized for Kut–Suwera, Kut–Shekh Saad, and Kut–Hay highways, respectively. Table 1
illustrates crashes segments names and locations.
Table 1. Crashes Locations for the Studied Highways

Highway Name Segment Number Location

Seg.1 Al – Batar village
Seg.2 Al Salam police station
Kut–Suwera highway Seg.3 Al Debony district
Seg.4 Al Zubaidiya intersection
Seg.5 Al Azezeya city
Seg.6 White village
Kut–Shekh Saad Seg.7 Shekh Saad entrance
Seg.8 River port district
Seg.9 Said Abdulatheem village
Kut–Hay highway
Seg.10 Old brick kilns

By using the satellite image (quick bird) resolution, Figures 8 to 17 show the view of the studied segments and
selected region of study, which will be needed on preparation the land-use layer and its corresponding spatial data of
this study.

Figure 8. Seg1, Al Batar District Figure 9. Seg2, Al Salam Police Station

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Figure 10. Seg3, Al Debony District Figure 11. Seg4, Al Zubaidiya Entrance

Figure 12. Seg5, Al Azezeya District Figure 13. Seg6, White Village District

Figure 14. Seg7, Shekh Saad Entrance Figure 15. Seg8, River Port District

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Figure 16. Seg9, Said Abdulathem District Figure 17. Seg10 Old Brick Kilns District

Luckily, accidents are rare events. Nevertheless, considering a statistical perspective, this necessitates analysis over
long periods and wide spatial measures to confirm adequate and sufficient sample sizes. Huge datasets improve the
sensitivity of model response to variables of interest. Reaching the targets of this study, it is preferred that a selected
five-year interval is used to identify and predict crash models starting from 2015 and ending in 2019.

3. Crashes Data Survey

Similar to other developing countries, the main source of road accident data in Iraq is the police. According to the
collected Iraqi crash form reports, the crashes are classified as per the type of crash into four major categories, namely:
collision accident, turnover accident, run over accident, and others with fatal or non-fatal classification. The
investigation report involves all related information to drivers, passengers, witnesses if available, vehicles, time, date,
and location of an accident. Then, the accident report (which is filled by the traffic officer) has to be added to the
investigation report and sent together to the court as litigation (law case). Many of the litigation regarding accidents do
not involve accident reports because either the vehicles are removed from the crash location before the traffic officer
arrives (s). Due to some reasons, the traffic officer(s) do not arrive at the accident scene.
Only weekday crashes were matched to weekday surveys to certify that comparable traffic and speed
characteristics happened during the crashes. Reviewing and analyzing the collected, registered crash reports are
presented in the following articles. Figure 18 shows the distribution of crashes by type for each year in the studied
segments (2015 to 2019). As it can be seen from the figure, collision crashes comprise most crashes for the five
studied years (except 2015) compared to the other crashes types. This may be attributed to the high interaction
between speed and traffic volume, potential conflicts between turning vehicles, and road deficiencies characteristics
on rural roadway sections.

60
Total Accidents
50
Collision
No. of Accidents

40 Turnover

30 Runover

Others
20

10

0
2015 2016 2017 2018 2019

Studied Years

Figure 18. Crashes Distribution by Type and Year of Study

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3.1. Spot Speed Survey

There are different ways of measuring spot speeds depending on the equipment available and the purpose of the
study. The radar speed gun tool is used in this research, as shown in Figure 19.

Figure 19. Speed Gun Photo

Speed distribution is usually based on measuring the speeds of an adequate sample of vehicles passing the spot.
Normally, the sample covers 50, preferably 100, vehicles. The hand held speed radar gun with moving mode was used
in this speed study. A radar speed gun (also called radar gun and speed gun) is a Doppler radar unit that may be hand-
held, vehicle-mounted, or static. It measures the speed of the objects at which it is pointed by detecting a change in
frequency of the returned radar signal caused by the Doppler effect, whereby the frequency of the returned signal is
increased in proportion to the object's speed of approach if the object is approaching, and lowered if the object is
receding. Such devices are frequently used for speed limit enforcement.
The device was handled by observer who sitting in a car parked at the edge of the roadway and was directed at an
angle of approximately 15 degrees with the centerline. Readings were taken for traffic in one direction only that
considered the place of crashes from the crashes report list. Generally, for the speed study, peak hours will be included
in all samples. The measurements were carried out on a fixed time interval basis (30 minutes), covering all vehicles
passing the spots. Speeds were recorded for trucks, pick-ups, mini buses, big buses, and saloon cars. Data collection
was done during daylight hours of work weekdays. Table 2 presents the statistical analysis of spot speed data for the
selected segments of the study. For each study site, the following statistical terms were computed:
 Mean and Median;
 Standard deviation;
 Standard error of the sample mean;
 Coefficient of variation.

Table 2. Spot Speed Characteristics for the Studied Segments

Study Mean Median 15th% 85th% Standard Standard Error of Coefficient of

Sites (kph) (kph) (kph) (kph) Deviation (kph) Mean (kph) Variation (%)

Seg1 101 105 54 125 41.25 10.65 40.73

Seg2 105 113 57 125 47.98 11.99 45.4
Seg3 100 96 55 134 45.09 11.27 45
Seg4 104 104 53 135 47.99 11.99 46
Seg5 99 100 53 130 39.59 10.22 39.85
Seg6 97 92 55 120 44.11 11.02 45.18
Seg7 102 100 57 97 43.17 11.14 42
Seg8 97 97 60 117 41.65 10.41 42.8
Seg9 96 102 49 112 40.25 10.13 42
Seg10 99 100 60 150 45.15 11.28 45.55

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The median is that speed where there are just as many vehicles going faster as are going slower. This value is
obtained from the cumulative speed distribution curve by reading the speed, which corresponds to the 50% value. It is
apparent from the table that a significant fluctuation in the median result can occur. In addition, a higher value of
variation indicates a wider scatter about the mean and vice versa. It can thus be said that, for example, the speed data
at segment10, where the coefficient of variation is equal to 45.55 %, is more dispersed than at the other sites.
Figures 20 to 22 showed the spot speed frequency distribution polygon cumulative curve for Kut–Suwera, Kut–
Shekh Saad, and Kut–Hay) respectively. The cumulative speed distribution curves provide two major elements to be
tackled for discussion, namely, 15 and 85% values.

100
Percent of Vehicles Travelling at or Below Indicated

90

80

70

60
Speed

50
Seg1
40
Seg2
30
Seg3
20
Seg4
10
Seg5
0
0 20 40 60 80 100 120 140 160 180
Speed kph

Figure 20. Cumulative Frequency Polygon Curve for (Kut–Suwera) Highway of Studied Segments

100
Percent of Vehicles Travelling at or Below Indicated

90

80

70

60
Speed

50

40

30 Seg6

20 Seg7

10 Seg8
0
0 20 40 60 80 100 120 140 160 180

Speed kph

Figure 21. Cumulative Frequency Polygon Curve for (Kut–Shekh Saad) Highway of Studied Segments

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100

Percent of Vehicles Travelling at or Below

90
80

Indicated Speed 70
60
50
40
30
20 Seg9
10 Seg10
0
0 20 40 60 80 100 120 140 160 180
Speed kph
Figure 22. Cumulative Frequency Polygon Curve for (Kut–Hay) Highway of Studied Segments

3.2. Hourly Traffic Flow Survey

Traffic volumes have increased considerably over the years for the studied highways since 2000, possibly due to
two factors. First is the overall increase in car ownership and consequently increase in travel, and secondly, is that
these highways provide access to religious cities like Baghdad, Karbala, and Najaf where the holy shrines are located.
Every Thursday and Friday as well at certain periods in the year, pilgrimage exerts huge traffic on the highways,
especially along the section extending to Nummaneya city, which is a part of Kut–Suwera highway containing Seg1
and Seg2.
In addition to these impacts, the presence of the industrial establishments along Kut–Baghdad highway, brick kilns
beside Kut–Hay highway, and large agricultural areas nearby Kut–Shakh Saad highway impose a heavy commercial
and agricultural nature to the traffic stream, emphasized by the relatively high percentage of trucks in daily traffic.
Manual counting involves one or more persons recording observed vehicles using a counter. Traffic flow counts are
held continuously for a week covering all classes of vehicles in the traffic stream, which include passenger cars, buses,
and trucks. Two Sony video cameras have been used to capture the field data. The selection of a vantage point was one
of the most challenging things in line with getting security permission that was faced during the data collection stage.
Footbridges have been selected as the best vantage point to monitor the traffic stream. Figures 23 to 25 present the
daily variation in hourly traffic flow for the studied segments in Kut–Suwara, Kut–Shaikh Sadd, Kut–Hay highways,
respectively, as revealed by the full week counting.

800
750
Hourly Traffic Flow vph

700
650
600
550
500
450
400
350
300
SUN. MON. TUE. WED. THU.
Seg.1 711 617 572 670 705
Seg.2 701 625 506 542 681
Seg.3 522 533 452 433 420
Seg.4 634 575 512 510 524
Seg.5 768 689 592 602 569
Day of Week
Figure 23. Daily Hourly Traffic Flow for Kut–Suwera Highway Segments

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700

650
Hourly Traffic Flow vph
600

550

500

450

400

350

300
SUN. MON. TUE. WED. THU.
Seg.6 550 470 453 472 435
Seg.7 654 572 574 511 539
Seg.8 600 482 547 473 483

Day of Week

Figure 24. Daily Hourly Traffic Flow for Kut– Shekh Saad Highway Segments

500
Hourly Traffic Flow vph

450

400

350

300
SUN. MON. TUE. WED. THU.
Seg.10 461 425 411 439 464
Seg.9 462 377 439 397 450

Day of Week

Figure 25. Daily Hourly Traffic Flow for Kut – Hay Highway Segments

Figures 23 and 25 trends indicate two distinguishable peaks for the studied segments on Sunday and Thursday.
Two factors may play a major role in this interesting case in the traffic pattern. The first factor is the religious nature
of Thursday day, in which a religious occasion for some Muslims was held on this day every week from the southern
governorate s. That occasion caused a premature rise in traffic flow. The second factor is the beginning of the works at
Sunday that contributed to the increase in traffic flow entering Baghdad, which is related to the people who live in the
southern cities and from remote places are employed in Baghdad to join their work. It is obvious from Figure 24 that
traffic volumes on Monday, Tuesday, Wednesday, and Thursday are approximately similar, but a peak is observed on
Sunday.

3.3. Crashes Densities Rates by Highways And Segments

It is conducted to use crash density rates as the dependent variable in the statistical models in which crash
frequencies are divided by segments length to provide densities for the studied kinds of accidents. This rate is typically
calculated yearly. The following equation will be applied to obtain crash rates for black spot locations [17]:
𝐴𝑐𝑐𝑖𝑑𝑒𝑛𝑡𝑠 𝐷𝑒𝑛𝑠𝑖𝑡𝑦 (𝐴𝑑 ) = 𝐴𝑐𝑐./(𝐿 × 𝑇) (1)

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Where: 𝐴𝑐𝑐.: the number of accidents that occurred on the section with length “𝐿” (accident per mile per year); 𝐿: the
length of the investigated road section (mile) and studied period (year); 𝑇: the number of studied years.
The main advantages of this method are:

 Both exposure factor and frequency factor are taken into account;
 It represents a relatively simple and direct method.
The value of crashes densities rate, when computed as an average over five years, should reduce the amount of
chance variation in the data (or the experimental error that may tend to be significant when dealing with rural car
accidents) and be used as the dependent variable of the suggested models. Table 3 shows the general crash density
rates, which describe total crashes occurrence and their types in the studied sites.

Table 3. Accidents Densities by Type and Studied Segments.

Section Length Total Accidents Collision Accidents Turnover Accidents Runover Accidents
Seg No.
(mile) No. Density No. Density No. Density No. Density
1 0.606 45 14.85 19 6.27 8 2.64 11 3.63

2 0.363 30 16.5 14 7.7 5 2.75 8 4.4

3 0.303 10 6.6 5 3.3 1 0.66 3 1.98

4 0.545 18 6.6 9 3.3 3 1.1 4 1.46

5 0.666 38 11.4 16 4.8 5 1.5 15 4.5

6 0.454 13 5.72 6 2.64 1 0.44 5 2.2

7 0.393 25 12.69 10 5.07 3 1.52 7 3.55

8 0.303 8 5.28 3 1.98 2 1.32 3 1.98

9 0.424 15 7.07 7 3.3 1 0.47 5 2.35

10 0.727 9 2.47 8 2.2 0 0 1 0.27

By the same meaning, Figure 26 summarizes and shows total, collision, turnover, and runover crash density rates.
As crashes number, still segments (1 and 2) on Kut – Suwera highway are the most hazardous locations according to
their total crashes rates.

Runover Accidents Density Turnover Accidents Density

Collision Accidents Density Total Accidents Density
18
Accidents Density (Accident per mile per year)

16

14

12

10

0
1 2 3 4 5 6 7 8 9 10
Segment Number

Figure 26. Crashes Densities Rates by type and Studied Segments

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3.4. The Regression Analysis Techniques

The regression analysis technique is used to create a useful step-wise regression model that could be used to
develop priority aspects for selecting the type of highway improvement. In order to save money, time, and effort, the
statistical regression technique allows a researcher to evaluate independent or predictor variables. The easier and most
important use of the technique is to find the best linear predictive model with a minimum number of independent
variables. The overall accuracy of any predictive model in multiple linear regression analysis is described by the
correlation coefficient (R) and coefficient of determination (R2). Correlation is the mathematical expression used to
definite the power and strength of the intensity or relationship between the dependent variant i.e., predicted accidents
density – and the independent variable function i.e., observed accidents density. The predictive accuracy in absolute
units is reflected by the standard error of estimation about the regression line.
The various elements of a multiple linear regression equation can be illustrated as follows:
Y = bo ± b1x1 ± b2x2 ± b3x3 ……….± bnxn (2)
Where: Y = dependent variable; bo= regression coefficient (sample intercept if any, or the value of the dependent
variable when the independent variable is zero; bn= regression coefficient of the nth independent variable, and; xn =
quantified value, or the coefficient of the qualitative value of the nth independent variable,
The dependent and independent variables that considered in this study isolated for each crash density type, which
were examined in the models, were summarized and reported in Table 5 with their abbreviations.

Table 5. List of Variables Considered in Regression Analysis

Variables Type Abbreviation

Total Accidents Density TAD
Collision Accidents Density CAD
Dependent Variables
Turnover Accidents Density TOAD
Runover Accidents Density RAD
Hourly Traffic Flow (vph) Flow
Independent Variables
Average Spot Speed (kph) Speed

The descriptions of the statistical and regression analysis results are briefly discussed in the following paragraphs.

4. Models Development
The data were used and applied to the multiple linear regression models using the SPSS software package that
states the mean of the dependent variable as a linear relationship of two predictor variables which are hourly traffic
flow and average spot speed. By using the method of least squares, the models were fitted to the data, and a t-test was
achieved and performed to test the resulting (regression coefficients) comparing with the null hypothesis of being
equal to zero at the 5 % significance level. The adequacy of the fit was judged based on the R2 value and the normality
of the residuals.
A correlation analysis was carried out to determine independent variables that were correlated to each other.
Correlated variables were not used together in any model. Average spot speed and hourly traffic flow data are selected
and tested for correlation. The results indicate that a weak relation was detected between the two variables in which
the correlation factor is equal to 0.571 with no significant effect (p=0.085). Table 6 illustrates the resulted linear
models that consider hourly traffic flow and average spot speed of the studied segments as independent variables. This
table reveals that some of the suggested models are highly correlated.

Table 6. Results of Regression Analysis Considering Segments Hourly Traffic Flow and Average Spot Speed

Correlation Factor Coefficient of

Densities Type The Predicted Model F-Value P value
(R) Determination (R2)

Total Accidents Density TAD = -39.25 + 0.04 flow+ 0.2656 speed 0.840 0.706 8.412 0.014
Collision Accidents Density CAD = -24.19+0.013 flow+0.214 speed 0.821 0.674 7.226 0.02
Turnover Accidents Density TOAD = -8.266+0.009 flow+0.049 speed 0.891 0.793 13.42 0.004
Runover Accidents Density RAD = 3.388+0.0151 flow-0.086 speed 0.808 0.653 6.57 0.025

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Four developed models, which are (TAD, TOAD, CAD, and RAD), proved statistically for their significance at 5
% level and suggesting increasing numbers of crashes densities with rising levels of traffic flow. All of the models for
each density type show similar trends. The positive relation implies that the increase of traffic flow will increase
density rates and consequently their severity. This could be attributed to the fact that on multilane rural roads, conflicts
due to wrong over taking, improper lane changing, following too closely, merging, and diverging when traffic
increased provide no clearance that may encourage the drivers to deviate from their paths and make improper
maneuvers. Therefore, the occurrence of crashes becomes possible. This confirms the finding of Vey (1939) [17] and
Raff (1953) [18].
Some of the studies results are conflict with this behavior. While on the surface, it appears appropriate to reduce
and decrease traffic flow, if it correlates negatively with accident frequency, a reduction may negatively affect road
safety [19]. All of the models were found to be highly significant with a probability value (P) less than 0.05 and a
coefficient of correlation (R) greater than (0.80). The R2 value of 0.793 for TOAD model indicates that 79.3 percent of
the variation in turnover crash density rates are explained by variation in traffic flow and spot speed values with a
correlation factor of (R= 0.891). These results clearly show that changes in density rates are not necessarily caused by
anyone independent factor but that these changes are a result of the combined effects of these independent factors and
other unstudied factors.
The residual analysis assured that the models with (R2) higher than 0.70 represent the situation well, as shown in
Figures 27 to 30. Investigation of residual plots showed that the residuals were normally distributed and that the
normality hypothesis inherent in the development of a linear regression model was not violated in which all data are
meeting and collecting around the 45 straight line. It was therefore concluded that linear relationships could be used
to describe the data obtained for Wassit governorate multilane road types. The collision density rate model is
significant at the 0.02 level. This implies that the apparent relationship is expected purely by chance two in 100 times,
if there is no relationship between the collision crash rate and traffic flow. The value of (F) explains the variance ratio
statistic used to test the hypothesis that all of the partial regression coefficients on the independent variables in the
model are zero.
For the runover accidents density models, a negative relationship was detected between crashes occurrence and
average spot speed. This may be due to the fact that on rural dual carriageways, average spot speed is less effective on
crashes, especially congested ones that restrict the driver to limit his vehicle speed and be more careful. Other
contributing factors such as driver behavior, environmental conditions, and vehicle characteristics may be responsible
for these accidents.

Figure 27. Normal p-p plot of regression residual for TAD model

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Figure 28. Normal p-p plot of regression residual for TOAD model

Figure 29. Normal p-p plot of regression residual for CAD model

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Figure 30. Normal p-p plot of regression residual for RAD model

5. Conclusions
This paper uses real data taken from the local traffic agency in Wassit Governorate / Iraq for the period from 2015
to 2019 to identify the relationship between accidents density and some of traffic flow elements. Based on the survey
results and the subsequent analysis of data, the following conclusions can be summarized as follows:
 According to the traffic crashes types, the collision type produces a higher proportion 46% of total accidents.
While the runover, turnover, and other kinds represent only 29, 14, and 11% of total crashes, respectively.
 Segments 1 and 2 on Kut–Suwera highway are the most hazardous locations according to their total crashes rates
densities.
 As the hourly traffic flow of automobile grows, the need for safe traffic facilities also grown. Outcomes express
that accident density increases linearly in the higher levels of traffic volume and average spot speed.
Consequently, advising that managing traffic to avoid such high levels would have the greatest influence on
reducing accident occurrence. Essentially, there is no observable and noticeable increase in accident density as
traffic volume and vehicle speed decrease, meaning that reducing these two elements would not negatively affect
public health.
 Significant relation at 5% level is found for TAD, TOAD, CAD, and RAD, models with average spot speed and
hourly traffic flow, and these relationships can be adopted for this study.
 The linear regression equation for traffic flow and spot speed representation and relation to crashes occurrence
was an acceptable and adequate model to use in modeling data on a number of road traffic accident densities
within rural roads in Wasit governorate.

6. Declarations
6.1. Author Contributions
A.H.A. designed the study and conceived the presented idea; A.S.S. performed data collection and verified the
analytical methods; Z.A.R. analyzed the data and wrote the manuscript in consultation with A.H.A. and the last
encouraged Z.A.R. to investigate “the adopted mathematical models” and supervised the findings of this work. All
authors have read and agreed to the published version of the manuscript.

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6.2. Data Availability Statement

The data presented in this study are available in article.

6.3. Funding
This research received no external funding. It was sponsored by the “College of Engineering, Baghdad University,
Ministry of Higher Education and Scientific Research of Iraq”, and “General State of highways and Bridges, Ministry
of Housing and Construction in Iraq”.

6.4. Conflicts of Interest

The authors declare no conflict of interest.

7. References
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http://cosit.gov.iq/en/ (accessed on May 2021).

[2] Rural and Urban Crashes: A Comparative Analysis. U.S. Department of Transportation Technical Report. DOTHS808450.
(August 1996). Available online: https://crashstats.nhtsa.dot.gov/Api/Public/Publication/96847 (accessed on March 2021).

[3] Lassarre, S. “The Introduction of the Variables ‘traffic Volume,’ ‘speed’ and ‘belt-Wearing’ into a Predictive Model of the
Severity of Accidents.” Accident Analysis & Prevention 18, no. 2 (April 1986): 129–134. doi:10.1016/0001-4575(86)90057-6.
[4] Lord, Dominique, Abdelaziz Manar, and Anna Vizioli. “Modeling Crash-Flow-Density and Crash-Flow-V/C Ratio
Relationships for Rural and Urban Freeway Segments.” Accident Analysis & Prevention 37, no. 1 (January 2005): 185–199.
doi:10.1016/j.aap.2004.07.003.
[5] Harwood, D. W. Relationships between Operational and Safety Considerations in Geometric Design Improvements. In
Transportation Research Record 1512, TRB, National Research Council, Washington, D.C., (1995). Available online:
https://onlinepubs.trb.org/Onlinepubs/trr/1995/1512/1512-001.pdf (accessed on May 2021).
[6] Ghorbanzadeh, Mojgan. "A Study on the Quality of Campus Landscape on Students' Attendance at the University Campus."
Civil Engineering Journal 5, no. 4 (2019): 950-962.
[7] Letirand, Frédéric, and Patricia Delhomme. “Speed Behaviour as a Choice between Observing and Exceeding the Speed
Limit.” Transportation Research Part F: Traffic Psychology and Behaviour 8, no. 6 (November 2005): 481–492.
doi:10.1016/j.trf.2005.06.002.
[8] Bagheri Khalili, Fatemeh, Abdolreza Sheikholeslami, and Abbas Mahmoudabadi. “Variable Efficiency Appraisal in Freeway
Accidents Using Artificial Neural Networks—Case Study.” CICTP 2012 (July 23, 2012). doi:10.1061/9780784412442.269.
[9] Roque, Carlos, and Mohammad Jalayer. “Improving Roadside Design Policies for Safety Enhancement Using Hazard-Based
Duration Modeling.” Accident Analysis & Prevention 120 (November 2018): 165–173. doi:10.1016/j.aap.2018.08.008.
[10] Xie, Yuanchang, Kaiguang Zhao, and Nathan Huynh. “Analysis of Driver Injury Severity in Rural Single-Vehicle Crashes.”
Accident Analysis & Prevention 47 (July 2012): 36–44. doi:10.1016/j.aap.2011.12.012.
[11] Aarts, Letty, and Ingrid van Schagen. “Driving Speed and the Risk of Road Crashes: A Review.” Accident Analysis &
Prevention 38, no. 2 (March 2006): 215–224. doi:10.1016/j.aap.2005.07.004.
[12] WHO, World Health Organization, "Speed and Road Crashes". PAHO/NMH/18-007, Pan American Health Organization,
2018. Available online: https://www.paho.org/sites/default/files/2018-SpeedRoadCrashes_ENGLISH_FINAL.pdf
(accessed on March 2021).
[13] Wang, Chao, Mohammed Quddus, and Stephen Ison. “A Spatio-Temporal Analysis of the Impact of Congestion on Traffic
Safety on Major Roads in the UK.” Transportmetrica A: Transport Science 9, no. 2 (February 2013): 124–148.
doi:10.1080/18128602.2010.538871.
[14] Retallack, Angus Eugene, and Bertram Ostendorf. “Current Understanding of the Effects of Congestion on Traffic Accidents.”
International Journal of Environmental Research and Public Health 16, no. 18 (September 13, 2019): 3400.
doi:10.3390/ijerph16183400.
[15] Duivenvoorden, Kirsten. "The relationship between traffic volume and road safety on the secondary road network." SWOV
Institute for Road Safety and Research (2010). Available online: https://tarjomefa.com/wp-content/uploads/2017/08/7590-
English-TarjomeFa.pdf (accessed on March 2021).
[16] Cadar, Rodica Dorina, Melania Rozalia Boitor, and Mara Dumitrescu. “Investigating the Role of Traffic Volumes on the
Occurrence of the Accidents on the National Roads: a Case Study in Romania.” Geographia Technica 12, no. 2 (October 27,
2017): 20–29. doi:10.21163/gt_2017.122.03.

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[17] Vey, Arnold H. “Improvements to Reduce Traffic Accidents.” Transactions of the American Society of Civil Engineers 104,
no. 1 (January 1939): 474–484. doi:10.1061/taceat.0005186.

[18] Raff, Morton S. "Interstate highway-accident study." Highway research board bulletin 74 (1953): 18-45.

[19] PIARC, Road Accident Investigation Guidelines for Road Engineers, World Road Association PIARC Technical Committee,
(August, 2007). Available online: https://www.who.int/roadsafety/news/piarc_manual.pdf (accessed on March 2021).

[20] Wang, Chao, Mohammed Quddus, and Stephen Ison. “A Spatio-Temporal Analysis of the Impact of Congestion on Traffic
Safety on Major Roads in the UK.” Transportmetrica A: Transport Science 9, no. 2 (February 2013): 124–148.
doi:10.1080/18128602.2010.538871.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Comparative Analytical Study on Crack Width of Reinforced

Concrete Structures

Ahmed A. Abu El Naas 1*, Hany M. El Hashimy 2, Khaled F. El Kashif 3

1
M.Sc. Student, Structural Engineering Department, Cairo University, Giza, Egypt.
2
Professor, Structural Engineering Department, Cairo University, Giza, Egypt.
3
Associate Professor, Structural Engineering Department, Cairo University, Giza, Egypt.

Received 05 March 2021; Revised 12 May 2021; Accepted 19 May 2021; Published 01 July 2021

Abstract
This paper presents a comparative study for the cracking limit state according to design codes. It aims mainly to connect
research findings with design code equations. Appropriate recommendations are reached and the various factors and
parameters influencing crack width investigated. The most appropriate equation for crack width calculation can be found.
This is done by creating an analytical and numerical program studied various factors and parameters affecting on the
crack width. The Analytical study includes some variables affecting the crack width such as steel stress, concrete cover,
flexural reinforcement ratio and rebar arrangement. A 3-D finite element analysis by ABAQUS were used to model and
idealize the problem. The numerical results were compared with the analytical results. It was concluded that some codes
did not take into account the impact of some major variables and cases on the crack width. Also, it was found that some
codes are not clear in the region concerning the position of the crack width calculation and the values obtained for the
crack width. For calculating crack width values, JSCE (2007) equation is the most appropriate equation as it takes into
account the main parameters that affect crack width.
Keywords: Flexural Cracks; Crack Width; Serviceability; Reinforced Concrete; Codes Provisions.

1. Introduction
Crack formation and crack control were some of the most important considerations in designing systems of
reinforced concrete structures. The basic concepts of cracking in reinforced concrete members were fairly well
understood, and the influence of crack size and distribution was generally accepted. However, it still a complex
problem because of the different characteristic of each investigator specimens and the indirect effect of many
parameters therefore some conclusions were unclear as to whether these parameters were important. Cracks of large
widths lead to corrosion, degradation of the surface and thus harm the overall quality of life-being of the structure.
Excessive crack width would reduce the structure's existence by allowing for faster penetration of high humidity
corrosive factors, repeated moisture absorption, steam, salt water and chemical-related gases, in ordered to achieve
reinforcement. Moreover, structural performance, including rigidity, energy absorption, capacity and ductility, was
impaired by cracks in reinforced concrete structures. For reinforced concrete flexural members' usability, therefore,
prediction and the cracking control and cracking widths is important. Designers were able to used guidelines in

* Corresponding author: abdelfatahahmed37@gmail.com

http://dx.doi.org/10.28991/cej-2021-03091720

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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different design codes to monitor the crack width on the tension surface of the flexural member. These guidelines were
based on certain analytical solutions to crack width that was developed by various researchers. In the workshop
experiments with rectangular reinforced concrete beams, two criteria, a concrete cover and an average effective
concrete area surrounding each bar were studied by Albandar and Mills [1]. Frosch [2] have had studied the
development and used of the crack width equation for the measurement of large coverings and presents a new
approached formulation physically dependent phenomena. Gilbert and Nejadi [3] studied the cracking caused by
shrinkage in restrained reinforced concrete members both experimentally and analytically.
The effect of thick concrete covers on the maximum flexural crack width was studied by Makhlouf and Malhas [4].
Soltani et al. [5] had focused on the significant variation in the cracking performance among high resistance steel
reinforcement and conventional steel reinforcement in concrete. Rasmussen et al. [6] had analyzed the crack pattern in
bending members in experimental findings by Sherwood [7] and identified them with two existing models; primary
bending cracks and secondary local cracks. At the Center for Infrastructure Engineering and Safety (CIES), Hussain et
al. [8] performed a long-term experiment to bring the impact of long-term effects, such as concrete creep and
shrinkage, on concrete cracking into focus. Creazza and Russo [9], Chiu et al. [10] and Hamrat et al. [11] explored the
bending crack creation of beams of high-strength reinforced concrete (HSRC). Allam et al. [12] proposed five
rectangular reinforced concrete models to theoretically analyze the provisions of codes within certain equations that
some researchers had found. Chowdhury and Loo [13] had developed a new method to estimate average crack widths
for beams with reinforced or partially pre-stressed concrete beams. The calculation and comparison of the maximum
bending crack width for different structural members, based on experimental data tension on both sides by axial force,
Nam et al. [14] have had been studied. A critical review of the literature related to design of reinforced concrete
structures in the cracking limit state was provided by Basteskår et al. [15]. Bakis et al. [16] studied the width of
flexural cracks in a concrete member internally reinforced with fiber reinforced polymer (FRP). Flexural cracks of a
reinforced concrete beam blended with fly ash as supplementary material had been studied by Oktaviani et al. [17].
Khorasani et al. [18] studied flexural cracking behavior of concrete beams reinforced with GFRP bars.
This paper present a comparative study for the cracking limit state according to some design codes. Analytical and
numerical program studied various factors and parameters affecting on the crack width.

2. Research Methodology
The following figure show the research methodology steps: (1) studying theoretical the cracking limit state
according to some famous codes in this field. (2) Develop numerical software for model and idealize the problem and
verify it results with experimental results. (3) Comparing the analytical results of codes with experimental results of
some previous researcher. (4) Studying analytically the effect of the various variables or parameter on the cracking
behavior of some suggested reinforced concrete beams models. (5) Comparing the analytical results of the suggested
beams models with the numerical results. (6) Final conclusion and recommendation for research.

Figure 1. Methodology of the research

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3. Codes Provisions for Crack Width Calculations

3.1. Egyptian Code (ECP 203-2018)
The Egyptian code ECP 203-2007 [19] gives the crack width by the following equation:
wk = β.Srm.Ɛsm (1)

Where wk = crack width; β = the factor connects the average width of the crack and its design value: β = 1.7 for
loading-induced cracks and for cracks caused by the deformation limitation in a segment that is greater than 800mm
wide or deeper (whichever is smaller), and β = 1.3 for cracks caused by the deformation limitation in a segment that is
less than 300mm wide or deeper (whichever is smaller).
The Egyptian code give a crack spacing depend on strain in steel reinforcement and other factors by the Equation 2:
∅
Srm = (50 + 0.25k1.k2. ) (2)
ρr

Where k1 = Coefficient representing the bonding impact of steel and concrete between cracks: k 1 = 0.8 for deformed
bars, 1.6 for smooth bars and k1 = k.k1 for member subjected to imposed deformation; k2 = coefficient representing the
effect on the cross-sectional strain distribution: k2 = 0.5 for the pure bending member and k2 = 1.0 for the axial tension
As
section; Ø = diameter of bar in mm; ρr = ratio of effective tension reinforcement: ρr = where Acef = area of
Acef
effective tension concrete. The Egyptian code give a coefficient that reflect the effect of steel strain on the crack width
by the following equation:
fs fsr
Ɛsm= (1-β1. β2.( )2) (3)
Es fs

Where fs = longitudinal steel stress in tension zone based on a continuously loaded cracked component study; E s = the
steel reinforcement elasticity modulus; fsr = stress in tension zone longitudinal steel, based on the study of the cracked
component resulting in major cracking load; β1 = coefficient reflecting the bonded reinforcement properties: β1 = 0.8
for bars which are deformed and β1 =0.5 for bars which are smooth; β2 = coefficient which takes the loading duration
into consideration: β2 = 1.0 for short term loading and β2 = 0.5 for long term loading or cyclic loading.

3.2. Eurocode 2 (EN 1992-1-1: 2004)

The Eurocode EC2 [20] gives the crack width by the Equation 4:
wk = Sr,max.(Ɛsm -Ɛcm) ≤ wkmax
(4)
Where wk = crack width.
The maximum crack spacing may be calculated from the expression;
∅
Sr,max = k3.c + k1.k2.k4.( ) (5)
ρp,eff

Where c = the cover to the longitudinal reinforcement; k1 = coefficient reflecting the bonded reinforcement properties:
k1 = 0.8 for bars which are deformed and k 1 =1.6 for bars which are smooth; k2 = coefficient representing the effect on
the cross-sectional strain distribution: k2 = 0.5 for the pure bending member and k2 =1.0 for the axial tension section;
k3 = 3.4; k4 = 0.425; Ø and ρp,eff are similar to the items of the equation given by the ECP [19].
Ɛsm - Ɛcm may be calculated from the following expression;
f
σs-kt( cteff )(1+αe ρpeff )
ρpeff σs
Ɛsm - Ɛcm = ≥ 0.6 ( ) (6)
Es Es

Where Ɛsm is mean strain under relevant combination of loads and allowing for effects, such as tension stiffening or
shrinkage; Ɛcm is the average strain in the solid concrete between the cracks; σs = the stress in tension reinforcement;
fcteff = the main value of the concrete tensile strength when the cracks can be expected first; αe = the ratio 𝐸𝑠 ⁄𝐸𝑐𝑚 ; Kt
factor depend on the duration of the load: ; Kt = 0.6 for loading on short term and Kt = 0.4 for loading on long term.

3.3. ACI 318-14 [21] (ACI 224R-01 [22])

The equation that were considered to best predict the probable maximum bottom and side crack width are:
3
wb = 0.091√tb .A β (fs − 5).10
-3 (7)
0.091 3√tb .A
ws = 𝑡 (fs − 5).10-3 (8)
1 + 𝑠⁄ℎ
1

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Where wb = the maximum crack width at the bottom tension fiber of the beam, in; w s = the maximum crack width at
reinforcement level, in; fs = reinforcing steel stress, ksi; A = symmetric concrete area, divided by a number of bars
t.b
with steel reinforcement, in2: A = w where t = twice the distance from centroid of the flexural tension reinforcement
n
to the extreme tension fiber and bw = the efficient tension area width. tb = bottom cover to center of bar, in; ts = side
cover to center of bar, in; β = ratio of distance between neutral axis and tension face to distance between neutral axis
and reinforcing steel regarding 1.2 in beams and 1.35 for slabs.
Simplification of Equation 7 yielded the following equation:

w = 0.076 β fs 3√dc A .10-3 (9)

Where dc = distance from the maximum tension fiber to the nearest bar, cover thickness, in.

3.4. JSCE Guidelines for Concrete (2007)

The crack width, w, can be determined according to JSCE [23] by the next expression;
σse
w = 1.1k1k2k3 {4c + 0.7(cs - ∅)}[ + Ɛ' csd ] (10)
ES

Where w = crack width; k1 = a constant to consider the effect of surface reinforcement geometry on crack width: k 1 =
1.00 for bars deformed and k1 = 1.30 for bars smooth and prestressing steel; k2 = a coefficient to identify the impact of
the material goodness on crack width: k2 = 15⁄(f'c + 20) + 0.7 where f'c = concrete resistance compressive (N/mm2); k3
= a constant that takes the effect of multiple tensile reinforcement layers on crack width into account; k3 =
5(n +2)⁄7n+8 where n = number of the layers of tensile reinforcement; c = concrete cover (mm); c s = tensile
reinforcement center to center gap (mm); ∅ = diameter of tensile reinforcement; Ɛ`csd = compressive strain for
evaluation of increment of crack width due to shrinkage and creep of concrete: Ɛ`csd = 150×10-6 general cases and Ɛ`csd =
100×10-6 for high-strength concrete; σse = increased stress reinforcement by the state with a concrete stress of zero.

3.5. British Standard (BS 8110-1: 1997) and Singapore Standard (CP65-1999)
The widths of flexural cracks at a particular point on the surface of a member depend primarily on three factors
[24-27]:
 The distance from point considered to reinforce bars perpendicular to the cracks;
 The neutral axis distance to the point considered;
 The average surface strain at the given point.
The following equation gives a relationship between the crack width and these three major variables that results in
accurate acceptability under most common design conditions but the formula in the member dominantly exposed to
axial tension should be applied with caution.
3acr Ɛm
Design surface crack width = a -c (11)
1 +2( cr min )
h-x

Where cmin = minimum cover to the tension steel; h = member's total depth; x = neutral axis depth; Ɛ m = average strain
at the point of consideration for cracking. acr = gap from the point to the next longitudinal bar surface.
The cmin and h values are derived from the member's section. The assessment is explained for the other variables.
 Evaluation of acr
s 2 db
acr = √( ) +(dc )2 − (12)
2 2

Where db = longitudinal bar diameter; dc = effective cover = cmin + db ⁄2 ; s = longitudinal bars spacing center-to-
centre.; db, dc and s values are derived from the member section.
 Evaluation of Ɛm
b(h-x)(a-x) (13)
Ɛm = Ɛ1 −
3Es As (d-x)

Where a = distance from the face of the compression to the level at which the width of the crack is determined; a = h,
when measuring the width of the crack at a soffit; b = width of the rectangular zone; d = effective depth of the
longitudinal reinforcement; As = reinforcement area; Es = elasticity modulus for steel; Ɛ1 = at the chosen point, strain
based on a cracked sectional analysis: Ɛ1 = Ɛs (a − x)/ (d − x) where Ɛs = longitudinal reinforcing strain.

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4. Finite Element Analysis

The non-linear study of tension concrete contributions after the bending cracking of the reinforced concrete beams
was carried out using a Finite Element Model (FEM). The goal was to compare the FEM findings with those obtained
from the building code equations. The current research is carried out by a commercial FEM software, ABAQUS
Program Version 6.14. Concrete was modeled using 3-dimensional, 8-node solid elements; C3D8, with three degrees
of freedom for each node; translations u, v, and w in the three orthogonal directions; x, y and z, respectively.
Reinforcement was modeled on a double nodded linear truss (T3D2) element. The embedded method used in
assembling the model, as the reinforcement components are embedded into the host element (concrete components)
and the interaction of the model between the concrete and reinforcement is constructed by this method. Concrete
damaged plasticity model (CDP) approach was chosen to represent full inelastic compression and tension behaviors of
concrete including damages properties.
4.1. Material Modeling
The material modeling was as follows:
 The complete stress-strain relationship of concrete under compression used in this research study is derived
from Hsu and Hsu (1994) [28], which is described by Wahalathantri et al. (2011) [29]. Typical compressive
stress-strain relationship with properties and terms of damage taking according to ABAQUS Manual [30] as
shown in Figure 2 The user needs to insert stresses (σc), inelastic strains (𝜀𝑐𝑖𝑛 ) correspond to stress levels,
damage characteristics (dc) with inelastic strains in tabular form to describe the stress-strain relation of the
concrete.
 To model the complete tensile behavior of reinforced concrete in ABAQUS, a stress-strain post failure
relationship for concrete subjected to tension is used to take into consideration tension stiffening as shown in
Figure 2 The user needs to enter a young module (Eo), stress (σt), cracking stress values (εckt ) and the value of
damage parameters (dt) for the relevant concrete grade to develop this model.
 Steel reinforcement is known as a linearly elastic plastic material as shown in Figure 3 for finite element
modeling. Elastic modules were assumed to be 200×103 MPa and 0.3, respectively, for the poison ratio for steel
reinforcement. Steel plate used in ABAQUS has been assumed to be a linear elastic material with the same
elastic modulus and Poisson’s ratio of the steel reinforcement. A steel plate's thickness as 50 mm has been
taken into account as a support and load plates.

Figure 2. Stress-strain relationship of concrete under uniaxial compression and tension [30]

Figure 3. Idealizations of the steel stress-strain curve

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4.2. Crack Width in ABAQUS

ABAQUS is used usually to analyze structures such as beams and show the distributions of stresses and strains.
The crack can be graphically represented in a concrete damage plasticity model by adding an effective crack directions
and the direction of the main plastic strain, as it is normal for a crack plane. Loading stage can contain the cracking
pattern, but the crack width is not unfortunately determined. Since crack width is the key parameter in the control of
cracking. Concrete properties are a weakness in tension so that any step of loading leads to stress in concrete tension
or compression, for tension leads to cracking [31]. This strain in node for concrete element is same crack width
generation from plastic strain are shown in Figure 4 and can estimation by Equation 14.

Figure 4. Method calculated of crack width [31]

wc = (𝜀1 + 𝜀2 ) × 𝑙𝑒 (14)

Where, wc = crack width in concrete element, (ε1, ε2) = tensile plastic strain in concrete element, le = element length
(mesh size in ABAQUS).

4.3. Verification of ABAQUS Results

First of all, the modeling for FEM was checked against the results of one of Makhlouf and Malhas [4] beams, two
beams tested by Albandar [32] and one of Gilbert and Nejadi [3] beams.

4.3.1. Makhlouf and Malhas [4]

Test results for three beams reinforced by high-strength deformed bars tested by Makhlouf and Malhas [4] have
been recorded by Vincenzo and Giuseppe [33], and by Allam et al. (2012) [12]. The specimens consisted of three
beams; each beam differed in amount of longitudinal reinforcement to measure the size of surface crack widths under
working load when applying a 50 mm thick concrete cover to different steel stress levels. All beams were of
rectangular cross section with the same dimension. All bottom longitudinal reinforcement was provided by M14 and
M20 bars, while M10 bars were used for all top longitudinal reinforcement. Shear reinforcement, where provided, was
in the form of closed stirrups constructed from D8 bars. Cross-section details and the beam profiles are shown in
Figure 5. Table 1 provides additional relevant details and shows the steel stress–crack width relationship obtained
experimentally together with that obtained from the FEM analysis for the beam G2. Results indicates that the finite
element model matches well with the experimental results.
Table 1. Cross section detail, material characteristics and comparison of determined crack width numerical values with
measured experimental values for Makhlouf and Malhas [4] test specimen (G2).

Beam d fy fc` fs wk (EXP.) Mesh size Plastic wk (NUM.) wk(EXP./NUM.)

number (mm) (MPa) (MPa) (MPa) (mm) (mm) strain (mm) (%)
G2-1 336 430 40 154 0.0900 50 0.002636 0.1318 0.6831
G2-2 336 430 40 184 0.1500 50 0.003358 0.1679 0.8932
G2-3 336 430 40 230 0.2200 50 0.004392 0.2196 1.0019
G2-4 336 430 40 288 0.2700 50 0.005476 0.2738 0.9862

Figure 5. Cross sections and elevation details of beams tested by Makhlouf and Malhas [4, 12]

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4.3.2. Albandar [32]

Tested finds of the 9 beams with high strength and deformed bars tested by Albandar (1973) [32] were stated by
Albandar and Mills [1]. Experimental program include 3×3 simply supported full-scale beams in which the side covers
were varied in the ratio 3 to 1 and the effective area while all other parameters (except bar diameter) were held
constant. The basis of the programme was to investigate the effect of varying a single parameter within a series of
three beams, each one cast and tested under uniform conditions. Cross-section details and the beam profiles are shown
in Figure 6. Table 2 provides additional relevant details and shows the steel stress–crack width relationship obtained
experimentally together with that obtained from the FEM analysis for the beam S1 and S4. Results indicates that the
finite element model matches well with the experimental results.
Table 2. Cross section detail, material characteristics and comparison of determined crack width numerical values with
measured experimental values for beams tested by Albandar [32]

Beam d s fcu fy fs wk (EXP.) Mesh size Plastic wk (NUM.) wk(EXP./NUM.)

number (mm) (mm) (MPa) (MPa) (MPa) (mm) (mm) strain (mm) (%)

S1 379 178.00 47.1 410 288 0.3200 50 0.005592 0.2796 1.1443

S4 379 64.67 45.7 410 288 0.1700 50 0.003972 0.1986 0.8561

Figure 6. Cross sections and elevation details of beams tested by Albandar [32] (adapted from Albandar and Mills [1]) (all
dimension in mm)

4.3.3. Gilbert and Nejadi [3]

In six beams with high strength deformed bars, Gilbert and Nejadi [3] document results of the tests. The specimens
consisted of six beams; each beam differed in tensile steel area, bar diameter, bar spacing, tensile steel stress and
concrete cover. After almost 400 days of load, cracks at the various steel stress level were reported over the longer
term. Cross-section data and models of beams are shown in Figure 7. Table 5 provides additional relevant details and
shows the steel stress–crack width relationship obtained experimentally together with that obtained from the FEM
analysis for the beam B1-b. Results indicates that the finite element model matches well with the experimental results.
Table 3. Cross section detail, material characteristics and comparison of determined crack width numerical values with
measured experimental values for beams tested by Gilbert and Nejadi [3]

Beam d s fc` fs wk (EXP.) Mesh size Plastic wk (NUM.) wk(EXP./NUM.)

number (mm) (mm) (MPa) (MPa) (mm) (mm) strain (mm) (%)
B1-b 300 150 24.8 154 0.13 50 0.002448 0.1224 1.0622

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Figure 7. Cross sections and elevation details of beams tested by Gilbert and Nejadi [3] (all dimension in mm)

5. Application of Some Code Equations with Published Available Experimental Data

To get links to code equation precision for predicting crack width in reinforced concrete members, a comparison is
carried out with the experimental results reported by Gilbert and Nejadi [3] and Makhlouf and Malhas [4].

5.1. Makhlouf and Malhas [4]

Cross-section details and the beam profiles are shown in Figure 5.
Table 4. Cross section details and material characteristics of the checked beams by Makhlouf and Malhas [4]

Beam b h d Bottom Top fy fc`

Stirrups
number (mm) (mm) (mm) steel steel (MPa) (MPa)
G1 600 400 338 4Ф14+2Ф20 4Ф10 4 br. Ф8mm@165mm 430 40
G2 600 400 336 6Ф20 4Ф10 4 br. Ф8mm@165mm 430 40
G3 600 400 336 9Ф20 4Ф10 4 br. Ф8mm@165mm 430 40

Table 5. Application of some code equations with published available experimental data presented by Makhlouf and Malhas [4]

Beam wk(EXP.) wk (EC2) wk (ACI) wk (JSCE) wk (BS OR SS CP)

wk (ECP) (mm)
number (mm) (mm) (mm) (mm) (mm)
G1-1 0.08 − 0.1379 0.1817 0.0772 0.1062
G1-2 0.11 − 0.1657 0.2183 0.1182 0.1408
G1-3 0.19 0.1151 0.2058 0.2712 0.1775 0.1907
G1-4 0.31 0.2346 0.2573 0.3390 0.2534 0.2548
G2-1 0.09 0.1060 0.1426 0.2134 0.1624 0.1585
G2-2 0.15 0.1628 0.1704 0.2549 0.2076 0.1976
G2-3 0.22 0.2416 0.2300 0.3187 0.2770 0.2574
G2-4 0.27 0.3333 0.3195 0.3990 0.3644 0.3329
G3-1 0.14 0.1200 0.1278 0.1861 0.1769 0.1595
G3-2 0.18 0.1585 0.1692 0.2243 0.2193 0.1974
G3-3 0.26 0.2112 0.2294 0.2797 0.2810 0.2522
G3-4 0.34 0.2753 0.3056 0.3500 0.3590 0.3218

The following are shown in Table 5:

 Egyptian code [19] indicates an underestimated crack width values in G1 where the beam is reinforced with a
limited reinforcement ratio (μ = 0.62 %). At steel stress fs = 134 MPa and fs = 161 MPa (fs = 0.31fy and fs =
0.37 fy), The Egyptian code [19] indicates that the beam is considered to be uncracked. The crack value
specified in the Egyptian code [19] well correlated the experimental values for beam with reinforcement ratio
(μ = 0.95%) in G2 at all stages of reinforcement bar stress. For beam with higher reinforcement ratio (μ =
1.42%) in G3, the Egyptian code [19] is less than the crack width measured in experiments;
 The Eurocode 2 [20] equation gives crack width values greater than the experimental values, with the
exception of the heavy reinforcement ratio (μ = 1.42%) values. Eurocode 2 [20] predictions for beams with
reinforcement ratio (μ= 0.62% and μ = 0.95%) give overestimated values of the crack width because Eurocode
2 [20] restricts the level of the (Ɛsm−Ɛcm) not to be less than 0.6 fs/Es. As the reinforcement ratio increased in
G3 the concrete contribution in tension zone increased. The value of (Ɛ sm−Ɛcm) bigger than the value of 0.6
fs/Es and the value of crack width specified in the Eurocode 2 [20] well correlated the experimental values;
 Generally, the ACI 318-14 [21] (ACI 224R-01[22]) equation substantially overestimated crack width values
except for high stage of steel stress fs = 227 MPa and fs = 284 MPa (fs = 0.53fy and fs = 0.66 fy) and at high
values of reinforcement ratio (μ = 1.42%);
 JSCE (2007) [23] give a crack width values well correlated the experimental values in G1 and G2, except at
level of steel stress fs = 250 MPa (fs = 0.58fy) and low reinforcement ratio (μ = 0.62%). For G2 where the

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reinforcement ratio (μ = 0.95%), JSCE (2007) [23] appear overestimated values for the crack width. This may
be a result of use big bar diameter (Ф = 20mm) which is main factor in the equation of crack width. However,
the bar diameter in G3 is the same but the value of bar spacing is smaller;
 The width of cracks values expected by BS 8110-1997 [24, 25] or SS CP 65-1999 [26, 27] equations was
greater than test values for beams in G1 and G2, with the exception of elevated steel stress stages f s = 250 MPa
(fs = 0.58fy) and low reinforcement ratio (μ = 0.62%). For G3, the width of the crack values expected by BS
8110-1997 [24, 25] or SS CP 65-1999 [26, 27] equations well correlated the experimental values.

5.2. Gilbert and Nejadi [3]

Cross-section data and models of beams are shown in Figure 7.
Table 6. Cross-Section Details and material properties of beams tested by Gilbert and Nejadi [3]

Beam b h d Bottom cb cs s fc`

number (mm) (mm) (mm) steel (mm) (mm) (mm) (MPa)
B1 250 348 300 2Ф16 40 40 150 24.8
B2 250 333 300 2Ф16 25 25 180 24.8
B3 250 333 300 3Ф16 25 25 90 24.8

Table 7. Application of some code equations with published available experimental data presented by Gilbert and Nejadi [3]

Beam wmax (EXP.) wavge (EXP.) wk (ECP) wk (EC2) wk (ACI) wk (JSCE) wk (BS OR SS CP)
number (mm) (mm) (mm) (mm) (mm) (mm) (mm)
B1-a 0.3800 0.2800 0.2659 0.2354 0.2521 0.2434 0.1942
B1-b 0.1800 0.1300 0.1345 0.1355 0.1718 0.1382 0.1116
B2-a 0.3600 0.2000 0.2135 0.2853 0.1846 0.2145 0.1762
B2-b 0.1800 0.1100 0.1144 0.1617 0.1256 0.1253 0.1022
B3-a 0.2800 0.1700 0.1745 0.1527 0.1541 0.1635 0.1266
B3-b 0.1300 0.0900 0.0889 0.0771 0.0926 0.0894 0.0665

The following are shown in Table 7:

 Generally, codes give a crack width values greatly underestimated the values of the maximum crack width.
However the crack width values, as some code indicates, were well associated with average crack width test
values;
 The Egyptian code [19] and JSCE (2007) [23] the crack width values corresponded well to the average crack
width experimental values of all steel stress levels and differed the value of the concrete covering;
 The Eurocode 2 [20] equation give crack width values smaller than experimental values of average crack width,
except in beam B2. Eurocode 2 [20] predictions for beam B2 give values of the crack width bigger than values
predicted for beam B1. However, the concrete cover in beam B1 (c = 40mm) bigger than its value in beam B2
(c = 25mm). Eurocode 2 [20] limits the value of spacing between reinforcement bar (spacing ≤ 5(c +Ф/2)), if
the spacing between reinforcement bar exceeds 5(c +Ф/2), maximum crack spacing equation change (s rmax =
1.3(h−x)). Maximum crack spacing predicted from previous equation give a value bigger than the value
predicted by usual equation for calculating crack spacing (srmax= k3.c + k1.k2.k4.( ∅/ρp,eff )) so crack width values
of beam B2 bigger than crack width value of beam B1.
 Generally, the ACI 318-14 [21] (ACI 224R-01[22]) equation give crack width values less than average crack
width experimental values exception of the low degree of steel stress fs = 154 MPa and fs = 128 MPa (Ms/Mu =
30%).
 Generally, the BS 8110-1997 [24, 25] or SS CP 65-1999 [26, 27] equation underestimated the values of the
crack width.
 The findings for the B1-a and B2-a beams as well as the B1-b and B2-b beams indicate the effect of the
concrete cover on the width of the crack. With the increasing concrete cover in beam B1 the width of the crack
increased. The maximum crack width can be affected by 5.56% according to experimental findings, as the
concrete cover rises between 25 to 40 mm on high steel stress levels fs= 226 MPa (Ms/Mu = 45% ) and 0.00%
at low level of steel stress fs= 154 MPa (Ms/Mu = 45%). This is compared to 40.00%, 18.18% increase
observed from experimental average crack width, 24.54%, 17.57% increase calculated by ECP 203-2018 [19],
17.49%, 16.20% decrease calculated by EC2 (2004) [20], 36.57%, 36.78% increase calculated by ACI 318-14
[21, 22], 13.47%, 10.30% increase calculated by JSCE (2007) [23] and 10.22%, 9.20% increase calculated by
BS 8110-1997 [24, 25] or SS CP 65-1999 [26, 27].

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6. Analytical and Numerical Comparison between Code Equations for Predicting the Crack Width
According to the previous equations for calculating the crack width, it is possible to conclude the factors affecting
on the crack width are:
(1) Steel stress (fs);
(2) Concrete cover for longitudinal steel at tension zone (c);
(3) Spacing between bars in tension zone (s);
(4) Diameter of bars in tension zone (∅);
(5) Area of longitudinal tension steel (As);
(6) Area of longitudinal compression steel (As\);
(7) Surface geometry of reinforcement bar (smooth, deformed) which effect on the bond between steel and concrete;
(8) Compressive strength for concrete;
(9) Number of tension reinforcement layers.
In this section construction codes and ABAQUS are applied to reinforced concrete modules with different
parameter values. Calculations were conducted on nine groups of reinforced concrete beams. Group 1, included four
specimens that had four steel stress, 160, 180, 200, and 220 Mpa. Group 2, included four specimens that had four
concrete cover, 30, 40, 50 and 60 mm. Group 3, included four specimens that had four reinforcement bar spacing, 41,
46, 51 and 56 mm. Group 4, included four specimens that had four reinforcement bar diameter, 16, 18, 20 and 25 mm.
Group 5, included four specimens that had four area of longitudinal tension steel, 1005.31, 1272.35, 1570.80 and
1900.66 mm2. Group 6, included four specimens that had four area of longitudinal compression steel, 226.19, 402.12,
508.94 and 628.32 mm2. Group 7, included two specimens that had two type of reinforcement bar, smooth and
deformed. Group 8, included four specimens that had four compressive strength, 30, 40, 50 and 70 Mpa. Group 9,
included three specimens that had three number of reinforcement layer, 1, 2 and 3 layer. Figure 8 show the concrete
dimensions and reinforcement arrangement of the studied specimens in all groups and Table 8 provides Cross-section
details and material properties of these beams.

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Figure 8. Concrete dimensions and reinforcement arrangement of the studied specimens in all groups (all dimension in mm)

Table 8. Cross-section details and material properties of beams in all groups

Beam b h d c s Φ As fs fcu
number (mm) (mm) (mm) (mm) (mm) (mm) (mm2) (MPa) (MPa)
G1-01 300 600 552 30 51 16 1005.31 160 30
G1-02 300 600 552 30 51 16 1005.31 180 30
G1-03 300 600 552 30 51 16 1005.31 200 30
G1-04 300 600 552 30 51 16 1005.31 220 30
G2-01 300 600 552 30 51 16 1005.31 220 30
G2-02 300 610 552 40 51 16 1005.31 220 30
G2-03 300 620 552 50 51 16 1005.31 220 30
G2-04 300 630 552 60 51 16 1005.31 220 30
G3-01 300 600 552 30 56 16 1005.31 220 30
G3-02 300 600 552 30 51 16 1005.31 220 30
G3-03 300 600 552 30 46 16 1005.31 220 30
G3-04 300 600 552 30 41 16 1005.31 220 30
G4-01 300 600 552.0 30 51.00 16 1005.31 220 30
G4-02 300 600 551.0 30 76.33 18 1017.88 220 30
G4-03 300 600 550.0 30 100.00 20 942.48 220 30
G4-04 300 600 547.5 30 195.00 25 981.75 220 30
G5-01 300 600 552 30 51.0 16 1005.31 220 30
G5-02 300 600 551 30 50.5 18 1272.35 175 30
G5-03 300 600 550 30 50.0 20 1570.80 145 30
G5-04 300 600 549 30 49.5 22 1900.66 120 30
G6-01 300 600 552 30 51 16 1005.31 220 30
G6-02 300 600 552 30 51 16 1005.31 220 30
G6-03 300 600 552 30 51 16 1005.31 220 30
G6-04 300 600 552 30 51 16 1005.31 220 30
G7-01 300 600 552 30 51.00 16 1005.31 140 30
G7-02 300 600 552 30 51.00 16 1005.31 140 30
G8-01 300 600 552 30 51.0 16 1005.31 220 30
G8-02 300 600 552 30 51.0 16 1005.31 220 35
G8-03 300 600 552 30 51.0 16 1005.31 220 40
G8-04 300 600 552 30 51.0 16 1005.31 220 45
G9-01 300 600 547.5 30 65.00 25 1963.50 220 30
G9-02 300 600 533.0 30 67.33 18 2035.75 220 30
G9-03 300 600 522.5 30 68.33 15 2120.58 220 30
c = Clear concrete cover; s = Reinforcement bar spacing; Φ = Reinforcement bar diameter.

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Table 9 shows the values of the crack width for the studied beams in all groups. Table 10 shows statistical analysis
for calculated crack width values according to five codes versus numerical crack width values.

Table 9. Values of the crack width for the studied beams in all groups

Beam wk (ECP) wk (EC2) wk (ACI) wk (JSCE) wk (BS OR SS CP) wk (NUM.)

number (mm) (mm) (mm) (mm) (mm) (mm)
G1-01 0.1147 0.1375 0.1286 0.1288 0.0864 0.1118
G1-02 0.1364 0.1609 0.1446 0.1499 0.1016 0.1293
G1-03 0.1574 0.1842 0.1607 0.1711 0.1167 0.1469
G1-04 0.1779 0.2075 0.1768 0.1922 0.1318 0.1649
G2-01 0.1779 0.2075 0.1768 0.1922 0.1318 0.1649
G2-02 0.1960 0.2451 0.2050 0.2309 0.1607 0.1734
G2-03 0.2136 0.2775 0.2329 0.2685 0.1911 0.1925
G2-04 0.2308 0.3059 0.2606 0.3050 0.2229 0.2193
G3-01 0.1779 0.2075 0.1768 0.1958 0.1346 0.1772
G3-02 0.1779 0.2075 0.1768 0.1922 0.1318 0.1648
G3-03 0.1779 0.2075 0.1768 0.1885 0.1292 0.1529
G3-04 0.1779 0.2075 0.1768 0.1849 0.1268 0.1450
G4-01 0.1779 0.2075 0.1768 0.1922 0.1318 0.1648
G4-02 0.1912 0.2188 0.1936 0.2034 0.1419 0.1699
G4-03 0.2110 0.2358 0.2162 0.2193 0.1602 0.1808
G4-04 0.2471 0.2659 0.2574 0.2872 0.2298 0.1808
G5-01 0.1779 0.2075 0.1768 0.1922 0.1318 0.1648
G5-02 0.1352 0.1576 0.1443 0.1585 0.1067 0.1348
G5-03 0.1062 0.1234 0.1207 0.1342 0.0885 0.1095
G5-04 0.0856 0.0989 0.1030 0.1161 0.0749 0.0945
G6-01 0.1779 0.2075 0.1768 0.1922 0.1318 0.1648
G6-02 0.1778 0.2076 0.1768 0.1921 0.1315 0.1637
G6-03 0.1778 0.2076 0.1764 0.1921 0.1313 0.1535
G6-04 0.1778 0.2076 0.1764 0.1921 0.1312 0.1492
G7-01 0.0920 0.1142 0.1125 0.1077 0.0713 0.0949
G7-02 0.1616 0.1618 0.1125 0.1400 0.0713 0.0949
G8-01 0.1779 0.2075 0.1768 0.1922 0.1318 0.1656
G8-02 0.1743 0.2025 0.1766 0.1798 0.1316 0.1639
G8-03 0.1707 0.1977 0.1764 0.1687 0.1314 0.1621
G8-04 0.1671 0.1932 0.1764 0.1587 0.1312 0.1605
G9-01 0.1812 0.2141 0.2076 0.2301 0.1611 0.1450
G9-02 0.1710 0.1928 0.1729 0.2167 0.1716 0.1512
G9-03 0.1652 0.1812 0.1563 0.2090 0.1793 0.1588

Table 10. Statistical analysis for calculated crack width values according to five codes versus numerical crack width values

Min Max Avg.

Codes Stdev.
wk(CAL.)/(NUM.) wk(CAL.)/(NUM.) wk(CAL.)/(NUM.)
ECP 0.9058 1.7028 1.1095 0.1357
EC2 1.0466 1.7050 1.2915 0.1234
ACI 0.9843 1.4317 1.1348 0.0937
JSCE 0.9888 1.5885 1.2357 0.1372
BS OR SS CP 0.7513 1.3667 0.9188 0.1654

Figures 9 to 11 show comparison between codes and numerical results for beams studied at the bottom tension
fibers in all groups. Table 11 provides a summary for the degree of influence of each variable on the width of the crack
for nine reinforced concrete groups according to ABAQUS and all codes involved in this research.
From the analytical and numerical results, the following comparative points are discussed:
 The results of Group 1 clearly shows that the width of the crack increased with increasing the steel stress. The
results demonstrates that the width of the crack can be varied by 12-55% as the steel stress vary, respectively,
from 160 MPa to 180, 200 and 220 MPa for the same section.

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 The results of Group 2 clearly shows that the width of the crack increased with increasing the concrete cover.
The results demonstrates that the width of the crack can be varied by 5-70% as the concrete cover vary,
respectively, from 30 mm to 40, 50 and 60 mm for the same bar spacing.
 The results of Group 3 clearly shows that the width of the crack increased with increasing the reinforcement bar
spacing in tension zone. The results demonstrates that the width of the crack can be varied by 2-22% as the
reinforcement bar spacing vary, respectively, from 41 mm to 46, 51 and 56 mm for the same concrete cover.
 The results of Group 4 clearly shows that the width of the crack increased with increasing the reinforcement bar
diameter in tension zone. The results demonstrates that the width of the crack can be varied by 3-75% as the
reinforcement bar diameter vary, respectively, from 16 mm to 18, 20 and 25 mm for the same steel stress.
 The results of Group 5 clearly shows that the width of the crack decreased with increasing the area of
longitudinal tension reinforcement. The results demonstrates that the width of the crack can be varied by 17-
52% as the area of longitudinal tension reinforcement vary, respectively, from 1005.31 mm2 to 1272.35, 1570.8
and 1900.66 mm2 for the same applied load (constant bending moment).
 The results of Group 6 clearly shows that the width of the crack decreased with increasing the longitudinal
compression reinforcement area. The results demonstrates that the width of the crack can be varied by 0 - 9% as
the area of longitudinal tension reinforcement vary, respectively, from 226.19 mm 2 to 402.12, 508.94 and
628.32 mm2 for the same applied load (constant bending moment).
 The results of Group 7 clearly shows that the width of the crack increased with the changing reinforcement
surface type from deformed to smooth. The results demonstrates that the width of the crack can be varied by
30-75% as the reinforcement surface type vary, respectively, from deformed to smooth for the same steel stress.
 The results of Group 8 clearly shows that the width of the crack decreased with increasing the concrete
compressive strength. The results demonstrates that the width of the crack can be varied by 0.5-18% as the
concrete compressive strength vary, respectively, from 30 MPa to 35, 40 and 45 MPa for the same section.
 The results of Group 9 according to ECP 203-2018 [19], EC2 (2004) [20], ACI 318-14 [21] (ACI 224R-01
[22]) and JSCE (2007) [23] clearly shows that the width of the crack decreased with increasing the number of
tensile reinforcement layers increases. The results demonstrates that the width of the crack can be varied by 5-
25% as the number of tensile reinforcement layers vary, respectively, from 1 layer to 2 and 3 layer for the same
reinforcement ratio. This is compared to 4-12% increase calculated by BS 8110-1997 [24, 25] or SS CP 65-
1999 [26, 27] and NUMERICAL.
 ACI 318-14 [21] (ACI 224R-01 [22]) code give the lowest value of the standard deviation for statistical
analysis of calculated crack width values versus numerical crack width values.
 JSCE (2007) [23], ECP 203-18 [19] and EC2 (2004) [20] give the second lowest value of the standard deviation
for statistical analysis of calculated crack width values versus numerical crack width values.
 BS 8110-1997 [24, 25] or SS CP 65-1999 [26, 27] give the highest value of the standard deviation for statistical
analysis of calculated crack width values versus numerical crack width values.

Codes Results for G1

0.25
ECP
Crack Width, w (mm)

0.2
EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05
NUM.
0
160 180 200 220

Steel Stress, fs (MPa)

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Codes Results for G2

0.35
ECP
Crack Width, w (mm) 0.3
EC2
0.25

0.2 ACI

0.15 JSCE

0.1
BS-SS CP
0.05
NUM.
0
30 40 50 60
clear concrete cover, c (mm)

Codes Results for G3

0.25
ECP

0.2
Crack Width, w (mm)

EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05

NUM.
0
41 46 51 56
Reinforcement Bar Spacing, s (mm)

Figure 9. Comparison numerical results with code results for beams studied in G1, G2 and G3

Codes Results for G4

0.35
ECP
0.3
Crack Width, w (mm)

EC2
0.25

0.2 ACI

0.15 JSCE

0.1
BS-SS CP
0.05
NUM.
0
16 18 20 25
Reinforcement Bar Diameter, Ф (mm)

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Codes Results for G5

0.25
ECP

0.2
Crack Width, w (mm)
EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05

NUM.
0
1005.31 1272.35 1570.8 1900.66
Longitudinal Tension Reinforcement Area, As (mm2)

Codes Results for G6

0.25
ECP
Crack Width, w (mm)

0.2
EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05

NUM.
0
226.19 402.12 508.94 628.32
Longitudinal Compression Reinforcement Area, As` (mm2)

Figure 10. Comparison numerical results with code results for beams studied in G4, G5 and G6

Codes Results for G7

0.18
ECP
0.16
Crack Width, w (mm)

0.14 EC2
0.12
ACI
0.1
0.08 JSCE
0.06
BS-SS CP
0.04
0.02 NUM.
0
DEFORMED SMOOTH
Reinforcement Surface Type

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Codes Results for G8

0.25
ECP
Crack Width, w (mm) 0.2
EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05
NUM.
0
30 35 40 45
Concrete Compressive Strength, fcu (MPa)

Codes Results For G9

0.25
ECP
0.2
Crack Width, w (mm)

EC2

0.15 ACI

0.1 JSCE

BS-SS CP
0.05

NUM.
0
1 2 3
Number of Tensile Reinforcement Layers, n

Figure 11. Comparison numerical results with code results for beams studied in G7, G8 and G9

Table 11. The degree of influence of each variable on the width of the crack for nine reinforced concrete groups according
to ABAQUS and all codes involved in this research

Parameter variation Influence percentage

Group Parameter References Increment Decrement
From To
From To From To
G1 fs 180 MPa 220 MPa All codes and ABAQUS 12% 55% -----------------
G2 Cc 40 mm 60 mm All codes and ABAQUS 5% 70% -----------------
JSCE, BS and ABAQUS 2% 22% -----------------
G3 S 41 mm 56 mm Didn’t considered in Didn’t considered in
ECP, EC2 and ACI
codes equations codes equations
G4 ∅ 16 mm 25 mm All codes and ABAQUS 3% 75% -----------------
2 2
G5 As 1005 mm 1900 mm All codes and ABAQUS ----------------- 17% 52%
G6 As` 226 mm2 628 mm2 All codes and ABAQUS ----------------- 0% 9%
ECP, EC2 and JSCE 30% 75% -----------------
G7 Surface type Def. Smo. Didn’t considered in Didn’t considered in
ACI, BS and ABAQUS ABAQUS & codes ABAQUS & codes
equations equations
G8 fcu 30 MPa 45 MPa All codes and ABAQUS ----------------- 0.5% 18%
ECP, EC2, ACI and JSCE ----------------- 5% 25%
G9 Num. of R.F.T layers 1 layer 3 layers
BS and ABAQUS 4% 12% -----------------

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

7. Conclusions and Recommendations

The following conclusions can be arranged from the comparative analysis of multiple building codes approach,
analytical and numerical research provided by this study through the analysis of the significant factors that can
influence on the width of the crack, such as concrete cover, steel stress, reinforcement ratio, bar surface and
reinforcement arrangement:
 The magnitude of the tensile stress in the reinforcing steel is the major factor influencing bending crack width
under any given load. Controlling steel strain is the most efficient way of reducing crack widths in structures.
The concrete covering over the reinforcing steel, bar size, surface geometry of reinforcement bar and steel
distribution in the tension zone are also important factors which affect crack widths.
 ECP 203-2018, EC2 (2004) and ACI 318-14 (ACI 224R-01 ) doesn’t take the effect of reinforcement bar
spacing (side concrete cover) on the crack width into consideration so that the values of crack widths expected
for beams models in Group 3 is constant according to the results of these codes. This is compared to 7, 14 and
18% decreased with decreasing the reinforcement bar spacing in tension zone in ABAQUS.
 ACI 318-14 (ACI 224R-01), BS 8110-1997 or SS CP 65-1999 and ABAQUS doesn’t take the effect of
reinforcement bar surface on the crack width into consideration so that the values of crack widths expected for
beams models in Group 7 is constant according to the results of these references.
 ACI 318-14 (ACI 224R-01), JSCE (2007), BS 8110-1997 or SS CP 65-1999 and ABAQUS doesn’t take the
effect of loading duration on the crack width into consideration.
 The inadequate consistency of the references in the region concerning the position of the crack width calculation
is at the bottom of the beam or at the reinforcement level except ACI 318-14 (ACI 224R-01), BS 8110-1997 or
SS CP 65-1999 and ABAQUS.
 The inadequate consistency of the references in the region concerning the values obtained for the crack width is
that maximum crack width or average crack width of the cracks generated in the constant moment region except
ACI 318-14 (ACI 224R-01) and ABAQUS.
 Any statistical analyses of the code results with experimental or numerical results give deceptive indications
without avoiding the pervious defects of each code. Specifically, the crack width values calculated according to
each code, is it an average value or a maximum value.
 JSCE (2007) equation is the most suitable for calculating value of crack width because it take into consideration
the most important factor which effected on the crack width.
 The numerical outputs in terms of load–crack width are in good agreement with the experimental results found in
literature review so ABAQUS is a good software in our numerical study on crack width and the parameter that
affecting on it.

8. Declarations
8.1. Author Contributions
Conceptualization, H.M. and K.F.; methodology, H.M. and K.F.; software, H.M., K.F. and A.A.; validation, H.M.
and K.F.; formal analysis, H.M. and K.F.; investigation, H.M., K.F. and A.A.; resources, H.M., K.F. and A.A.; data
curation, H.M., K.F. and A.A.; writing—original draft preparation, H.M., K.F. and A.A.; writing—review and editing,
H.M., K.F. and A.A.; visualization, H.M. and K.F.; supervision, H.M. and K.F.; project administration, H.M. and K.F.
All authors have read and agreed to the published version of the manuscript.

8.2. Data Availability Statement

The data presented in this study are available in article.

8.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

8.4. Conflicts of Interest

The authors declare no conflict of interest.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

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Crack Width Limitations for Design of Concrete Structures in Serviceability Limit States.” Structural Concrete 20, no. 2
(January 2, 2019): 678–688. doi:10.1002/suco.201800183.
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Ganesh Thiagarajan. "Evaluation of crack widths in concrete flexural members reinforced with FRP bars." In 3rd International
Conference on Composites in Civil Engineering, CICE 2006. International Institute for FRP in Construction (IIFC), (2020):
307-310.
[17] Oktaviani, W N, A Tambusay, I Komara, W Sutrisno, F Faimun, and P Suprobo. “Flexural Behaviour of a Reinforced
Concrete Beam Blended with Fly Ash as Supplementary Material.” IOP Conference Series: Earth and Environmental Science
506 (June 11, 2020): 012042. doi:10.1088/1755-1315/506/1/012042.
[18] Khorasani, A.M. Mohtaj, M. Reza Esfahani, and Javad Sabzi. “The Effect of Transverse and Flexural Reinforcement on
Deflection and Cracking of GFRP Bar Reinforced Concrete Beams.” Composites Part B: Engineering 161 (March 2019): 530–
546. doi:10.1016/j.compositesb.2018.12.127.
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Giza (2018).
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[21] ACI Committee 318. "Building Code Requirements for Structural Concrete (ACI 318-14): An ACI Standard; Commentary on
Building Code Requirements for Structural Concrete (ACI 318R-14)." American Concrete Institute, 2014.
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[22] American Concrete Institute, and ACI Committee 224. Control of Cracking in Concrete Structures-ACI 224R-01. American
Concrete Institute-ACI, 2001. doi:10.14359/10632.

[23] JSCE Concrete Committee. "Standard Specifications for Concrete Structures-2007 ‘‘Design’’." Japanese Society of Civil
Engineering (JSCE), JSCE Guidelines for Concrete (2007).

[24] Standard, British. "Structural Use of Concrete: Code of Practice for Design and Construction, Part 1, BS 8110." (1997).

[25] BSI, BS. "8110 Part 2, Structural Use of Concrete. Code of Practice for Design and Construction." (1985).

[26] CP 65. "Structural use of concrete, Part 1. Code of practice for design and construction." Singapore Standard (1999).

[27] CP 65. "Special circumstances, Part 2. Code of practice for structural use of concrete "Singapore Standard (1996).

[28] Hsu, L. S., and C.-T. T. Hsu. “Complete Stress — Strain Behaviour of High-Strength Concrete under Compression.” Magazine
of Concrete Research 46, no. 169 (December 1994): 301–312. doi:10.1680/macr.1994.46.169.301.

[29] Wahalathantri, Buddhi, David Thambiratnam, Tommy Chan, and Sabrina Fawzia. "A material model for flexural crack
simulation in reinforced concrete elements using ABAQUS." In Proceedings of the first international conference on
engineering, designing and developing the built environment for sustainable wellbeing. Queensland University of Technology,
(2011): 260-264.

[30] Systèmes, Dassault. "Abaqus 6.14 Documentation." Providence, RI: Dassault Systèmes, (2014).

[31] Attiyah, Ali N., Hans Gesund, and Mohammed H. Rasool. "Finite Element Modelling of Concrete Shrinkage Cracking in
Walls." Kufa journal of Engineering 5, no. 1 (2013).

[32] Albandar, F. A-A. “The control of crack widths in reinforced concrete beams”. Thesis submitted to the University of Bradford
for the degree of MSc. May 1973. pp. 132.

[33] Colotti, Vincenzo, and Giuseppe Spadea. “An Analytical Model for Crack Control in Reinforced Concrete Elements under
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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Optimization of Cellular Concrete Formulation with Aluminum

Waste and Mineral Additions

Mohammed Salah Bouglada 1*, Noui Ammar 2, 3, Belagraa Larbi 3, 4

1
Department of Civil Engineering, Faculty of Technology, M.B.B. Batna2 University, 05000, Algeria.
2
Department of Civil Engineering, Faculty of Science and Technology, University of Bordj Bou Arriridj, 34 000, Algeria.
3
Laboratory of Materials and Electronic Systems, University of Bordj Bou Arreridj, 34 000, Algeria.
4
Department of Civil Engineering, Faculty of Technology, University of Med Boudiaf, of M’sila, 28 000, Algeria.

Received 22 March 2021; Revised 21 May 2021; Accepted 30 May 2021; Published 01 July 2021

Abstract
The paper aims to study cellular concrete with a new approach of formulation without an autoclave, with the use of
aluminum waste and incorporation of mineral additions into the sand and evaluate its physical and mechanical properties.
In this experimental study, two types of cellular concrete are prepared, based on crushed and dune sand with the
incorporation of 15% of the slag and 10% of pozzolana, as sand replacement. An experimental program was performed
to determine the compressive strength at 28 days, the density and thermal conductivity of the confected cellular concrete.
The obtained results showed that concretes prepared with crushed sand developed better mechanical resistance compared
to the dune sand. It is also noted that the concretes containing the mineral additions provide a substantial increase in
compressive strength in particular slag. Furthermore, cellular concretes with sand dunes offer better thermal
conductivity, compared to those with crushed sand. The use of the additions reduces the Water/Binder (W/B) ratio and
leads to a lower thermal conductivity regardless of the used sand nature. The outcome of the present study here in could
present a modest contribution for the production of cellular concrete with local materials in particular dune sand, active
mineral addition and aluminum waste. The physical and mechanical properties obtained from this new composition are
estimated acceptable compared to those of the industry-prepared cellular concrete product.
Keywords: Cellular Concrete; Dune Sand; Crushed Sand; Mineral Addition; Resistance; Conductivity.

1. Introduction
In recent years, cellular concrete is widely used as it has the potential to be an alternative to ordinary concrete, it
reduces dead loads on the structure and contributes to energy conservation and reduces production and labour costs
during construction and transport [1] and also for the development of new raw materials of cement, foaming agents
and fillers for specific applications of cellular concrete. Cellular concrete is generally defined as a lightweight product,
also called lightweight cellular concrete or low-density concrete, composed of Portland cement, silica-cement, cement-
pozzolana, lime-pozzolana or silica-lime [2, 3]. The main advantages of cellular concrete compared to conventional
Portland cement concrete are weight reduction up to 80%; excellent acoustic and thermal isolation; high resistance to
fire; lower costs in raw materials, easier pumping and application; and finally it does not need compacting, vibration or

* Corresponding author: bougladam@gmail.com

http://dx.doi.org/10.28991/cej-2021-03091721

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

levelling [4]. It is either a cement paste or a mortar, classified as lightweight concrete, its construction applications as
light and semi-structural material are becoming more frequent [5, 6].
Today, in order to design sustainable building materials, all the knowledge gathered on materials science as well as
modern techniques can solve problems [7]. The hydrothermal synthesis of a calcium silicate binder obtained from a
mixture of lime and silica [8, 9]. The alveolar appearance is induced by the addition of aluminum powder in the basic
mixture, which leads to the release of hydrogen. The bubbling is accompanied by the formation of C3AH6 hydrates
produced by reacting the aluminum hydroxide with the lime, leading to a sufficient firming of the dough to stabilize
the shape of the expanding material. A curing treatment, usually a hydrothermal synthesis, then promotes the
formation of tobermorite C5S6H5 (calcium silicate) by reaction of the lime on the silica. In their current range of
density (400 to 600 kg/m3), these materials have an acceptable compromise in terms of thermal insulation and
mechanical performance, the thermal conductivity of such materials remains between 0.1-0.3 W/m.°K. The mechanical
properties are sufficient to guarantee the use of constructive block concrete with a structural role on one or two-stage
heights (compressive strength of 4 to 7 MPa) [9, 10].
With the contemporary concept of sustainable development, which is based on the main actions: social, economic
and environmental, Scientific research, which is the driving force behind all development, is obliged to harmonize
with this approach by meeting the economic and ecological requirements of this concept. This reflects the current
trend of research into new building materials that meet techno-economic and environmental requirements such as
cellular concrete and the valorization of local materials for the development of these high-performance materials,
ecological and at the lowest cost.
Several recent studies have been conducted on the effect of the use of construction waste and industrial waste for
the improvement of the performance of cellular concrete. The partial replacement of cement in the production of
cellular concrete by the incorporation of both Silica Fumes (SF) and residual marble powder (WMP) considered as
industrial waste characterized by severe environmental pollution and low recycling rate, was examined [11] to assess
its effect on the mechanical properties and durability of cellular concrete Overall, the appropriate SF and WMP
cement replacements have significantly improved the mechanical and durability properties of the aerated concrete,
especially after sulphate acid attack and cellular concrete with 10% SF and 5-20% WMP had optimal mechanical
properties and durability.
Fly ash was used to fill lightweight cellular concrete as the main mixture to promote complete technical
applications; the reinforcement mechanism was studied concerning microstructures, including porosity and skeletal
characteristics. Through examination and analysis the relationship between microscopic parameters and compressive
strength, as well as wet bulk density and the mechanism of skeletal structure evolution, the results showed that the
difference comes from the effects of ball and particle filling of fly ash before 28 days. Whereas after 28 days, the fly
ash pozzolanic reaction and the cement hydration reaction mutually promote densification of the skeletal structure and
the recommended fly ash content is about 25% [12]. An experimental cellular concrete study was conducted to assess
the effect of fly ash by partially replacing cement from 0 to 50% and replacing river sand with quarry dust (0 to 50%)
for various mixtures. The study concluded that the partial replacement of 30% of the fine sand and quarry dust
combination produced better results compared to those of conventional foam concrete [13].
A new eco-cellular concrete has been developed with 100% waste [14]. Blast Furnace Slag (BFS) was the
precursor, Rice Husk Ash (RHA) was used as a source of silica, biomass ash from Olive stone (OBA) as an alkaline
source and recycled aluminium foil (AR) The functional characteristics of the materials were studied and compared
with those established by the European standard and the Committee 523 of the American Concrete Institute (ACI). A
density, compressive strength and thermal conductivity of 660 kg/m3, 6.3 MPa and 0.20 W/m.°K respectively are
obtained for the eco-cellular concrete studied. Another approach envisaged the use of lightweight cellular concrete
incorporating more environmentally friendly alternatives. The cement was partially replaced by blast furnace slag. The
purpose of this study was to provide a protective layer on a weak platform in a pavement structure. Three different
densities of lightweight cellular concrete were considered. It consisted of 400, 475 and 600 kg/m³, containing 80%
Portland cement, 20% slag, water and pre-foam. It was determined that the material had sufficient compressive
strength to apply the pavement at all densities considered. It was also found to have a higher stiffness than the typical
granular material [15].
In this regard and for a positive contribution to sustainable development, the use of mineral additions in Algeria in
the manufacture of concrete, in particular cellular concrete allows the recovery and recycling of materials that would
otherwise have been sent to landfill, minimizes the consumption of natural raw material and helps reduce CO 2
emissions. These mineral additions are of natural origins such as the limestone and volcanic rock of the Beni-Saf
pozzolana in Algeria, or of industrial origins, such as the blast furnace slag from the El Hadjar plant in Algeria which
produces about 380 kg of slag per ton of cast iron, the annual production of pig iron is about one million tons [16].
And indeed, Algeria is known for its mountainous nature (source of limestone) in the north and by its sand dunes
which occupy more than 60% of the surface of the country mainly, the desert area in the south.

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In this respect, the idea of promoting the use of dune sand and the active addition of pozzolana and slag in the
production of cellular concrete, the aim of which was to develop local resources, that appeared interesting from the
economic and environmental point of view [17]. In addition to the recovery of waste aluminum powder, manufactured
by the local company METANOF, which are used as a reactive agent for the expansion of cellular concrete, noting
that the quality of aluminum affects the reaction of expansion. Indeed, the use of lightweight materials in construction,
especially in the southern regions of Algeria ensures better thermal comfort of premises and contributes to the
reduction of the housing energy consumption both in winter and summer.
In this context, we are making an attempt to use and valorize local materials for the manufacture of cellular
concrete incorporated in the grain size skeleton of dune sand of the Oued-Souf region and crushed sand of the Bordj
region. Mineral additions (Pozzolan, blast furnace slag) by partial substitution in the presence of slaked lime and
aluminum powder as an expansive agent are used in the study. However, the presence of this material in a mixture
implies the use of a higher water-binder ratio (W/B) which generates an increment in the water absorption of the final
product [18]. The reason that could justify such use of the superplasticizer in our formulation. Generally, this
admixture seems to improve the mechanical characteristics of a concrete; compactness is favoured at the expense of
porosity, but if we aim to improve the thermal properties it is the intervention in the opposite direction that is coupled
in the obtained product.
In front of the double challenges, it comes our experimental work to reach a compromise, while retaining good
thermal characteristics and improving the mechanical behavior of cellular concretes by an intervention qualified as
chemical rather than physical. The methodology used in this work is summarized in the flowchart presented in
Figure 1.

Figure 1. Flowchart of research methodology

2. Experimental Program
2.1. Materials
The present experiment used local materials.
 Cement is the main binder obtained from the Lafarge cement plant in the M'sila region (Algeria) in the eastern
region of Algeria, its chemical composition is presented in Table 1.

Table 1. Chemical composition of the materials used

SiO2 Al2O3 CaO Fe2O3 MgO SO3 K2O CL Na2O

Cement 17.35 4.51 59.87 2.92 1.62 3.08 0.617 / /
Pozzolana 37.26 15.37 17.01 10.55 3.06 0.38 1.33 0.012 0.41
Slag 35.52 8.88 26.11 2.81 2.58 1.50 1.26 0.047 0.67

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 The granulated blast furnace slag by-product of El-Hadjar (Annaba- Algeria) steel complex shown in Figure 2, is
used as an active mineral additive, its chemical composition is presented in Table 1.

Figure 2. Scanning electron microscopy of the slag

 The natural crushed rock pozzolana from the Beni-Saf deposit (Ain T'emouchent-Algeria) shown in Figure 3,
used as an active mineral additive, its chemical composition is presented in Table 1

Figure 3. Scanning electron microscopy of the pozzolana

Figure 4 presents the important chemical ratio C/S and A/F of minerals used in cement, slag and pozzolana.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

4.00
3.50

Chemical ratio 3.00

2.50
2.00
1.50
1.00
0.50
-
Cement Pouzzolana Slag
C/S 3.45 0.46 0.74
A/F 1.54 1.46 3.16

Figure 4. Chemical ratio (C/S and A/F) of materials used

The sands used for the production of cellular concrete are two types of different sizes, the first being sand dunes of
the Oued Souf region and the second is crushed sand of the BBA region.

Table 2. The fine modulus and the Specific surface area of the materials used

Materials Specific surface area (cm2 /g) Mf

Cement 3488 /
Pozzolana 3710 /
Slag 3630 /
Dune sand / 2,36
Crushed sand / 3,09

The fine modulus of the sands used and the Specific surface area of the cement and the mineral additions used are
presented in Table 2 and the densities of materials used are shown in Figure 5.

3.500

3.000
Density (g /cm3)

2.500

2.000

1.500

1.000

0.500

-
Crashed
Cement Pouzzolana Slag Dune sand
sand
Bulk density 1.316 0.980 0.864 1.642 1.710
Specific density 3.000 2.380 2.910 2.560 2.650

Figure 5. Densities of materials used

 The lime used is that of the lime conditioning company in eastern Saida region, which mainly consists of CaO
lime 85%, with a density of 0.9 t/m3, a fineness of 0 to 4 mm and a PH equal to 12.4.
 The local super-plasticizer admixture used in the study is manufactured by the company Granitex, with a dosage
stopped after convenience tests on a mini cone at 1.8% relative to the weight of the cement, its characteristics are
presented in Table 3.

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Table 3. Characteristics of the super plasticizer used

dry extract Appearance Color PH Density

Medaflow (30) 30 Liquid Light Brown 6 – 6,5 1,07 ± 0,01

 Aluminum powder is an essential element used in many types of research for the development of this type of
concrete [19] used as a reactive agent for the expansion of the concrete made up of 97% pure aluminum (Table 4),
with a particle size distribution. Approximately 100 μm, produced as waste by the aluminum industry
manufactured by the METANOF Company. One can note that the degree of reactivity of the aluminum affects the
percentage used in the formulation and subsequently on the expansion reaction (Aluminum-chalk) and therefore
the density of the finished product.

Table 4. Chemical analysis of aluminum powder

AL Zn Fe Pb Cu Cd Mn
Aluminum powder 97.66 1.16 1.08 0.066 0.026 0.0082 0.0078

2.2. Sand Preparation Method

After washing and drying the sand in its natural state, the sand was sieved to sort it by different fractions, as
indicated in Figure 6.

Figure 6. Different fractions of sand

For a second step, the sand is prepared according to the composition of standardized sand by replacing the finest
fractions with mineral additions (slag and pozzolana) respectively with a rate of 10 and 15% as presented in Table 5.

Table 5. Composition of the two types of prepared sands

Fraction Percent Sand control Sand with pozzolana Sand with slag
0.08-0.16 10% Sand Pozzolana (10%) Slag (10%)
0.16-0.315 15% Sand Sand Sand (10%) + slag (05%)
0.315-0.63 30% Sand Sand Sand
0.63-1.25 20% Sand Sand Sand
1.25-2.5 15% Sand Sand Sand
2.5-3 10% Sable Sable Sable
(Dune sand and crashed sand)

2.3. Nomenclature of Cellular Concrete Mixtures

We have prepared 6 types of cellular concrete for each sand (dune and crashed sand) as presented in Table 6, 12
types of cellular concrete are tested for the two kinds of sands.

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Table 6. The formulation of cellular concrete prepared (Nomenclature and designation of concrete type for the tow sands)

Name Symbol
Cellular concrete control without additions and superplasticizer CC
Cellular concrete with 15% slag in sand Cslag
Cellular concrete with 10% pozzolana in sand Cpz
Cellular concrete control with superplasticizer CC(sp)
Cellular concrete with 15% slag in sand and superplasticizer Cslag(sp)
Cellular concrete with 10% pozzolana in sand and superplasticizer Cpz (sp)

2.4. The formulation of prepared cellular concrete

The formulation used (Table 7) takes into account the following considerations.
 Given the nature of the aluminum powder obtained from industrial waste, which affects its reactivity a high
percentage of aluminum powder is required in the formulation, which influences the expansion reaction
(Aluminum-lime) and the density of the finished product.
 A fairly high percentage of cement was used in the formulation in order to increase the mechanical resistance
of the cellular concrete.
Table 7. The formulation of cellular concrete prepared

Vacuum Cement Lime Blowing Agent

58% 18.5% 18.5% 5%

 The amount of water required (Table 8) is determined after several tests of convenience which aims at the
preparation of cellular concrete with a volume containing about 42% of solid and 58% of vacuum.

Table 8. Composition of cellular concrete prepared for sand dune and crashed sand

Sand composition (%) Superplasticizer (%) W/B

Concrete type
Sand Slag Pozzolana Dune Sand Crushed Sand
CC 100 - - - 1.01 0.96
Cslag 85 15 - - 1.03 0.97
Cpz 90 - 10 - 1.03 0.97
CC(sp) 100 - - 1.8 0.93 0.86
Cslag(sp) 85 15 - 1.8 0.96 0.89
Cpz(sp) 90 - 10 1.8 0.96 0.89

Figure 7 shows that the addition of pozzolana and slag, require a higher water demand for normal consistency
compared to control. This is consistent with the consistency test which shows an additive need for water for these
additions [20].

1.05
Ratio water-binder (W/B)

1.00

0.95

0.90

0.85

0.80
CC Cslag Cpz CC(sp) Cslag(sp) Cpz(sp)
Dune Sand 0.96 0.97 0.97 0.86 0.89 0.89
Crushed sand 1.01 1.03 1.03 0.93 0.96 0.96

Figure 7. Ratio water-binder of different cellular concretes types studied

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

2.5. Preparation of mixtures

The tests carried out were carried out on cubic-shaped mortars (10×10×10 cm) based on different sand
compositions with an addition rate of 15% for the slag and 10% for tfcihe pozzolana, by substitution of the sand to
improve the hydration power of the cement in the presence of lime, whose compositions and the nomenclature of
mixtures are summarized in Table 8.

2.6. Testing
 Compressive strength (crush test) [NA EN12390-3]

The compression test is carried out on standard cubic specimens (10×10×10 cm).
 Conductivity measurement

The purpose and method of measurement.

The CT METRE, an easily transportable device, was developed to accurately assess, the thermal characteristics of
several materials, such as bricks, rocks, earth, cellular concrete resins or complex products, etc.
The operating principle consists of measuring the temperature rise felt by the sensor using a combination of a
heating element and a temperature sensor (both combined in the same probe), placed in the middle of the cut test tube,
during a specified heating period, depending on the material to be tested and the type of probe used [21].

3. Results and Discussion

3.1. Compressive Strength
The different experimental results of compressive strength are presented in Table 9, according to the tests carried
out on cellular concrete following the procedures applied to concrete and mortars [21]. Analysis of the results obtained
and illustrated in the histogram (Figure 8) showed that sand-based concretes containing active mineral additions, in
particular blast furnace slag, offer the best compressive strength compared to sand-based control cellular concrete.
This highlighted the positive contribution of incorporation of additions into the sand due to its physical infill effect
and chemical effect due to the chemical reactivity of additions [22]. In addition, these results are consistent with a
similar recent study [23] that has been conducted on the incorporation of active additions such as slag and pozzolana
into the particle size skeleton of sand (active sand) for mortar and which has proven the effect of additions in
improving the compressive strength of the mortar. The benefits of using industrial waste to replace natural sand and
cement in lightweight concrete are also discussed. The benefits of using industrial waste to replace natural sand and
cement in lightweight concrete are also discussed in a study that presented the use of fly ash and blast furnace slag to
replace 100% sand in concrete cellular [24]. The results of this study have proved that a foamed concrete uses fly ash
and blast furnace slag can replace traditional concrete in construction as well as replacing clay bricks. This will not
only improve concrete strength but also reduce costs as well as protect the environment.

Table 9. Results of compressive strengths of formulated concrete

The average compressive strength at 28 days (MPa)

Concrete type
Dune sand Crushed sand
CC 0,67 3,09
Cslag 1,34 8,10
Cpz 1 ,16 6,31
CC(sp) 0.93 4,32
Cslag(sp) 1.45 9,55
Cpz(sp) 1.40 8,83

On the other hand, the nature of the sand influences the mechanical resistance through the shape, grain size and
particle size distribution, although the crushed sand offers better resistances than those of the sand dune of Oued-Souf
which develops resistances that remain far from acceptable compared to those of manufactured cellular concrete. More
than the results obtained for the compressive strength at 28 days confirm that the use of the superplasticizer increases
the mechanical strength in comparison with the concrete without admixture [25].

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

10.00

Compressive strength (MPa)

8.00

6.00

4.00

2.00

-
CC Cslag Cpz CC(sp) Cslag(sp) Cpz(sp)
Dune Sand 0.67 1.34 1.16 0.93 1.45 1.40
Crushed sand 3.09 8.10 6.31 4.32 9.55 8.83

Figure 8. Compressive strength of different cellular concretes types studied at 28 days

3.2. The Density
According to the results obtained and presented in Table 10, it is noted that the densities of the crushed sand-based
cellular concrete are greater than those of the sand-based concretes of Oued-Souf. This difference is due to the
different nature of the two types of sand as well as their different particle size distribution and the shape of the grains
and the microstructure developed pending hardening, on the other hand, the incorporated active additions influence the
microstructure physically by filling and stacking and chemically by their reactivity and determination of hydrates and
their structuring.
Table 10. The bulk density results of concretes based on the two types of sands

Bulk density (kg/m3)

Concrete type
Dune sand Crushed sand
CC 780 865
Cslag 842 841
Cpz 850 795
CC(sp) 855 785
Cslag(sp) 765 870
Cpz(sp) 830 892

Figure 9, shows that the decrease in the density of the cellular concretes both types of sand. The densities of the
elaborated cellular concretes are acceptable in comparison with the industrially fabricated cellular concrete.

950

900
Bulk density (kg/m3)

850

800

750

700
CC Cslag Cpz CC(sp) Cslag(sp) Cpz(sp)
Dune Sand 780 842 850 855 765 830
Crushed sand 865 841 795 785 870 892

Figure 9. Bulk Density of different cellular concretes types studied

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

As for the hard relationship between the mechanical properties and the density of cellular concrete, [26] indicated
that the compressive strength decreases exponentially with the reduced density in foamed concretes [26].
Nevertheless, it should be highlighted that such property depends of a lot of factors, the element form and size, the
foam production method, the load path, the age, the water content, the characteristics of mixture elements and the
curing process [27, 28]. Kearsley also noted that for dry densities between 500 and 1000 kg/m3 the compressive
strength is reduced when the bubble diameter increases. For the densities above 1000 kg/m3, the paste Composition is
what controls the strength [28].
A similar experimental study of the properties of cellular concretes with a protein-based foam agent, containing fly
ash (FA) as binder and blast furnace granulated slag (GBS) as fine aggregate was discussed to assess porosity, density
and, compressive strength and thermal conductivity. The results showed that an increase in the water-binder ratio
(W/B) due to a decrease in the binder content leads to an increase in the porosity of the foam concretes, which
consequently leads to a decrease in bulk density, which is consistent in our case with crushed sand-based cellular
concrete unlike dune sand which does not agree with this result [29].

Table 11. Thermal conductivity of concretes based on both types of sand

Thermal conductivity λ in (W/m.°K)

Concrete type
Dune Sand Crushed sand
CC 0.392 0.393

Cslag 0.403 0.482

Cpz 0.454 0.500

CC(sp) 0.508 0.512

Cslag(sp) 0.464 0.450

Cpz(sp) 0.418 0.500

3.3. Thermal Conductivity

The results obtained (Table 11) and illustrated as a histogram in Figure 10, show that the thermal conductivity of
cellular concrete based on crushed sand in particular that containing active mineral additions, is higher than that of
Oued-Souf sand even after the use of the adjuvant, Noting that thermal conductivity decreases each time the density is
low, which is the case for previous research that has shown that thermal conductivity is proportional to density [30].

0.600
Thermal conductivity λ in (W/m.°K))

0.500

0.400

0.300

0.200

0.100

-
CC Cslag Cpz CC(sp) Cslag(sp) Cpz(sp)
Dune Sand 0.392 0.403 0.454 0.508 0.464 0.418
Crushed sand 0.393 0.482 0.500 0.512 0.450 0.500

Figure 10. The thermal conductivity λ of different cellular concretes types studied

The thermo acoustic isolation and the fire resistance are intrinsic properties of foamed concretes that are related to
the porosity as well [31]. The foamed concrete has sound absorption rates 10 times higher than the conventional
concrete and its thermal conductivities is closer to 0.66 W/m.°K [27].

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

4. Conclusions
This study is based on the development of cellular concrete and the examination of its thermal, physical and
mechanical properties. The preparation of this concrete is based on two types of sand (dune and crushed sand) used
separately with the incorporation of active mineral additives by substitution of fine sand fractions. The research aims
at two objectives, the feasibility of using local materials to produce acceptable and efficient cellular concretes, the
second to evaluate the influence of sand prepared with active mineral additives on thermal, physical and mechanical
properties of cellular concretes prepared. The results obtained allow us to draw the following conclusions;
The development of cellular concrete with new materials or with the treatment of existing materials allows very
important modifications of physical, chemical and microstructural properties. Hence the substitution of very fine
fractions of prepared sand by active mineral additions considerably affects the microstructural construction and
development of the porous structure due to the chemical effect related to the reactivity of the additions and the process
hydration on the formation and arrangement of hydrates and by the physical effect of stacking and nucleation.
Incorporation of mineral additions into the particle size skeleton of sand, in particular slag, positively influences
compactness and results in a considerable increase in mechanical strength compared to control cellular concrete with
sand without mineral additions.
As for the nature of the sand, it is noted that the cellular concrete with crushed sand develops a better mechanical
resistance than the cellular concrete with dune sand and preserves even lower densities than the control concrete, on
the other hand, concrete with dune sand that develops densities higher than those of control concrete. Noting that the
super-plasticizer further improves the compactness and densities of dune sand concretes compared to those with
crushed sand. Concerning thermal conductivity, the effect of mineral additions and the nature of sand remains
insignificant as the control of cellular concrete remains better in terms of thermal conductivity. However, dune sand
makes it possible to produce cellular concretes with a better thermal conductivity compared to crushed sand and the
use of mineral additions reduced the ratio W/B which directly influences the density regardless of the type of sand
used. Finally, the recovery of aluminum waste by its use as an expansion agent in the formulation of cellular concrete
can be beneficial even if it uses at a relatively high rate.

5. Declarations
5.1. Author Contributions
Conceptualization, B.M.S., A.N., and L.B.; writing—original draft preparation, B.M.S., A.N., and L.B.; writing—
review and editing, B.M.S., A.N., and L.B. All authors have read and agreed to the published version of the
manuscript.

5.2. Data Availability Statement

The data presented in this study are available in article.

5.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.

5.4. Acknowledgements
The authors wish to acknowledge the support provided by the Civil Engineering labs in the University of Bordj-
Bou-Arriridj and the National Center for Studies and Research in the Building Industry (CNERIB).

5.5. Conflicts of Interest

The authors declare no conflict of interest.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Bond Coefficient kb of Concrete Beams Reinforced with GFRP,

CFRP, and Steel Bars

Naser Kabashi 1, Arbër Këpuska 1, Enes Krasniqi 1, Besart Avdyli 1*

1
Department of Materials, Faculty of Civil Engineering, University of Prishtina, “Hasan Prishtina”, 10000, Prishtine, Republic of Kosova.

Received 03 February 2021; Revised 24 May 2021; Accepted 02 June 2021; Published 01 July 2021

Abstract
There are several reasons why civil and structural engineers should use Fiber Reinforced Polymer bars in concrete. The
primary reason is durability, and other relevant parameters, high strength and, lightweight. Non-corrosive attributes make
their use particularly suitable in different situations. Due to low elastic modulus and poor bonding, the use of Fiber
Reinforced Polymer results in larger crack widths under serviceability limit state especially beams reinforced with glass
fiber bars. The study purpose of this paper is to investigate the kb values. The methodology of this paper is comparing the
analytical and experimental results. The investigation included 12 beams, using the four-point load test. The geometrical
parameters of tested beams with dimensions: 130×220×2200 mm, reinforced with different diameters, helically-grooved
glass fiber bars, and sand-coated carbon fiber bars. The measured cracks were used to assess the current kb values
recommended in the design codes and guides. The findings did not support the use of the same kb value for different bars
because, in addition to the type of bar, the value of kb is also affected by the type of surface and the diameter of the bar.
What is observed based on results shows that CFRP bars have a more constant value depending on the diameter, while
GFRP bars have large value changes depending on the diameter.
Keywords: RC Beams; Bars; kb Values; Deflections; Cracks.

1. Introduction
Corrosion is one of the most common causes of deterioration in reinforced concrete structures. The alkaline
environment of concrete normally provides the necessary protection to conventional steel reinforcement from the
environment by a passive oxide layer that forms on the surface of reinforcement. Nonetheless, when exposed or when
the alkaline environment is neutralized, conventional steel corrodes lead to an increase in the volume and destruction
of the concrete cover. Codes of practice prescribe the thickness of the concrete cover to the steel reinforcement in
decreasing the crack widths and reduce permeability. Corrosion occurs also when chloride ions penetrate through the
concrete into reinforcement level and cause a breakdown of the protective oxide layer. Deicing salts (parking, highway
structures, and marine structures) are the major factors of chloride-induced corrosion. Current methods for preventing
corrosion like permeability or protection of reinforcing bar, are costly or undetermined in long-term effectiveness. The
use of Fiber Reinforced Polymer (FRP) in concrete for corrosion protection purposes is expected to find applications
in structures in or near marine environments, in or near the ground, in chemical and other industrial plants, in places
where good quality concrete cannot be achieved and in thin structural elements. Nowadays, FRP bars are more
commercially available and used in many countries. Many recent studies have been conducted using FRP as a
substitution of conventional steel as flexural reinforcement.

* Corresponding author: avdyli.besart@gmail.com

http://dx.doi.org/10.28991/cej-2021-03091722

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

There are several reasons why civil and structural engineers should use FRP reinforcement in concrete. The
primary reason is durability, but other reasons include electromagnetic neutrality (Steel reinforcement can interfere
with magnetic), high strength (the high strength of FRP reinforcement can be used to reduce congestion of
reinforcement in certain applications), high cut-ability in temporary applications, and lightweight. Direct yielding
effects are larger crack widths and deflections under service loads compared with beams reinforced with conventional
steel bars. Additional disadvantages are related to linear elastic behavior with no yielding zones and long-term
durability of FRP bars in the concrete environments [1-4]. Most types of FRP bars with low elastic modulus and
relatively poor bond to concrete directly indicate the behavior of structural elements [5-7]. Since cracks are parameters
from which the bonding mechanism between FRP bars and concrete is evaluated, and knowing that the modulus of
elasticity of these bars is much smaller than steel bars (especially GFRP bars), the evaluation of k b parameter will be
done in Serviceability Limit State. This fact is considered in FRP design code and guides through the so-called bond
coefficient (kb) [8] and [9]. Also, the bond between concrete and FRP bars depends on many factors like bar surface,
bar diameter, concrete class, etc. It was noticed that there has been a tendency for FRP bars of larger diameter to show
lower bond strength [10-12]. Since all these parameters are expected to have an impact on the bond coefficient, this
article presents research for the determination of kb taking into account all these factors, such as the type of bar
surface, bar diameter, concrete class, etc. Also, in this paper is made a comparison of experimentally achieve values
with different design standards recommended values

Corrective bond
coefficients

Experimental
ACI 440.1R-06 CAN/CSA
investigation

Figure 1. Flowchart of evaluating bond coefficients

2. Experimental Procedure
The process of investigation continued in the laboratory, where the concrete beams were cast under laboratory
conditions, left for 28 days, and then put into the testing machine for examinations of the requested parameters. The
beams were simply supported and subjected to a four-point bending load. During the examination, the values for each
parameter were recorded, like displacement versus time-load applications, crack width, deflections, and maximum
load. After obtaining data, experimental and analytical data were compared and analyzed with different codes. Besides
the main prescribed codes, other approaches were also conducted for deflection calculations and crack evaluation [13-
15]. The beams of reinforced concrete consist of fifteen specimens with various reinforcement and rectangular cross-
sections, with a width of 130 mm and a height of 220 mm. Each reinforced beam specimen contains two reinforcing
bars placed on a single layer placed in the bottom and two identical bars (ɸ6 conventional steel) were placed as top
reinforcement for each specimen (undetermined the behavior of FRP bars in compression section). The cross-section
geometry and several of reinforcing bars were chosen to represent various reinforcement conditions (under
reinforcement, balanced, and over reinforcement) [16-18]. The specimen geometry and loading conditions are
presented in Figure 2. The concrete mix design was prepared with the requested class of concrete C 30/37. The test
procedure was made using prismatic specimens with dimensions 150×150×600 mm, testing in three-point bending,
presented in Figure 3.

Figure 2. Preparing beams and sampling [23]

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

One transducer is installed on the specimen at mid-depth directly over supports to measure the corresponding
deflection. During the flexure testing, the same rate of the deflection control is maintained during the process.

Figure 3. Experimental setups for flexure test of specimens

The compressive strength, modulus of elasticity and other mechanical properties of concrete were determinate by
testing the standard cylinder, cubic specimens and, prismatic specimens where the results are shown in Table 1.

Table 1. Test specimen’s parameters

Reinforcing Bar size, Compaction cubic Flexure strength, Reinforcing ratio

Specimen
type metric strength, MPa MPa ρ, %
S1G1 GFRP ɸ6 36.6 3.96 0.22
S2G2 GFRP ɸ8 37.1 3.53 0.40
S3G3 GFRP ɸ10 38.1 4.19 0.63
S1S1 Steel ɸ6 36.6 3.56 0.22
S2S2 Steel ɸ8 38.1 3.53 0.4
S3S3 Steel ɸ10 38.1 3.62 0.63
S1C1 CFRP ɸ8 36.6 3.37 0.40
S2C2 CFRP ɸ10 37.1 3.47 0.64

Beam testing was done with Linear Variable Differential Transformers placed in critical positions to measure
cracks and deflections. The devices for measuring cracks are placed in the same direction with concentrated forces
because the first and the largest cracks width are expected to appear exactly under these two forces.

Figure 4. Beam details and instrumentation and geometrical parameters of the concrete beams

The side of each beam was marked and the corresponding loads were recorded for following the parameters.
Furthermore, compression concrete zones were instrumented to measure the strain of concrete and another measuring
instrument was inserted mid-span in the beam to measure the deflection. All beam specimens were tested under a four-
point bending over a clean span of 200 cm (Figure 4). The load was monotonically applied using a 400 kN hydraulic
actuator with a stroke-controlled rate of 300 N/s. The actuator, strain gauges, and Linear variable differential
transformers were connected to a data acquisition unit to continuously record their readings during examination
(Figure 5).

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Figure 5. Instrumentation and beam examination, failure modes

During the examination, equipment software was connected to measure equipment for cracks and displacement
and all necessary parameters, like displacement versus time, increments of load, the level of cracks, etc., were
recorded. All the collected data were exported to an Excel spreadsheet; cracks and displacements were measured in
micrometers and graphical charts were collected directly from the equipment (Figure 6).

Figure 6. Displacement versus time-load chart and other parameters taken from MCC8 controls equipment

The mechanical properties of FRP bars were examined based on the American society of testing materials method.
The edges of the bars were embedded inside engraved metallic cylinders to avoid constriction or shear stress of the
FRP bars as shown in Figure 7. The properties of conventional steel are used from known parameters based on the
previous research works for S 500. FRP bars used in this research were Glass and Carbon fiber bars which were
examined based on ASTM D 7205 [19]. The mechanical properties of examined bars are presented in Table 2.

Figure 7. Specimens, testing and determination of mechanical properties of FRP bars [23]

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Table 2. Mechanical properties of used FRP and conventional bars (GFRP – Glass Fiber Reinforced Polymers, CFRP –
Carbon Fiber Reinforced Polymers)

An example of a column GFRP GFRP GFRP CFRP CFRP

heading Ø6 Ø8 Ø10 Ø8 Ø10
∗
Strain 𝜀𝑓𝑟𝑝 0.0204 0.0234 0.0256 0.0095 0.015
Tensile strength (MPa) 1022.1 1108.02 1194.3 1265.4 2000
Elasticity modulus (GPa) 55 55 55 155 155

3. Different Approaches of Adhesion Coefficients kb

The determination of kb, based on the American Concrete Institute standards derived by cracks, using modifying
the Gergely–Lutz Equation 1. Some typical kb predicted values for deformed GFRP bars cited in ACI are between 0.8
and 1.80. However, the ACI Codes and Manuals suggested that designers assume a value of 1.2 for deformed GFRP
bars unless more specific information was available for a particular bar. ACI Committee 440 has modified the
Gergely-Lutz equation for use with concrete members incorporating the effects of different bonds and mechanical
properties of FRP [20-22]. Crack width calculation according to ACI 440.1R-06 & CSA.

𝑓𝑓𝑟𝑝
𝑤 = 2.20 ∙ 𝛽 ∙ 𝑘𝑏 ∙ 3√𝑑𝑐 ∙ 𝐴 (1)
𝐸𝑓
where w is the crack width.
According to Canadian standards, the value of kb should be determined form the value of measured cracks in the
bars reinforced with FRP bars at the Serviceability Limit State. Considering this recommendation, Equation 2 was
used to determine the values of kb. In this equation, the measured values of cracks are used.

𝐸𝑓 ∙ 𝑤
𝑘𝑏 = (2)
2.20 ∙ 𝛽 ∙ 𝑓𝑓 ∙ 3√𝑑𝑐 ∙ 𝐴

4. Test Results and Discussion

As is shown in Figure 3, except vertical cracks also appeared horizontal cracks (Figure 8), which is an indication of
the failure of the bond mechanism between concrete and FRP bars.

Figure 8. Testing setup and fracture mode

The bond coefficient kb for beams reinforced with steel bars was close to 1, because the original Gergely-Lutz
equation is based on steel-concrete relation. A reduction in the bond coefficient means the improvement of bond
characteristics of the reinforcing bar compared to steel. Many authors agree that the percentage of Serviceability Limit
Stages of elements reinforced with FRP bars is close to 30%, which is supported by this study, as shown in Table 2 in
which are presented the maximum resistance and the percentage of usability of each element. During the testing of
beams, following the recommendation of different standards the evaluation of kb coefficient should be done in
Serviceability Limit State, however, even in Ultimate Limit State which according to the standards is when deflections
exceed the allowed value or when the cracks exceed the value of 0.7 mm, the measurement of cracks and deflections
were done. This in order to see the maximum strength of these elements (Table 2). It has been observed that these
elements in almost all cases are destroyed by concrete crushing. Despite the evaluating of bars even after leaving SLS,
the bond coefficient evaluation was done within the SLS as recommended by several standards. The calculated and
measured values for all beams for different levels of load are presented in Table 3.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

Table 3. Maximum strength and percentage of SLS

An example of a column Maximum strength SLS percentage

heading (kN) (%)
GFRP Ø6 29.24 28.0
GFRP Ø6 35.00 27.4
GFRP Ø8 37.00 25.7
GFRP Ø8 43.00 24.5
GFRP Ø10 70.00 22.0
GFRP Ø10 72.11 21.7
CFRP Ø8 59.00 40.2
CFRP Ø8 72.00 29.1
CFRP Ø8 72.90 32.0
CFRP Ø10 80.00 36.4
CFRP Ø10 85.00 32.7
CFRP Ø10 84.00 33.7

Figure 9. Crack width values in relation with applied load and adhesion parameter kb for conventional steel (Φ6)

Figure 10. Crack width values for beams reinforced with CFRP bars (Φ8) and adhesion parameter kb for GFRP bars (Φ6)

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

The comparison of crack width values from different codes and guidelines in relation to experimental testing have
showed that some codes give approximate values and other gives greater values than experimental values (Figures 9
and 10). The different technology of producing FRP bars, imposed different mechanical properties and different
adhesion parameters, which complicates the arrangement for international guideline.

Table 4. Crack width values of tested beams

Crack width Crack width Crack width
Beams Code
(SLS) (75%) (100%)
ACI 440.1R-06 & CAN/CSA 0.89 2.44 3.25
GFRP
EXP1 0.73 2.91 3.81
Ø6
EXP2 0.69 2.25 2.98
ACI 440.1R-06 & CAN/CSA 0.89 2.44 3.25
GFRP
EXP1 0.71 2.91 3.81
Ø8
EXP2 0.68 2.80 3.90
ACI 440.1R-06 & CAN/CSA 0.58 1.99 2.66
GFRP
EXP1 0.31 1.54 2.04
Ø10
EXP2 0.34 1.69 2.49
ACI 440.1R-06 & CAN/CSA 0.38 0.92 1.23

CFRP EXP1 0.70 1.86 2.59

Ø8 EXP2 0.38 0.60 0.79
EXP3 0.34 0.87 1.27
ACI 440.1R-06 & CAN/CSA 0.35 0.78 1.05

CFRP EXP1 0.29 0.76 1.07

Ø10 EXP2 0.46 1.20 1.62
EXP3 0.30 0.70 0.93

1.8
Steel bars
1.6
GFRP bars
1.4
Adhesion coefficient kb

CFRP bars
1.2
1
0.8
0.6
0.4
0.2
0
Φ6 mm Φ8 mm Φ10 mm
Rebar diameters

Figure 11. kb values for different diameters

The analytical using value of kb has a different comparison with the experimental results for different types of bars,
presented in Figure 11. Because GFRP bars have a lower modulus of elasticity than CFRP bars, the failure mode of
beams reinforced with GFRP occurred because of GFRP bars strain exceeding, while the failure mode of beams
reinforced with CFRP bars occurred because of the sliding of CFRP rebars.

5. Conclusions
The experiment included 12 bars with 2.20 m mid-span and 130×220 mm cross-section dimensions. GFRP bars
were helically grooved and CFRP bars were sand-coated surface. Based on the experimental results, we provide the
following conclusions:

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

 The recommended value for kb according to standards-based solely on surface configuration was not supported
from this investigation because not just surface configuration but also the diameter of bars and fiber type
influenced in bond coefficient value kb;
 The influence of bar diameter in the determination of kb is not linear, which means that increasing the bar
diameter does not mean increasing the quality of the bond mechanism. CFRP bars have shown more constant
values of (kb) depending on different bar diameter while GFRP bars have shown variable values for different
bar diameter;
 Based on the results obtained from this research regarding the values of cracks and deflections, it has been
noticed that these values are closer to the Canadian standards (CSA) than the other standards;
 The authors conducted this investigation to determine the measured values of kb and this experiment showed
that there is a significant difference between the values determined according to different standards and the
measured real values therefore we suggest that the design should be made based on the measured values, more
than theoretical ones. Otherwise, to accurately determine the behavior of the bars in terms of bond coefficient,
more research should be conducted in the future with a large number of measured values.

6. Declarations
6.1. Author Contributions
Conceptualization, N.K., A.K., E.K. and B.A.; writing—original draft preparation, N.K., A.K., E.K. and B.A.;
writing—review and editing, N.K., A.K., E.K. and B.A. All authors have read and agreed to the published version of
the manuscript.

6.2. Data Availability Statement

The data presented in this study are available on request from the corresponding author.

6.3. Funding
This work was supported by the laboratory of the University of Prishtina “Hasan Prishtina” in Prishtina, Kosova.

6.4. Conflicts of Interest

The authors declare no conflict of interest.

7. References
[1] El-Nemr, Amr, Ehab A. Ahmed, Adel El-Safty, and Brahim Benmokrane. “Evaluation of the Flexural Strength and
Serviceability of Concrete Beams Reinforced with Different Types of GFRP Bars.” Engineering Structures 173 (October 2018):
606–619. doi:10.1016/j.engstruct.2018.06.089.

[2] Issa, Mohamed S., Ibrahim M. Metwally, and Sherif M. Elzeiny. “Influence of Fibers on Flexural Behavior and Ductility of
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doi:10.1016/j.engstruct.2011.02.014.

[3] Quagliarini, Enrico, Francesco Monni, Federica Bondioli, and Stefano Lenci. “Basalt Fiber Ropes and Rods: Durability Tests
for Their Use in Building Engineering.” Journal of Building Engineering 5 (March 2016): 142–150.
doi:10.1016/j.jobe.2015.12.003.

[4] Fan, Xiaochun, and Mingzhong Zhang. “Experimental Study on Flexural Behaviour of Inorganic Polymer Concrete Beams
Reinforced with Basalt Rebar.” Composites Part B: Engineering 93 (May 2016): 174–183.
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[5] Nanni, Antonio. “North American Design Guidelines for Concrete Reinforcement and Strengthening Using FRP: Principles,
Applications and Unresolved Issues.” Construction and Building Materials 17, no. 6–7 (September 2003): 439–446.
doi:10.1016/s0950-0618(03)00042-4.

[6] Singh, Shamsher Bahadur. “Analysis and design of FRP reinforced concrete structures.” New York: McGraw-Hill Education,
(2015).

[7] Toutanji, Houssam, and Yong Deng. “Deflection and Crack-Width Prediction of Concrete Beams Reinforced with Glass FRP
Rods.” Construction and Building Materials 17, no. 1 (February 2003): 69–74. doi:10.1016/s0950-0618(02)00094-6.

[8] Park, Sang-Yeol, and Cui Xian. “Failure Mode and Design Guideline for Reinforced Concrete Slab Strengthened Using Carbon
FRP Grid.” Journal of the Korea Concrete Institute 16, no. 5 (October 1, 2004): 667–675. doi:10.4334/jkci.2004.16.5.667.

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[9] Kubo, K. “FRP-RC Composite Slab.” Concrete Journal 52, no. 1 (2014): 108–114. doi:10.3151/coj.52.108.

[10] Barris, C., L. Torres, I. Vilanova, C. Miàs, and M. Llorens. “Experimental Study on Crack Width and Crack Spacing for
Glass-FRP Reinforced Concrete Beams.” Engineering Structures 131 (January 2017): 231–242.
doi:10.1016/j.engstruct.2016.11.007.

[11] Hasan, Hayder Alaa, M. Neaz Sheikh, and Muhammad N.S. Hadi. “Maximum Axial Load Carrying Capacity of Fibre
Reinforced-Polymer (FRP) Bar Reinforced Concrete Columns under Axial Compression.” Structures 19 (June 2019): 227–
233. doi:10.1016/j.istruc.2018.12.012.

[12] Kassem, Abdelraouf Tawfik. “Buckling of Radially Loaded Concrete Cylinders in Fire Condition.” Civil Engineering Journal
5, no. 6 (June 24, 2019): 1214–1226. doi:10.28991/cej-2019-03091326.

[13] CSA-S806-02, Design and Construction of Building Components with Fibre Reinforced Polymers” Canadian Standards
Association, Ontario (2002).

[14] CAN/CSA s6-14, Canadian Highway Bridge design code, Canadian Standards Association, Mississauga, ON, Canada, (2014).

[15] Externally applied FRP reinforcement for concrete structures, CEB-FIB Bulletin, no. 90, (2019).

[16] Kabashi, Naser, Cene Krasniqi, and Qani Kadiri. "Flexural Behaviour of the Concrete Beams Reinforced with the GFRP and
Cracks Analyses." Bulletin of the Transilvania University of Braşov 10, no. 59 (2017): 99-106.

[17] N. Kabashi, C. Krasniqi, J. Sustersic, A. Dautaj, E. Krasniqi, and H. Morina, “Flexural behavior and cracks in concrete beams
reinforced with GFRP bars”, in: Taha M. (Eds) International Congress on Polymers in Concrete, Washington DC, (2018).

[18] Hassan, Amer, Mohammed Arif, and M. Shariq. “A Review of Properties and Behaviour of Reinforced Geopolymer Concrete
Structural Elements- A Clean Technology Option for Sustainable Development.” Journal of Cleaner Production 245 (February
2020): 118762. doi:10.1016/j.jclepro.2019.118762.

[19] ASTM D 7205 Standard Test Method for Tensile Properties of Fibre Reinforced Polymer Matrix Composite Bars (2005).

[20] Saraswathy, T., and K. Dhanalakshmi. "Investigation of Flexural Behaviour of RCC Beams using GFRP Bars." International
Journal of Scientific & Engineering Research 5, no. 1 (2014): 333-338.

[21] Correia, João Ramôa, Fernando A. Branco, and João Ferreira. “GFRP–concrete Hybrid Cross-Sections for Floors of
Buildings.” Engineering Structures 31, no. 6 (June 2009): 1331–1343. doi:10.1016/j.engstruct.2008.04.021.

[22] Qu, Wenjun, Xiaoliang Zhang, and Haiqun Huang. “Flexural Behavior of Concrete Beams Reinforced with Hybrid (GFRP and
Steel) Bars.” Journal of Composites for Construction 13, no. 5 (October 2009): 350–359. doi:10.1061/(asce)cc.1943-
5614.0000035.

[23] Kabashi, Naser, Besart Avdyli, Enes Krasniqi, and Arbër Këpuska. “Comparative Approach to Flexural Behavior of
Reinforced Beams with GFRP, CFRP, and Steel Bars.” Civil Engineering Journal 6, no. 1 (January 1, 2020): 50–59.
doi:10.28991/cej-2020-03091452.

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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Bearing Capacity of Interfered Adjacent Strip Footings on

Granular Bed Overlying Soft Clay: An Analytical Approach

R. Shivashankar 1, S. Anaswara 2*
1
Professor, Department of Civil Engineering, National Institute of Technology Karnataka, Karnataka, India.
2
Research Scholar, Department of Civil Engineering, National Institute of Technology Karnataka, Karnataka, India.
Received 12 February 2021; Revised 23 May 2021; Accepted 04 June 2021; Published 01 July 2021

Abstract
In the present paper, the interference effects on bearing capacity of two and three closely spaced strip footings resting on
granular bed overlying clay are being studied. A simple analytical model is proposed to predict the load-carrying
capacity and the interference factor of an interfered footing, when adjacent strip footings are optimally placed on the
surface of a Granular Bed (GB) overlying clay and both the footings are simultaneously loaded. A punching shear failure
mechanism is envisaged in the analytical model. The load-carrying capacity of the footing is taken as the sum of total
shearing resistances along the two vertical planes through the edges of the strip footing in the upper granular layer and
the load-carrying capacity of the soft clay beneath the GB. Insights gained from finite element simulations are used to
develop the new modified punching shear model for interfering footing. Bearing capacity can be easily calculated by
using the proposed punching shear model for interfering footing. The analytical model is validated with numerical
analyses and previous experimental results and found to be in reasonably good agreement. The influence of different
parameters such as granular bed thickness, width of footing, number of footings are carried out in this study.
Keywords: Interference Effect; Adjacent Strip Footings; Bearing Capacity; Layered Soil; Analytical Model; Interference Factor.

1. Introduction
Closely spaced adjacent footings undergo the phenomenon of interference. Interference alters the bearing capacity,
settlement, rotational, and failure mechanism of footings. Most of the interference studies on shallow footings are
carried out in homogeneous soils. But quite often, geotechnical engineers come across layered soil profiles.
Sometimes low-lying areas with clayey soil (or weak soil) are provided with granular fill (granular bed) on top. The
granular Bed (GB) has two objectives: it adjusts the ground level to the adjacent road and enhances the permitted load
of the superstructure on the backfilled ground. To evaluate the effect of interference, especially in terms of bearing
capacity, different approaches such as experimental, numerical, and analytical are adopted. Calculation of bearing
capacity of a footing in presence of adjacent footing is difficult to determine by using experiments or numerical
studies since they are time-consuming or expensive.
In the present study, an analytical model is proposed to predict the load-carrying capacity of an interfered footing,
and the interference factor, when adjacent strip footings are optimally spaced on the surface of a Granular Bed (GB)
overlying clay and both the footings are simultaneously loaded. The proposed model is an extension/modification of

* Corresponding author: anaswaras6@gmail.com

http://dx.doi.org/10.28991/cej-2021-03091723

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

the punching shear model proposed earlier to predict the load-carrying capacity of a single independent strip footing
on a granular bed overlying clay [1, 2]. The proposed analytical model is validated with results of numerical and
previous experimental studies and is found to be in reasonably good agreement.

2. Background of the Study

2.1. Single Footing on Sand Over Clay
Several researchers have estimated the bearing capacity of a strong layer overlying a weak layer by different
methods. One such method is assuming that the upper layer spreads the footing load over a wider region on the lower
layer surface, thereby minimizing the stress on the lower layer [3]. The load-carrying capacity (qu) of a surface footing
is determined by Terzaghi and Peck’s [3] projected area model which is expressed as shown in Equation 1.
𝑞𝑢 = 𝑞𝑐 [1 + 2(𝐻 ⁄𝐵 )𝑡𝑎𝑛 𝛼] ≤ 𝑞𝑠 (1)
where 𝑞𝑐 is ultimate carrying capacity of clay, 𝑞𝑠 is ultimate carrying capacity of the top sand layer, 𝐻 is thickness of
upper layer, 𝐵 is width of footing, 𝛼 is load spread angle.
A punching shear model was proposed by Meyerhof [4] for estimating the ultimate bearing capacity of footings on
sand layers overlying clay. In the punching shear model, footing and the upper sand block punch down into the clay.
For surface strip footings on layered soil, Meyerhof and Hanna's [5] ultimate bearing capacity of dense sand on soft
clay is expressed as shown below in Equation 2.
tan 𝛷𝑠𝑎𝑛𝑑 1
𝑞𝑢 = 𝑐𝑁𝑐 + 𝛶𝑠 𝐻2 𝐾𝑠 ≤ 𝛶𝑠 𝐵𝑁γ (2)
𝐵 2

where 𝑐 is undrained cohesion of clay, 𝑁𝑐 = 5.14, 𝑁𝑐 and 𝑁γ is bearing capacity factors, 𝐵 is width of footing, ϒ𝑠 is
unit weight of sand, 𝐾𝑠 is punching shear coefficient, 𝐻 is thickness of the top sand bed, 𝛷𝑠𝑎𝑛𝑑 is angle of internal
friction of sand.
Shivashankar et al. [1] considered both the footing and portion of reinforced granular bed directly beneath the
footing to work in tandem to punch through the soft soil underneath the granular bed. In their punching shear model,
they considered the total shearing resistances along the vertical planes through the edges of the footing in the upper
granular layer i.e., they considered both the shear layer effect and confinement effects. Also, an additional surcharge
effect was considered to contribute to the increase in the bearing capacity of the footing.
Thus, according to Shivashankar et al. [1], the three effects which are responsible for the increased bearing
capacity of a reinforced granular bed overlying soft clay are shear layer effect, confinement effect and surcharge
effect. The three effects are expressed as:
qu+∆qR=cuNc+∆qSL+∆qCE+∆qSE (3)
where qu = cuNc, (∆qR, ∆qSL, ∆qCE, ∆qSE) is denote the improvements in bearing capacity due to reinforcement, shear
layer effect, confinement effect, and additional surcharge effect, respectively.
The ultimate bearing capacity of a footing resting on reinforced granular bed overlying soft soil is given by:
𝐾𝑝 𝛾𝑠 𝐻2 tan ɸ𝑠 2𝑇𝑅 𝑡𝑎𝑛ɸ𝑆
𝑞𝑢 = 𝑐𝑢 𝑁𝑐 + + + 0.84(∆𝑞𝑆𝐿 + ∆𝑞𝐶𝐸 ) (4)
𝐵 𝐵

where 𝐾𝑝 is coefficient of lateral passive earth pressure, 𝑇𝑅 is reinforcement force, ɸs is friction angle of the granular
soil.
Okamura et al. [6, 7] expanded the punching shear model of Meyerhof [4] based on experimental test results.
Rethaliya and Verma [2] conducted experimental and mathematical modeling of strip, rectangular and square footings
on reinforced sand layer overlying soft clay. The optimum thickness of the sand layer was found to be much higher in
the unreinforced case compared to 0.8 times the width of footing in the reinforced case. Kumar and Chakraborty [8]
studied the bearing capacity of a circular footing on sand overlying clay layer by lower bound limit analysis with finite
element and linear optimization. A non-dimensional efficiency factor (𝜂) is defined as the ratio of bearing capacity in
the presence of sand layer, to that for a footing placed directly over clayey strata was calculated. The efficiency factors
were found to increase with an increase in ϕ and q/(γb) and a decrease in cu/(γb). The failure pattern indicated that the
inclusion of sand layer below footing generally leads to a wider spread of the plastic zone. The dispersion angle is
close to the prescribed dilation angle in analysis. Experimental studies on rectangular footings on sand overlying soft
soil with or without a layer of geogrid at the interface were performed by Saha Roy and Deb [9]. An analytical model
was proposed to calculate the ultimate bearing capacity for an isolated rectangular foundation resting on sand fill
underlying soft clay as;
qu=qb+∆q1+∆q2 (5)

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

where qb is ultimate bearing capacity of clay layer (CuNc), ∆q 1 is bearing capacity contribution due to the passive
earth pressure developed at the side surfaces of the sand block, ∆q 2 is contribution due to the bearing capacity due to
the load spreading mechanism;

𝛾𝐵𝑘 2 𝐾𝑝 𝛾𝐵𝑘 2 𝐾𝑝 sin(𝜑−𝛽𝑥 )(𝑚+𝑘𝑡𝑎𝑛𝛽𝑦 ) sin(𝜑−𝛽𝑦 )(1+𝑘𝑡𝑎𝑛𝛽𝑥 )

∆𝑞1 = [ ( + )] (6)
𝑚𝑐𝑜𝑠𝜑 𝑚𝑐𝑜𝑠𝜑 cos 𝛽𝑥 cos 𝛽𝑦

2𝑘
∆𝑞2 = 𝑞𝑏 [ (𝑡𝑎𝑛𝛽𝑦 + 𝑚𝑡𝑎𝑛𝛽𝑥 + 2𝑘𝑡𝑎𝑛𝛽𝑥 𝑡𝑎𝑛𝛽𝑦 )] (7)
𝑚

where 𝛽𝑥 is load spreading angle along the width direction of the footing, 𝛽𝑦 - load spreading angle along the length
direction of the footing, 𝑘 is sand thickness to footing width ratio (H: B), 𝑚 is footing length to width ratio (L:B).
Salimi et al. [10] used finite element limit analysis (FELA) to estimate the undrained bearing capacity of a rigid
strip footing resting on the surface of a finite thickness sand layer overlying clay. The ‘Ksr’ coefficient can be used to
indirectly account for the impact of the complex form of the failure planes in the sand.
qultB = γH2Ksr tanφ’ + (Nccu) [B +2H tan(±ϴ)] +γ H2 tan(±ϴ) ≤ qtB (8)
where qult is ultimate bearing capacity of the footing on layered soil, 𝑞𝑡 is bearing capacity of the strip footing on
uniform sand, φ’ is friction angle of sand.
Ksr = C(cu/γH) +2 (9)
C= -3.48(tanφ’)+8.693 (10)
ϴ(rad)=A In (Cu/γH) + B (11)
A=0.039 In(tan φ’)-0.164 (12)
B=0.594In (tan φ’)-0.051 (13)
Using finite element limit analysis, Yang et al. [11] calculated the bearing capacity of ring foundations resting on a
sand layer overlying clay. According to Yang et al. [11] punching shear failure occured in the sand layer for H/R0 <
Hc/R0, (H-thickness of sand layer, R0-external radius) with log-spiral rupture lines extending from the clayey strata to
the upper sand layer.
Kumar and Chakraborthy [12] computed the bearing capacity of strip and circular footings resting on two-layered
clays. The strength of bottom clay layer did not affect beyond a certain top clay layer thickness (t opt). The topt/b value
was found to vary depending on the foundation type and c u1/cu2 ratio (where topt-optimum top layer thickness, b-
diameter/width of foundation, cu1 and cu2 are undrained cohesion values of the top and bottom clay layers
respectively). Studies by Panwar and Dutta [13] found that the ultimate bearing capacity increased up to a H/W value
of 1.75, and beyond this value of H/W of 1.75 the increase was only marginal. They studied rectangular footings on
upper dense sand layer overlying loose sand layer.

2.2. Interference Effects of Adjacent Strip Footings

To evaluate the effect of interference, especially in terms of bearing capacity, different approaches are adopted
such as experimental, numerical, and analytical. Interference effects of adjacent strip footings were first studied by
Stuart [14] on homogeneous sand. Most of the interference studies on shallow footings are carried out in homogeneous
soils [14-21]. Das et al. [22] conducted experimental studies with two adjacent footings on dense sand over soft clay
but a limited range of affecting parameters were considered. Ultimate bearing capacity was found to increase as dense
sand thickness increased until it reached critical depth (Hcr), after which it remained constant. Model experiments
were used by Ghosh and Kumar [23] to investigate the impact of strip footings resting on layered cohesionless soil. It
was found that the bearing capacity of neighbouring footings reaches a limit at a certain critical spacing between them.
Srinivasan and Ghosh [24] carried out experimental studies on circular and rectangular footings on layered
cohesionless soil. Saha Roy and Deb [25] studied interference effects on settlement and load-carrying capacity of
angular footings (square and rectangular) resting on granular bed over soft clay through model tests. Their analytical
solution considers the bearing strength as the sum of the bearing capacity due to passive earth pressure generated at the
sides of the sand block and the load-bearing capacity due to the mechanism of load spread.
Using an upper-bound limit state plasticity method known as discontinuity layout optimization, Zheng et al. [26]
calculated the ultimate bearing capacity of two interfering strip footings on sand overlying clay. The ultimate bearing
capacity of two interacting strip footings on sand overlying clay is found to be affected by geometric patterns and soil
characteristics. Increasing the angle of internal friction or decreasing c u/(γB) was found to increase the value of critical
spacing.

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2.3. Justification for the Necessity of Doing this Research

Most previous studies in literature which studied interference effects of adjacent strip footings on granular bed
overlying weak soil, have not provided an analytical model. This research work attempted to provide an analytical
model to estimate the ultimate bearing capacity of two and three adjacent strip footings resting on granular bed
overlying weak soil, with a fair and acceptable degree of accuracy. The accuracy of the proposed model is verified
with finite element simulations and the percentage error is about 13%. In several situations, a granular bed (GB) is laid
over weak soil as a simple ground improvement method and for other practical reasons. In this study, granular bed
overlying soft clay is being considered. The parameters varied are the clear spacing between the adjacent strip
footings, width of footings, thickness of the top granular bed, and number of footings.
From the insights gained from finite element simulations, a simple analytical model has been proposed to estimate
the ultimate load carrying capacity and interference factor of adjacent strip footings resting on granular bed overlying
weak soil. From finite element simulations, it is seen that punching shear failure of footing/s is the dominant failure
mechanism for two or three adjacent footings on granular bed over clay. The earlier model proposed by Shivashankar
et al. [1] for an isolated footing resting on a reinforced granular bed overlying clay has been extended for adjacent and
interfering footings. A punching shear failure mechanism, similar to Shivashankar et al. [1] is envisaged in the present
analytical model as well. It is assumed that rigid surface footings are resting on granular fill overlying weak soil. The
surcharge effect is neglected due to the interference phenomenon in upper granular layer. The adjacent strip footings
are assumed to be simultaneously loaded.

3. Numerical Analysis
3.1. Methodology
Rigid strip footings each of width B are considered to be resting on medium dense sand of finite thickness adjacent
to each other, overlying soft clay extending to a large extent. The top layer thickness of medium dense sand (H) is
varied as 0.75B, 1.0B, 1.5B, and 2.0B (Figure 1a). This top layer thickness represents the depth of the granular bed.
Surface strip footings of widths 1 and 2 m are considered. Two and three adjacent footings are considered. The strip
footings are loaded simultaneously up to failure. The clear spacing between the footings is represented as ‘S’ (Figure 1
b-c). The distance between the footings is represented in a normalized manner, as the spacing ratio, S/B. Spacing ratio,
S/B values considered here are 1.0, 1.5, 2.0, 2.5 and 3.0.
Loaded up to failure Loaded up to failure Loaded up to failure

B B
a S B

Granular bed H Granular bed H

(GB)

Soft clay
Soft clay

(a) (b)

Loaded up to failure Loaded up to failure Loaded up to failure

B S B S B

Granular bed H

Soft clay

(c)
Figure 1. Footing/s on the top of the granular bed (GB) overlying weak soil layer (a-c)

Numerical analysis is conducted by using the finite element-based program PLAXIS 2D. The soils are assumed to
be elastic-perfectly plastic material obeying the Mohr-Coulomb model failure criterion in conjunction with a non-

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associated flow rule. The dilatancy angle is assumed to be 2/3 of the angle of friction [18]. The geotechnical properties
of soils considered for the analysis are shown in Table 1. Fifteen noded triangular elements with plane strain
conditions are used. The rough surface footing is simulated by using plate elements with concrete properties, modulus
of elasticity, E as 25×106 kN/m2, and Poisson’s ratio, ν is considered as 0.15. The medium dense sand and soft clay are
considered as the top granular bed (GB) and weak soil layer, respectively. The footing width B is taken to be 1 and
2m, and the soil domain is 10B away from the footing’s edge on either side, and 10B in depth to reduce the possible
boundary effects. The bottom horizontal boundary is fixed in both the vertical and horizontal directions, and the side
boundary is restricted only along the horizontal direction. Generating finer mesh led to a satisfying result in the
numerical analyses when compared with the experimental result of Das et al. [22] in the verification study. The
methodology adopted in this study is shown in flowchart (Figure 2).

Table 1. Properties of soils considered

Properties Soft clay Medium dense sand

Material type Undrained Drained

Unit weight, γ (kN/m ) 3

16 18.20

Young’s modulusa, E (kN/m2) 6000 30000

Poisson’s ratioa, ν 0.35 0.28

2 *
Cohesion (c) (kN/m ) 20 0

Angle of internal frictionb, ɸ (degrees) 0 30o

a
After Bowles [27]; b Referenced from [28]; * Undrained shear strength, Su (kN/m2)

Figure 2. Flowchart of the research methodology

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4. Results and Discussion

4.1. Single Strip Footing on GB Overlying Clay
4.1.1. Validation of the Numerical Model
A single strip footing is placed on a granular bed overlying weak soil. The width of footing and thickness of the
granular bed are varied. Figure 3 shows a comparison between bearing capacities obtained by numerical analyses from
this study and theoretical bearing capacities as obtained by the punching shear approach suggested by Meyerhof and
Hanna [5]. The value of bearing capacity initially increases with an increase in H/B ratio up to a maximum and then
remains constant [6, 22]. Thus, when H/B < Hopt/B, the failure surface goes beyond the upper sand layer into the clay
layer beneath. However, when H/B≥ Hopt/B, the failure surface at ultimate load is entirely located in the top sand
layer [22, 29, 30]. The bearing capacity values obtained by numerical analysis and theoretical approach, in the case of
a single strip footing on granular bed overlying clay, are in good agreement.

300
Ultimate bearing capacity, (qu) (kPa)

250

200

150

100
0 0.5 1 1.5 2 2.5 3 3.5
H/B ratio

B=1 m, Numerical study B=1 m, Meyerhof and Hanna [5]

B=2 m, Numerical study B=2 m, Meyerhof and Hanna [5]

Figure 3. Variation of the bearing capacity with the thickness of granular bed expressed as H/B ratio, for single strip footing
on GB over clay

4.2. Two Adjacent Strip Footings on GB Overlying Clay

To study the interference effect of two adjacent strip footings on granular bed overlying weak soil/clay, analyses
were performed for different H/B ratios of 0.75, 1.0 and 1.5. The spacing ratio, S/B values between the footings are
varied as 1.0, 1.5, 2.0, 2.5, and 3.0. The effect of interference of two adjacently spaced strip footings on the bearing
capacity of the soil is expressed in terms of the interference factor of bearing capacity (IF). Ultimate bearing capacities
are taken as peak values. Whenever the curves had not peaked ultimate bearing capacities are obtained by the
tangential intersection of load settlement curves. The interference factor of load carrying capacity (IF) is defined as
follows in Equation 14.

Load carrying capacity of the footing in question in the presence of

an adjacent footing on GB overlying weak soil
IF = Load carrying capacity of single independent strip footing on GB (14)
overlying weak soil

The interference factor initially increases with the increase in spacing up to a maximum value and then decreases
with the further increase in spacing [23, 25, 29, 30] (Figure 4). The spacing at which the highest interference factor for
bearing capacity is observed is considered as the optimum spacing between the footings. In this case, 1.5B is obtained
as optimum spacing.

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1.20
H/B=.75 H/B=1 H/B=1.5

Interference factor, IF
1.10

1.00

0.90
1 1.5 2 2.5 3
Spacing ratio, S/B

Figure 4. Variation of interference factor of bearing capacity (IF) with spacing ratio, S/B, for footing width of 1 m, for
different thickness of granular bed (H/B) overlying weak soil

4.3. ‘Punching Shear Analytical Model’: Analytical Model for A Single Strip Footing on Granular Bed
Overlying Clay
In this study, the analytical model proposed is based on the model developed and used by earlier researchers [1, 2]
based on the punching shear failure mechanism, which hereinafter will be referred to as 'punching shear analytical
model'. Both the footing and the portion of the granular bed (GB) directly beneath the footing are envisaged to act in
unison to punch through the soft soil underneath. The load-carrying capacity of the footing is taken as the sum of total
shearing resistances along the two vertical planes through the edges of the strip footing in the upper granular layer and
the load-carrying capacity of the soft clay beneath the GB (Figure 5).

q uo
Independent strip footing

τf τf
𝛾𝑠 , φs Granular bed
H

Clay
B

Figure 5. 'Punching shear analytical model' for a single strip footing on granular bed overlying clay

Therefore, the improvement in bearing capacity of a strip footing on a granular bed (GB) overlying clay is
attributed solely to the shear layer effect in the upper granular layer. The shear layer effect considered is similar to the
one considered by Shivashankar et al. [1] “while studying the bearing capacity of footings on reinforced granular bed
(RGB) overlying soft clay”. It can be mathematically represented as shown below in Equation 15.
quo = cuNc + ∆qSL (15)
where quc = cuNc is bearing capacity of clay ground, ∆q SL is improvement in bearing capacity due to shear layer effect,
quo is Bearing capacity of an independent strip footing on the composite/layered ground with no interference.
The improvement in bearing capacity is quantified in terms of the Bearing Capacity Ratio (BCR). BCR is defined
as the ratio of the bearing capacity of the improved ground (q uo) to the bearing capacity of the unimproved clay ground
(quc). BCR can be expressed as:

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𝑞𝑢𝑜
BCR = = 1 + ΔBCRSL (16)
𝑞𝑢𝑐
∆qSL
where ΔBCRSL is improvement in bearing capacity ratio due to the shear layer effect ∆BCR SL = .
𝑞𝑢𝑐

Previous experimental and numerical studies by Das et al. [22], Anaswara and Shivashankar [30, 31] have proved
that if the thickness of the upper granular bed is more than a critical thickness, then the entire failure surface beneath
the footing will be within the granular layer. If the thickness of the upper granular bed is less than the critical
thickness, then only the failure surface will reach up to the lower weaker clay layer, and punching shear failure is
likely to occur.
Qu0= qu0B =cNc B+(2 𝜏f)H ≤ qsB (17)
where qs is bearing capacity of footing on the sand layer.
In the shear layer effect [1], the shearing resistances mobilized along the vertical planes at the two edges of the
strip footing due to the passive pressure developed in granular soil are considered. The equations given for strip
footings are;
𝑘𝑝 𝛾𝑠 𝐻2
τf = 𝑡𝑎𝑛ɸ𝑠 (18)
2
2𝜏𝑓
∆qSL = (19)
𝐵
2𝜏𝑓
∆BCR SL = (20)
𝐵𝑁𝐶 𝐶𝑢

where 𝑁𝐶 𝐶𝑢 is bearing capacity of underlying weak soil (quc), 𝜏f is punching shear resistance along a vertical plane due
to Shear Layer Effect, 𝑘𝑝 is Coefficient of passive earth pressure, ɸ𝑠 is angle of internal friction of the granular
material.
4.3.1. Validation of the 'Punching Shear Analytical Model' for Single Independent Strip Footing
1+sin 𝜙𝑠
In the present study, the parameters considered are as follows: γsand=18.2 kN/m3, ɸs= 300, 𝑘𝑃 = =3, B=1m,
1−sin 𝜙𝑠
H=1 m , c=20 kN/m , 𝑁𝑐 = 5.14
2

3 X18.2X1X1X0.5773
τf = = 15.76 kN (21)
2

quc=20×5.14=102.8 kN/m2 (22)

Substituting 21 and 22 in 17,

Qu0/B = qu0 =102.8 +(2×15.76) =134.32 kN/m2 (23)

The corresponding bearing capacity of a single strip footing on GB overlying clay obtained from finite element
analysis is 137 kN/m2.
To verify the veracity of the analytical method, one of the most relevant case studies has been numerically
simulated and the results obtained are compared. Das et al. [22] conducted some experiments to study the load-
carrying capacity of a strip footing on dense sand overlying soft clay. The experiments were conducted in a box
measuring 1.22 m length × 0.305 m width × 0.915 m height. A top layer of dense sand with a unit weight of 17.29
kN/m3 and friction angle of 39.80; and lower soft clay with undrained shear strength as 5.51 kPa were used. The width
of the model strip footing used was 101.6mm. The thickness of dense sand was varied.
Figure 6 shows the comparison of the ultimate bearing capacities of single strip footings on the granular bed, of
varying thicknesses, i.e. (H/B) values “H/B varying from 1 to 5”, overlying weak soil obtained by experimental
studies of Das et al. [22] with the 'punching shear analytical model' and results of numerical studies from this research
study. The bearing capacities obtained by the 'punching shear analytical model' are in good agreement with the results
of the numerical analysis of the present study and the experimental results of Das et al. [22].

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100

Ultimate bearing capacity (kPa)

80

60

40
Das et al. [22]
20 Numerical analysis
Punching shear analytical model
0
0 1 2 3 4 5 6
H/B

Figure 6. Comparison of results of the 'punching shear analytical model' for single independent strip footing (for varying
H/B values) with the experimental results of Das et al. [22] and numerical analysis from the present study

4.3.1.1. Comparison between Results of 'Punching Shear Analytical Model' with those of Experimental and
Numerical Studies
The values of bearing capacities of single strip footings predicted by the 'punching shear analytical model' on GB
overlying clay is compared with the results obtained from finite element analyses and some experimental results
available in the literature. Table 2 shows the predicted and numerical ultimate bearing capacity values for single strip
footing on granular bed overlying weak soil. Figure 7 shows a comparison between predicted values of the ultimate
bearing capacities with results of experimental and numerical studies. Figure 8 shows a comparison between predicted
values with experimental and numerical studies of bearing capacity ratios (BCR). It can be observed that the 'punching
shear analytical model' predicts the values of bearing capacities and bearing capacity ratios reasonably well.
Table 2. Predicted and numerical ultimate bearing capacity values for single strip footing on granular bed overlying weak soil

Punching shear analytical Numerical analysis Percentage

B (m) H/B H (m) qc (kPa) (1) 𝝉𝒇 ΔqSL (2)
model qu0 (kPa) (1) + (2) qu (kPa) error
1 0.75 0.75 102.8 8.87 17.73 120.53 118 2.14
1 1 1 102.8 15.76 31.52 134.32 137 -1.96
1 1.5 1.5 102.8 35.46 70.92 173.72 157 10.65
2 0.75 1.5 102.8 35.46 35.46 138.26 145 -4.65
2 1 2 102.8 63.04 63.04 165.84 169 -1.87
2 1.5 3 102.8 141.84 141.84 244.64 218 12.22
Predicted ultimated bearing capacity (kPa)

300
R2 = 0.93
250

200

150

100

50

0
0 50 100 150 200 250 300
Ultimated bearing capacity (kPa)
Rethaliya and Verma [2]-Experimental Das et al. [22]-Experimental
Love et al. [32]-Experimental Present numerical study
y=x

Figure 7. Comparison between predicted values of ultimate bearing capacity from 'punching shear analytical model’ for
single strip footing with those of experimental and numerical studies

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R2 = 0.875
3.5

Predicted Bearing Capacity Ratio (BCR)

3

2.5

1.5

0.5
0.5 1 1.5 2 2.5 3 3.5 4
Bearing Capacity Ratio (BCR)

Rethaliya and Verma [2] Das et al. [22]

Love et al. [32] Present numerical analysis
y=x

Figure 8. Comparison between predicted values of bearing capacity ratio (BCR) from 'punching shear analytical model’ for
single strip footing with those of experimental and numerical studies

4.4. Analytical Model to Predict the Load-Carrying Capacity of The Interfered Footing and Interference Factor, In
Case of Two Adjacent Strip Footings on Granular Bed (GB) Overlying Clay (Simultaneously Loaded)

When two footings are placed adjacent to each other on GB, or GB overlying clay, there will be an 'interference
effect'. In the case of two adjacent strip footings on GB overlying clay and simultaneously loaded (Figure 9), an
analytical model is proposed to predict the ultimate bearing capacity of the interfered footing and the interference
factor. The proposed model is again based on the philosophy of the punching shear mechanism. It is an
extension/modification of the punching shear model for a single strip footing on granular bed overlying clay, as
explained earlier in Section 4.3. This proposed model will hereinafter be referred to as 'proposed analytical model for
interfered footing'. The proposed model is applicable at the optimum spacing between the adjacent footings (i.e.,
S/B=1.5, Figure 4). The granular bed thickness H/B is to be equal to or less than optimum thickness for punching
action of footing along with sand block in to the clay layer to occur.

Loaded up to failure Loaded up to failure

B S B
a

Sand Densified sand, H

𝛾 ɸs 𝜙𝑠 , 𝛾𝑠
𝑠,

Soft clay

Figure 9. Adjacent strip footings on granular bed overlying weak soil

Both the footings are interfered footings in the case of two adjacent surface strip footings. Similar Equations as 18
and 19 are adopted for the shear layer effect, but the passive lateral pressure coefficients (kp) are not taken the same
on the two vertical shearing surfaces on either side of the strip footing. The lateral passive pressure and the shearing
resistance in the interfered zone, i.e., the zone of granular material between the two footings, will be more due to the
lateral compression of the granular soil due to the lateral confinement stresses developed due to the vertical loads on
the two footings. Maximum lateral compression of the granular soil due to interference effect is seen (from numerical
studies) to occur when the footings are optimally spaced (maximum interference factor from numerical analysis)
(Figure 10).

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k=σxx/σyy 3.5

2.5

2
1 2 3 4
Spacing ratio, S/B

B=1 m,H/B=1 B=1m,H/B=1.5 B=2 m,H/B=1 B=2m,H/B=1.5

Figure 10. Variation of lateral earth pressure coefficient in the interfered zone, with spacing ratio, S/B ('S' is spacing
between the footings) [from numerical studies]

4.4.1. Interference Factor

To quantify the effect of interference of two adjacently spaced strip footings on the bearing capacity of soil; the
interference factor of load carrying capacity (IF) is defined as follows in Equation 24 below.

Load carrying capacity of the footing in question in the presence of

an adjacent footing on GB overlying weak soil 𝑞𝑢𝑖
IF = Load carrying capacity of single independent strip footing on GB = (24)
𝑞𝑢𝑜
overlying weak soil

The load-carrying capacity of interfered footing (q ui) and that of single independent strip footing (quo) on GB
overlying weak soil (no interference) are calculated by the 'proposed analytical model for interfered footing' and
'punching shear analytical model' respectively. It is observed from experimental and numerical studies that in the case
of two strip footings on GB or GB overlying clay, the interference factor increases at first as the spacing between the
footings is increased, and thereafter, the IF of bearing capacity value decreases beyond the optimum spacing [30]. The
maximum bearing capacity value is noted at the optimum spacing. At the optimum spacing between the adjacent
footing, maximum confinement pressure (coefficient of lateral earth pressure 'k’) is observed (Figure 10).

4.4.2. Validation of the 'Proposed Analytical Model for Interfered Footing'

The densified granular soil mass between the two adjacent footings is assumed to be densified to the maximum
with increased density 𝛾𝑠 and increased friction angle 𝜙𝑠 (Figure 9). Maximum value of 𝛾𝑠 as determined from
laboratory experiments [21] is 20kN/m3 . Maximum value of 𝜙𝑠 is got from the analogy drawn from compaction of
sand (and increase of angle of internal friction of sand) below pile tip in case of driven piles (while determining the
load-carrying capacity of a pile in bearing in granular material). According to Kishida [31], the maximum friction
angle beneath the pile will be;
ɸ𝑠 +40
𝜙𝑠 = (25)
2

Substituting ɸs=30 (angle of internal friction of medium dense sand considered in the present study) in Equation
30+40
25, we get 𝜙𝑠 = = 350 as the increased angle of internal friction of sand due to compression in the interference
2
zone.
Results of numerical analysis in the present study also gave maximum k value of soil between footings around 3.7
which corresponds to about 𝜙𝑠 = 350 (Figure 10). With the modified density and friction angle, mobilized shear
resistance developed at the compacted soil side is estimated as τ’f (Figure 11).
Qui= quiB =qucB+(𝜏′𝑓 + 𝜏𝑓 )H ≤ qsB (26)

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𝑘𝑝 𝛾𝑠 𝐻2
τf ′ = 𝑡𝑎𝑛 𝜙𝑠 (27)
2

1+sin 𝜙𝑠
𝑘𝑝 = (28)
1−sin 𝜙𝑠

Where, γs = 20kN/m3 , 𝜙𝑠 = 350 , 𝑘𝑝 = 3.69, B=1m, H=1m, τf = 15.76kN/m2 , c=20kN/m2, τ′f = 25.83 kN/m2
Qui/B= qui =20×5.14+(25.83+ 15.76)=144.39 kN/m2
The corresponding bearing capacity of interfered strip footing on GB overlying clay obtained from finite element
analysis is 147 kN/m2.

𝑞𝑢𝑖
Interfered strip footing

τ′f τf
Densified soil Granular bed
𝛾𝑠 , 𝜙𝑠 𝛾𝑠 , φs H

Soft clay B

Figure 11. Proposed analytical model for interfered footing for adjacent strip footings on granular bed overlying weak soil

4.4.2.1. Comparison between Results of ‘Proposed Analytical Model for Interfered Footing’ and Numerical
Analysis
The values of bearing capacity of interfered strip footing predicted by the 'proposed analytical model for interfered
footing' are compared with those obtained from finite element analyses (Table 3). Figure 12 shows a comparison
between the values of bearing capacity predicted by the proposed analytical model and finite element analyses for
interfered footing on GB overlying weak soil.
The comparison between the values of interference factor, IF predicted by the 'proposed analytical model for
interfered footing’, and finite element analyses for strip footing on GB overlying weak soil are presented in Table 4
and Figure 13. The ultimate bearing capacity values estimated by the proposed analytical model for interfered footing
are in good agreement with the values obtained from numerical analysis, with a maximum variation of 12%. Even the
Interference factor (IF) values from both analytical and numerical approaches show a maximum variation of 12.7%.
The average variation in bearing capacity prediction is about 6% and average variation in prediction of IF values are 5
to 6%. The coefficients of determination, R2, are respectively 0.959 for bearing capacity (Figure 12) and 0.904 for
interference factor (Figure 13) which are reasonably good.

Table 3. Predicted and numerical ultimate bearing capacity values for interfered strip footing on granular bed overlying weak soil

qc (kPa) Proposed analytical Numerical analysis Percentage

B (m) H/B H (m) τf τ'f Δ𝐪𝐒𝐋 (2)
(1) model qui (kPa)(1)+ (2) qui (kPa) error

1 0.75 0.75 102.8 8.87 14.53 23.40 126.20 119 6.05

1 1 1 102.8 15.76 25.84 41.60 144.40 147 -1.77

1 1.5 1.5 102.8 35.46 58.13 93.59 196.39 185 6.16

2 0.75 1.5 102.8 35.46 58.13 46.80 149.60 170 -12.00

2 1 2 102.8 63.04 103.35 83.20 186.00 201 -7.47

2 1.5 3 102.8 141.84 232.54 187.19 289.99 296 -2.03

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350
R2 = 0.959

Predicted bearing capacity values (kPa)

300

250

200

150

100
100 150 200 250 300 350
Numerical bearing capacity values (kPa)
B=1, H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75
B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 12. Comparison between predicted values of ultimate bearing capacity from ''proposed analytical model for
interfered footing’ and numerical studies for interfered footing

Table 4. Predicted and numerical interference values for interfered strip footing on granular bed overlying weak soil

Proposed analytical model, Numerical analysis,

Specification Interference factor, IF
qu (kPa) qu (kPa) Percentage
error
Single Interfered Single Interfered Proposed Numerical
B (m) H (m)
footing, qu0 Footing, qui footing, qu0 Footing, qui model analysis
1 0.75 120.53 126.20 118 119 1.05 1.01 3.82
1 1 134.32 144.40 137 147 1.08 1.07 0.19
1 1.5 173.72 196.39 157 185 1.13 1.18 -4.06
2 1.5 138.26 149.60 145 170 1.08 1.17 -7.71
2 2 165.84 186.00 169 201 1.12 1.19 -5.70
2 3 244.64 289.99 218 296 1.19 1.36 -12.70

1.4
R2 = 0.904
Predicted IF values

1.2

0.8
0.8 1 1.2 1.4
Numerical IF values
B=1, H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75
B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 13. Comparison between predicted values of interference factor (IF) using 'proposed analytical model for interfered
footing’ and numerical analysis for interfered footing

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4.5. Analytical Model of Three Adjacent Strip Footings on the Granular Bed (GB) Overlying Clay
(Simultaneously Loaded)
4.5.1. Analytical Model to Predict the Load-carrying Capacity of the Middle-interfered Footing and
Interference Factor
In the case of three adjacent strip footings on GB overlying clay and simultaneously loaded (Figure 14), an
analytical model is proposed to predict the ultimate bearing capacity of the middle-interfered footing at optimum
spacing (S/B=1.5). The footing at the center is under the interference effect from both the footings on either side. The
bearing capacity behaviour of middle footing is being studied. It is a further extension/modification of the punching
shear model for a two-strip footing on granular bed overlying clay, as explained earlier section.

Loaded up to failure Loaded up to failure Loaded up to failure

B S B S B

Sand Densified sand, Densified sand, Sand

Granular bed
ɸ𝑠 ,𝛾𝑠 𝜙𝑠 , 𝛾𝑠 𝜙𝑠 , 𝛾𝑠 ɸ𝑠 ,𝛾𝑠 H

Soft clay

Figure 14. Adjacent three-strip footings on granular bed overlying weak soil

The granular soil mass that is present on either side of the middle footing are assumed to be densified to the
maximum with increased density 𝛾𝑠 and increased friction angle 𝜙𝑠 (Figure 15). With this modified density and
friction angle, mobilized shear resistances, τ’f developed on the two vertical planes, on either side of the strip footing,
are of the same magnitude and are estimated similar to Equation 27. Thus, the bearing capacity of middle interfered
footing in case of three adjacent strip footings on granular bed overlying weak soil is calculated by Equation 29.

Qui= quiB =qucB+(2 𝜏’f) H≤ qsB (29)

q ui

Interfered middle strip footing

τ′f τ′f

Densified soil Densified soil

Granular bed
𝛾𝑠 𝜙𝑠 𝛾𝑠 𝜙𝑠 H

Soft clay
B
Figure 15. Proposed analytical model for the middle interfered footing for three adjacent strip footings on granular bed
overlying weak soil

The comparison between the values of bearing capacity and interference factor predicted by the proposed
analytical model, and finite element analyses for middle interfered strip footing on GB overlying weak soil are
presented in Tables 5 and 6 and Figures 16 and 17. The ultimate bearing capacity values estimated by the analytical
model are in very good agreement with results of numerical analysis (maximum error of 13.29% and average error of
about 5.3%). Even the IF values agree reasonably well.

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Table 5. Predicted and numerical ultimate bearing capacity values for the middle-interfered strip footings on granular bed
overlying weak soil (Three footings case)

qc (1) Proposed analytical Numerical analysis Percentage

B (m) H/B H (m) τ'f ΔqSL (2)
(kPa) model qui (kPa) (1) + (2) qui (kPa) error

1 0.75 0.75 102.8 14.53 29.07 131.87 130 1.44

1 1 1 102.8 25.84 51.67 154.47 148 4.37

1 1.5 1.5 102.8 58.13 116.27 203.84 197 3.47

2 0.75 1.5 102.8 58.13 58.13 160.93 160 0.49

2 1 2 102.8 103.35 103.35 206.15 190 8.50

2 1.5 3 102.8 232.54 232.54 335.34 296 13.29

Table 6. Predicted and numerical interference values for middle interfered strip footing on granular bed overlying weak soil

Proposed analytical model, Numerical analysis, Interference factor, IF

Specification
qu (kPa) qu (kPa) Percentage
Single Interfered Single footing, Interfered Proposed Numerical error
B (m) H (m)
footing qu0 Footing, qui qu0 Footing, qui model analysis

1 0.75 120.53 131.87 118 130 1.09 1.10 -0.69

1 1 134.32 154.47 137 148 1.15 1.08 6.46

1 1.5 173.72 203.84 157 197 1.17 1.25 -6.49

2 1.5 138.26 160.93 145 160 1.16 1.10 5.39

2 2 165.84 206.15 169 190 1.24 1.12 10.57

2 3 244.64 335.34 218 296 1.37 1.36 0.95

350
Predicted bearing capacity values (kPa)

300 R2 = 0.995

250

200

150

100
100 150 200 250 300 350
Numerical bearing capacity values (kPa)

B=1,H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75

B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 16. Comparison between predicted values of ultimate bearing capacity from 'proposed analytical model for middle
interfered footing with numerical studies

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

1.6
R2 = 0.61

1.4

Predicted IF values 1.2

0.8
0.8 1 1.2 1.4 1.6
Numerical IF values
B=1, H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75
B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 17. Comparison between predicted values of interference factor (IF) using a proposed analytical model and
numerical analysis for middle interfered footing

4.5.2.Analytical Model to Predict the Load-carrying Capacity of the Outer Interfered Footing and Interference
Factor
Footings that are located to the left and right of the middle strip footing are considered as outer interfered footings
(Figures 18 and 19). The bearing capacity of these footings can be calculated by the 'proposed analytical model for
interfered footing' (similar to two adjacent strip footings). Predicted and numerically evaluated ultimate bearing
capacity values and interference factor values for the left and right-side interfered strip footings on granular bed
overlying weak soil for the three footings case, are shown in Tables 7 and 8 and Figures 20 and 21. There is good
agreement between the two sets of values.
q ui

Interfered strip left footing

𝜏𝑓 𝜏′𝑓

Sand Granular bed Densified soil

𝛾𝑠 , φs H
𝛾𝑠 𝜙𝑠

Soft clay
B
Figure 18. Proposed analytical model for the outer left side interfered footing when there are three adjacent strip footings
on granular bed overlying weak soil

q ui
Interfered strip right footing

𝜏′𝑓 𝜏𝑓

Densified soil Granular bed Sand

𝛾𝑠 , 𝜙𝑠 𝛾𝑠 , ɸ𝑠 H

Soft clay B

Figure 19. Proposed analytical model for the outer right side interfered footing when there are three adjacent strip footings
on granular bed overlying weak soil

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Table 7. Predicted and numerical ultimate bearing capacity values for the outer interfered strip footings on granular bed
overlying weak soil (Three footings case)

qc (1) ΔqSL Proposed analytical Numerical analysis Percentage

B (m) H/B H (m) τf τ'f
(kPa) (2) model qui (kPa) (1)+(2) qui (kPa) error

1 0.75 0.75 102.8 8.87 14.53 23.40 126.20 128 -1.41

1 1 1 102.8 15.76 25.84 41.60 144.40 147 -1.77

1 1.5 1.5 102.8 35.46 58.13 93.59 196.39 198 -0.81

2 0.75 1.5 102.8 35.46 58.13 46.80 149.60 161 -6.81

2 1 2 102.8 63.04 103.35 83.20 186.00 180 3.48

2 1.5 3 102.8 141.84 232.54 187.19 289.99 298 -2.69

Table 8. Predicted and numerical interference values for outer interfered strip footings on granular bed overlying weak soil
(Three footings case)

Proposed analytical model, Numerical analysis,

Specification Interference factor, IF
qu (kPa) qu (kPa) Percentage
Single Interfered Single footing, Interfered Proposed Numerical error
B (m) H (m)
footing qu0 Footing, qui qu0 Footing, qui model analysis

1 0.75 120.53 126.20 118 128 1.05 1.08 -3.48

1 1 134.32 144.40 137 147 1.08 1.07 0.19

1 1.5 173.72 196.39 157 198 1.13 1.26 -10.36

2 1.5 138.26 149.60 145 161 1.08 1.11 -2.27

2 2 165.84 186.00 169 180 1.12 1.06 5.45

2 3 244.64 289.99 218 296 1.19 1.36 -12.70

350

R2 = 0.99
Predicted bearing capacity values (kPa)

300

250

200

150

100
100 150 200 250 300 350
Numerical bearing capacity values (kPa)

B=1,H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75

B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 20. Comparison between predicted values of ultimate bearing capacity from 'proposed analytical model' for outer
interfered footing with numerical studies

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1.6
R2 = 0.69

1.4

Predicted IF values

1.2

0.8
0.8 1 1.2 1.4 1.6
Numerical IF values

B=1, H/B=0.75 B=1,H/B=1 B=1,H/B=1.5 B=2,H/B=0.75

B=2,H/B=1 B=2, H/B=1.5 y=x

Figure 21. Comparison between predicted values of bearing capacity factors from 'proposed analytical model' for outer
interfered footing with numerical studies

5. Conclusions
In the present study, an analytical model is proposed to predict the load-carrying capacity and the interference
factor of an interfered footing, when adjacent strip footings are placed on the surface of a Granular Bed (GB)
overlying clay, and the footings are simultaneously loaded. A punching shear failure mechanism is envisaged in the
analytical model.
The conclusions drawn from this present study are given below:
 The improvement in bearing capacity is attributed to the shear layer effect of the granular bed;
 The values of bearing capacity and interference factor predicted by the proposed analytical model are in
reasonably good agreement with those obtained from the finite element method and previous experimental
studies;
 The punching shear model developed for interfering footings on granular bed overlying clay gives good
results up to the optimum granular bed thickness. If the thickness of granular bed thickness exceeds the
optimum thickness, the modified punching shear model somewhat over predicts the value;
 The modified punching shear model gives better results in the case of both two adjacent strip footing and
three adjacent footing cases.

6. Declarations
6.1. Author Contributions
Conceptualization, R.S., and S.A.; methodology, R.S.; software, S.A.; validation, S.A; writing—original draft
preparation, S.A.; writing—original draft preparation, R.S., and S.A.; writing—review and editing, R.S.; All authors
have read and agreed to the published version of the manuscript.
6.2. Data Availability Statement
The data presented in this study are available in article.
6.3. Funding
The authors received no financial support for the research, authorship, and/or publication of this article.
6.4. Conflicts of Interest
The authors declare no conflict of interest.

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[23] Ghosh, Priyanka, and S. Kumar. “Interference Effect of Two nearby Strip Surface Footings on Cohesionless Layered Soil.”
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[24] Srinivasan, V., and Priyanka Ghosh. “Experimental Investigation on Interaction Problem of Two nearby Circular Footings on
Layered Cohesionless Soil.” Geomechanics and Geoengineering 8, no. 2 (July 16, 2012): 97–106.
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[25] Saha Roy, Subinay, and Kousik Deb. “Interference Effect of Closely Spaced Footings Resting on Granular Fill over Soft
Clay.” International Journal of Geomechanics 19, no. 1 (January 2019): 04018181. doi:10.1061/(asce)gm.1943-5622.0001324.

[26] Zheng, Gang, Jiapeng Zhao, and Haizuo Zhou. “Ultimate Bearing Capacity of Two Interfering Strip Footings on Sand
Overlying Clay.” Acta Geotechnica 16, no. 7 (February 11, 2021): 2301–2311. doi:10.1007/s11440-021-01153-5.

[27] Bowles, J. E. “Foundation Analysis and Design”, McGraw-Hill Education (India) Pvt. ltd., 5th Ed. (2012).

[28] IS (Indian Standard) 6403-1981. Code of Practice for determination of bearing capacity of shallow foundation, Bureau of
Indian Standards.

[29] Anaswara, S., and R. Shivashankar. “Study on Behaviour of Two Adjacent Strip Footings on Granular Bed Overlying Clay
with a Void.” Transportation Infrastructure Geotechnology 7, no. 3 (July 30, 2020): 461–477. doi:10.1007/s40515-020-00122-
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[30] Anaswara, S., and R. Shivashankar. “Study on Behaviour of Two Adjacent Strip Footings on Unreinforced/Reinforced
Granular Bed Overlying Clay with Voids.” Geotechnical and Geological Engineering 39, no. 3 (October 12, 2020): 1831–
1848. doi:10.1007/s10706-020-01590-1.

[31] Kishida, Hideaki. “Ultimate Bearing Capacity of Piles Driven into Loose Sand.” Soils and Foundations 7, no. 3 (1967): 20–29.
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Civil Engineering Journal

(E-ISSN: 2476-3055; ISSN: 2676-6957)

Vol. 7, No. 07, July, 2021

Optimizing Mixtures of Alkali Aluminosilicate Cement Based

on Ternary By-Products

Hoang Vinh Long 1*

1
Faculty of Building Materials, National University of Civil Engineering, Hanoi, Vietnam.

Received 12 March 2021; Revised 02 June 2021; Accepted 12 June 2021; Published 01 July 2021

Abstract
Portland cement is a popular binder but causes many adverse effects on the environment. That is due to the large
consumption of raw materials and energy during production while emitting vast amounts of CO2. In recent years, Alkali
Aluminosilicate Cement (AAC) has drawn much attention in research and development and promises to become a binder
that can replace the traditional cement. In many studies of this binder, the content of the ingredients is often gradually
changed to determine the optimal composition. The object of this paper is to optimize the composition of AAC using a
combination of three by-products as the primary raw material, including Rush Husk Ash (RHA), Fly Ash (FA), and
Ground Granulated Blast-Furnace Slag (GGBS). The investigation was conducted based on the critical parameter
SiO2/Al2O3, and the D-optimal design. The FA and the GGBS were industrial product form, while the RHA was ground
in a ball mill for 2 hours before mixing. The results show that this type of binder has setting time and soundness to meet
standard cement requirements. While comparing to Portland cement, the AAC has a faster setting time, slower
development of compressive strength in the early stages but a higher strength at the age of 56 days. According to the
highest compressive strength at 28 days and high fly ash content, the optimal composition was RHA of 27.8%, FA of
41.8%, and GGBS of 15.4%, corresponding to the ratio SiO2/Al2O3 of 3.83. In addition, compressive strength at 28 days
of the mortar specimens with the optimal binder and the ratio of water/ cement at 0.32 reached 63 MPa.
Keywords: Alkali Aluminosilicate Cement; Rice Husk Ash, Fly Ash, Ground Granulated Blast- Furnace Slag, D-Optimal Design.

1. Introduction
“Geopolymer” is a term commonly used to refer to a binder that is synthesized from two-part consisting of solid
aluminosilicate materials and alkaline activators [1, 2]. With such structural formation, the binder can also be known
by other different names, such as alkali-activated cement, alkali alumosilicate cement, etc. Gluskhovsky [3] is believed
to be the pioneer to examine the binder used in some constructions in the ancient Roman and Egyptian periods. He
suggested that these works were made up of an aluminosilicate calcium hydrates compound similar to Portland cement
and crystalline phases of analcite. In the past few decades, many studies have focused on using solid wastes to make
alkali-activated concrete such as blast furnace slag, metakaolin, coal fly ash, red mud, etc. [4, 5]. That could be a
promising solution to recycling waste sources into sustainable materials, contributing to environmental protection.
Compared with Portland cement, AAC offers some significant benefits such as lower CO 2 emissions (up to 80%) [6],
43% less energy consumption, and uses of 25% less water [7].

* Corresponding author: longhv@nuce.edu.vn

http://dx.doi.org/10.28991/cej-2021-03091724

© 2021 by the authors. Licensee C.E.J, Tehran, Iran. This article is an open access article distributed under the terms
and conditions of the Creative Commons Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/).

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Vietnam is a developing country with abundant sources of industrial and agricultural wastes, in which FA, rice
husks, and blast furnaces slag are most notable. FA is a by-product of thermal power plants. Currently, Vietnam has 25
coal-fired power plants that emit a total amount of ashes of more than 19.5 million tons/ year, in which FA accounts
for about 80-85%. The amount of ash consumption has been only about 38% of the total emissions [8]. FA has a round
fine granular form and contains mainly glassy phase, so it has a high activity often used in concretes. Paddy production
achieves more than 40 million tons in Vietnam each year on average. The volume of rice husks accounts for 20% of
the composition of paddy, so each year, approximately 9 million tons of rice husks are discharged into the
environment. That is a tremendous amount of waste; otherwise, the disposal will pollute the environment and be a
prodigal raw material. A suitable burning regime can make RHA with amorphous and highly active silica content from
rice husk, even producing ultra-high performance concrete [9, 10]. Blast furnace slag is a by-product of the iron and
steel industry. In Vietnam, a large slag volume is generated annually at 4.23 million tons in 2018 and 7.1 million tons
in 2020 [11]. GGBS is mainly a glassy phase, has a high calcium oxide content, and can hydrate to enhance the
strength and durability of concrete.
AAC can be divided into three main groups: calcium-rich binders, low-calcium binders, and hybrid binders [4]. To
make the third one, it is usually a combination of alumosilicate precursors and calcium-rich materials such as portland
cement clinker, GGBS. Due to colossal emission and environmental impact, class-F FA is of significant interest to
research and use as an alumosilicate prime material to produce AAC. Numerous studies have reported that the base-
FA alkaline-activated binders have a long setting time. In order to stimulate reactions, it is often necessary to use high
alkaline content or elevated temperature of 60- 200oC [4]. GGBS is used in combination with FA to create mutual
effects such as increasing workability, ensuring setting time, and increasing strength [12]. RHA has also been studied
in combination with FA to provide SiO2 and increase the setting time [13]. RHA is usually added to the alkaline-
activated binders in two forms: powder form mixed with other raw materials [14, 15] or combined with NaOH to make
liquid glass [16, 17].
The properties of AAC are commonly dependent on many factors, especially on activators and prime materials’
chemical composition and content. Ratio SiO2/Al2O3 is considered an important parameter influencing the properties
of this binder [18, 19]. In numerously previous studies, the content of materials changes progressively to investigate
influential factors and figure out the optimal mix of two components probably [20]. The simplex centroid design
method was used with seven mixes to determine the regression function and the optimal component in some research
[21]. D-optimal experimental design is an effective method to optimize the ingredients and is usually applied to three
components [22].
This paper focuses on using the D- optimal method to determine the optimal combination of RHA, FA, and GGBS
to produce AAC. The variation range of the raw components is selected based on SiO 2/Al2O3 ratio. The results could
contribute to the more practical application of industrial and agricultural wastes towards sustainable development.

2. Materials and Methods

2.1. Materials
Rice Husk Ash (RHA)

RHA burned in a Torbed industrial incinerator was used in this study. The Torbed incinerator has a cycle of
burning rice husk with a temperature of 820-830oC, so the amount of active SiO2 is quite large, and the LOI content is
low. A 5- liter ball mill was used to grind the RHA for 2 hours. Some of the physical properties of RHA are given in
Table 1, and the chemical compositions are shown in Table 4. The RHA contains mainly SiO2 with a content of
87.21%, the loss on ignition was 5.87%, and a negligible amount of other oxides.

Table 1. Physical properties of the RHA

Properties Unit Results

3
Specific gravity g/cm 2.14
Strength activity index, % % 109
Mean particle size µm 6.95
Average pore diameter Nm 9.64
2
Specific surface area (BET) m /g 143.5

Fly ash (FA) and Ground- Granulated Blast- Furnace Slag (GGBS)

A class F fly ash provided by Pha Lai thermal power plant was used as an alumosilicate precursor. GGBS was an
industrial product obtained from Hoa Phat Hai Duong steel company. The FA and GGBS’s physical properties and

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chemical compositions are presented in Tables 2 and 4, respectively. The FA has a total of SiO2, Al2O3, and Fe2O3
content of 87.44% and CaO of 1.17%. GGBS has the basicity coefficient CaO+ MgO/ SiO 2+ Al2O3 was 0.95.

Table 2. Physical properties of the FA and GGBS

Properties FA GGBS

Specific gravity, g/cm3 2.21 2.89

Strength activity index at the age of:
7 days - 82.5
28 days 86.04 103.2
Average particle size, 𝜇𝑚 18.79
Specific surface area (Blaine) - 5200

Cement

The PC40 cement from But Son cement factory has the physical properties that meet Type-I cement requirements
of ASTM C150-20 [23]. The PC40 cement was used as a control sample against the AAC. Tables 3 and 4 show the
physical properties and the chemical compositions of the PC40 cement, respectively.

Table 3. Physical properties of the PC40 cement

Properties Unit Result

Specific gravity g/cm3 3.1

Fineness
- Retained 0.09 mm % 2.1
- Average particle size µm 16.64
Normal Consistency % 30.5
Soundness mm 1.15
Time of setting; Vicat test
- Initial setting time minutes 130
- Final setting time minutes 210
Compressive strength
- 3 days MPa 30.75
- 28 days Mpa 44.42

Table 4. Chemical compositions of the RHA, FA, GGBS, and PC40 cement (%)

SiO2 Al2O3 CaO MgO MnO K2O Na2O Fe2O3 SO3 TiO2 LOI

RHA 87.21 0.42 0.94 0.43 - 1.76 0.57 1.60 - - 5.78

FA 54.01 27.90 1.17 1.48 - 4.44 - 5.53 - - 4.64

GGBS 34.58 13.98 36.45 9.45 1.63 1.32 0.28 0.53 0.50 0.65 0.46

PC40 Cement 21.94 5.16 63.70 2.04 - 0.72 0.13 3.29 1.01 0.06 1.47

A Horiba laser LA-950 analyzed the particle distribution of the prime materials shown in Figure 1. The median
particle sizes of RHA, FA, GGBS, and PC40 cement were 7.09, 18.79, 9.53, and 16.64 μm, respectively. Thus, the
particle size of the alumosilicate mixture is equivalent to that of PC40 cement.
At the same time, in this study, some alkaline activators consisting of sodium hydroxide (NaOH), sodium carbonate
(Na2CO3), liquid glass (Na2SiO3), and calcium oxide (CaO) were used. The water glass had solution modulus M s of 3,
and other activators are anhydrous with purity up to 99%. Tartaric acid (C 4H6O6) with powder form was used as a
retarder. Graded standard sand was fine aggregate for casting the mortar specimens. Superplasticizer Sikament R4 was
used to adjust the flow of mortar.

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Civil Engineering Journal Vol. 7, No. 07, July, 2021

(a) Rice husk ash

(b) Fly ash

(c) Ground granulated blast- furnace slag

(d) PC 40 cement

Figure 1. Particle distribution of the RHA, FA, GGBS, and PC40 cement

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2.1. Methods
A Vicat needle apparatus was used to measure normal consistency and setting times according to ISO 9597: 2008
[24]. The mortar samples were used to evaluate the strength development that was prepared according to the following
procedure: First, a paste mixture comprised a binder, and water was mixed in an Ele mixer at a slow speed of 62 5
RPM for the 30 s, then followed by the addition of sand with binder/ sand ratio of 1:3 and another 30 s of mixing.
Next, the mixer worked at high speed of 12510 RPM for an additional 30 s. Stop the machine for 30 s, use a rubber
or plastic trowel to scrape the mortar stick to the wall and the bottom of the mixer’s bowl and apply it to the center of
the bowl. After that, continue mixing at high speed for an additional 60 s. The fresh mortar mixture was cast into
molds with dimensions of 40×40×160 mm. The specimens were plastic cover-cured inside molds in ambient
conditions for 24 hours. Then, they were de-molded and kept in submerged water until conducting tests at ages of 3, 7,
28, and 56 days. The compressive and flexural strength of mortar samples were determined according to ISO 679:
2009 [25].

Figure 2. Mortar specimens and the equipment for measuring compressive strength and flexural strength

At the age of 28 days, mortar specimens were prepared to capture microstructure with JEOL JSM-7600F field-
emission SEM Scanning electron microscope.
The procedure of optimizing AAC
The variation ranges of three materials consisting of RHA, FA, and GGBS were calculated based on the reasonable
SiO2/Al2O3 ratio suggested in previous studies. Then D-optimal design and Design Expert 7.0 software was used to
determine an experimental plan. After that, the paste and mortar specimens were cast following the experimental plan
and were evaluated properties. Based on Design-Expert 7.0 software, two regression functions for compressive
strength of mortar samples at 28 days and 56 days were figured out. As a result, the factors affecting the compressive
strength of the mortar sample can be assessed, and the optimal compositions of AAC were selected.

3. Results and Discussion

3.1. An Experimental Plan
In this study, the total amount of the additives was fixed at 15% by weight with the ratio of NaOH: Na 2CO3:
Na2SiO3: CaO: acid Tartaric was 4.5: 3: 3: 4: 0.5 (%). The total content of RHA, FA, and GGBS was 85% by weight.
Commonly, an alkali-activated binder has the ratio SiO2/Al2O3 of 4 [26]. Besides, Palomo et al. [27] reported that the
ratio of SiO2/Al2O3 doubled in the case when using liquid glass and NaOH as the activator, compared to the case of
using NaOH only. Based on that, the range of content variation was selected as 25% ≤RHA≤ 35%, 30%≤FA≤
45%, and 15%≤GBBS≤30% and denoted RHA as A, FA as B and GBBS as C. Correspondingly, the ratio of
SiO2/Al2O3 of the raw material mixture is in range of 3.56- 4.85. A D-optimal design with 16 AAC mixes was used to
set up an experimental plan. There are 11 different proportions of binder components and five proportions to calculate
the iteration accuracy. The composition of the cement mixture in the experimental plan is given in Table 5.

3.2. Properties of the AAC

The properties of the mixture of AAC are shown in Tables 5 and Figure 3. The normal consistency of the binders in
the range 18-21% is much lower than that of the PC40 cement at 30.5%. That could account for the ball bearing effect
of fly ash due to spherical-shaped particles of this material. Besides, GGBS also contributes to decreasing the viscosity
of cement pastes [28].

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Figure 3 shows that in cases of the AAC, the initial time of setting was in the range of 55-103 minutes and higher
than 45 minutes. Besides, the final time of setting was in the range of 105-166 minutes and less than 375 minutes.
Therefore, both setting times of the binder satisfy the requirement of TCVN 2682: 2009 [29], conforming to general
construction applications of concrete. However, the setting times of the binder was relatively short compared to that of
PC40 cement at 130 minutes and 210 minutes, respectively. It is agreed with P. Nath and P. K. Sarker’s report that
GGBS reduces the setting time of alkaline-activated binder [12]. The soundness of the AAC was in the range 0.97-
2.47 mm, moderately less than 10 mm as a requirement of TCVN 2682: 2009 [29]. The soundness is approximately
equivalent to that of the control cement sample with 1.15 mm.
Table 5. Compositions and properties of the AAC

Mix Normal Setting time (min) Soundness

RHA FA GGBS
no. consistency (%) Initial Final (mm)

1 25 37.5 22.5 19.0 68 128 1.23

2 30 40 15 19.0 93 145 1.5
3 30 35 20 20.0 65 120 1.53
4 30 30 25 20.0 80 156 1.5
5 30 32.5 22.5 20.0 86 150 1.10
6 25 30 30 19.0 55 106 1.87
7 35 35 15 20.5 103 166 1.47
8 35 30 20 21.0 65 125 0.97
9 35 35 15 20.5 76 138 2.13
10 25 37.5 22.5 19.0 62 105 1.43
11 27.5 40 17.5 18.5 68 105 1.90
12 25 45 15 18.0 94 155 2.20
13 25 45 15 18.0 80 110 2.47
14 25 30 30 19.0 72 120 1.67
15 35 32.5 17.5 21.0 65 120 1.83
16 35 30 20 21.0 81 150 1.47

400

350

300
Time of setting, min

250

200

150

100

50

Mixtures

Initial setting time Final setting time

Limit of Initial setting time Limit of Final setting time

Figure 3. Time of setting of AAC and PC40 cement

3.3. Properties of Mortars based on the AAC

The mortar samples were prepared with a water to cement ratio of 0.32, cement to the sand ratio of 1: 3, and the
binder compositions presented in Table 5. The superplasticizer R4 to the cement ratio was fixed at 1.35% to ensure the

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flow of fresh mortar at 1105%. The control mortar specimens using PC40 cement with the same water to cement
ratio and R4 to cement ratio also were cast. Both compressive and flexural strength of mortar specimens were
measured at ages of 3, 7, 28, and 56 days and given in Table 6.

3.4. Properties of Mortars based on the AAC

The mortar samples were prepared with a water to cement ratio of 0.32, cement to the sand ratio of 1: 3, and the
binder compositions presented in Table 5. The superplasticizer R4 to the cement ratio was fixed at 1.35% to ensure the
flow of fresh mortar at 1105%. The control mortar specimens using PC40 cement with the same water to cement
ratio and R4 to cement ratio also were cast. Both compressive and flexural strength of mortar specimens were
measured at ages of 3, 7, 28, and 56 days and given in Table 6.

Table 6. Compressive strength and flexural strength of mortar specimens

Compressive strength (MPa) Flexural strength (MPa)

Mix No.
3 days 7 days 28 days 56 days 3 days 7 days 28 days 56 days
1 13.41 24.89 40.44 40.57 2.56 4.80 5.78 5.62
2 16.42 35.93 49.29 53.08 1.60 4.16 5.47 8.33
3 13.46 24.67 38.98 35.85 0.73 3.27 3.56 5.64
4 13.25 24.74 40.66 41.01 2.44 4.75 6.56 6.80
5 13.71 25.08 40.76 45.93 2.24 4.52 5.63 5.68
6 18.93 31.81 46.34 52.14 0.88 4.48 4.55 6.76
7 7.84 17.77 34.00 34.48 1.55 4.20 4.92 5.37
8 14.86 26.09 41.98 42.30 2.63 4.95 6.02 4.22
9 7.52 17.94 33.78 35.32 1.38 4.31 5.31 5.44
10 11.49 20.08 36.03 37.30 2.23 4.32 5.39 5.60
11 19.18 38.69 52.41 60.90 1.39 4.99 8.64 9.52
12 7.02 18.44 45.33 47.99 1.67 4.49 6.33 6.29
13 20.64 33.03 45.38 46.56 1.77 4.48 6.33 6.21
14 17.60 31.71 47.39 51.59 1.48 4.44 5.31 6.03
15 8.88 18.62 34.84 33.09 0.93 3.55 4.14 4.90
16 14.80 25.85 42.81 47.84 2.16 4.64 6.02 6.13
Control 44.92 61.81 66.84 68.23 5.45 5.70 10.51 10.62

10

7
Flextural strength, MPa

0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
Mixtures
3 days 7 days 28 days 56 days

Figure 4. Development of flexural strength of mortar specimens

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Flexural strength of mortar samples using AAC were in the range of 3.56-8.94 MPa and 4.22- 9.52 MPa at 28 days
and 56 days, respectively. Those are relatively lower than that of Portland cement samples at 10.51 and 10.62 MPa,
respectively. The ratio of flexural strength to compressive strength at 28 days average was 1: 7.5, against the Portland
cement sample at 1: 6.4.
Two regression functions of the mortar compressive strength at 28 days and 56 days were figured out by Design
Expert 7.0 software as follows:
f'c28= 236.26A+ 45.33B+ 46.85C - 446.43AB-450.10AC -31.27BC +870.25ABC- 536.00AB(A-B)- 416.93AC(A-C) -
esign-Expert® 95.67BC(B-C)
Software

c28 f'c56=631.65A+47.23B+51.82C-1329.52AB-1344.12AC-42.04BC +2518.14ABC-1442.72AB(A-B) -1282.36AC(A-C)

52.4052 -387.90BC(B-C)
33.776 70

1 = A: RHA
2 = B: FA 58.25
3 = C: GGBS
46.5
Fc28

34.75

23

A (40)
B (30)
C (30)

C (15)
A (25)

Design-Expert® Software
B (45)
Fc56
60.9012 (a) 28 days

33.0917 110

X1 = A: RHA
X2 = B: FA 80
X3 = C: GGBS
50
Fc56

20

-10

A (40)
B (30)
C (30)

C (15)
A (25)

B (45)

(b) 56 days
Figure 5. Response surface of compressive strength at the age of (a) 28 days; and (b) 56 days

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The Model F-value of 26.31 and 23.81 implies, respectively, that the models f'c28 and f'c56 are significant. At the
same time, the "Lack of Fit F-value" of 0.39 and 0.85 implies the Lack of Fit of the two models is not significant,
meaning the pure error. The response surfaces of the two regression functions are shown in Figure 5.
Comparing Figures 5 (a, and b) shows that the highest compressive strength area is shifted towards higher GGBS
content at about 25%. The shift indicates that GGBS enhances the long-term strength of the mortar sample using the
AAC. It may be due to the long-term hydration of GGBS contributing to strength development [30]. With the highest
compressive strength criteria at the age of 28 days and significant FA content, the optimal mixture with the binder
content was RHA of 27.78%, FA of 41.84%, and GGBS of 15.38%, corresponding to the ratio SiO 2/ Al2O3 of 3.83.
Figure 6 (b) shows that the pick of compressive strength at 28 days is related to the ratio SiO 2/ Al2O3 in the range of
3.8-3.9. Simultaneously, the optimal mixture with the highest compressive strength was RHA of 27.0%, FA of 32.4%,
and GBBS of 25.6%, with the ratio of SiO2/Al2O3 of 4.01.
For comparison, two group samples were cast with the first optimal mixture and a control sample with PC40
cement at the same cement to the sand ratio and the water to cement ratio. The strength development of the two-group
samples is shown in Figure 6(a). The compressive strength of the samples using the optimal cement at 3, 7, and 28
days of age achieved 14.31, 46.91, and 63.52 MPa, respectively. These values are all lower than those with Portland
cement at 44.92, 61.81, and 66.84 MPa, respectively. As a result, the development of compressive strength of the
mortar using the AAC is slower than that of the Portland cement specimen in the early stages. However, the result of
the setting time shows that ACC can have a faster reaction rate in a very early stage. Contrary, the compressive
strength of the former at 78.96 MPa was 16% higher than that of the latter at 68.23 MPa at 56 days. Darsanasiri et al.
[15] reported that the compressive strength of AAC mortar with RHA of 30%, FA of 35%, and GGBS of 20% was
always higher than that of Type-I portland cement. However, they used a class-C FA with calcium oxide of 22.2% in
their investigation. That probably causes faster strength development. Besides, compressive strength at 28 days and 56
days was 63.52 MPa and 78.96 MPa in the experiment, compared with that calculated through the regression functions
of 61.42 and 83.92, respectively. The difference is not significant.

90 70
80
Compressive strength, MPa
Compressive strength, MPa

70 60
60
50
50
40
40
30
20 30
10
0 20
0 10 20 30 40 50 60 3.5 3.7 3.9 4.1 4.3 4.5 4.7 4.9
PC40 cement Optimal AAC Age of days f'c28 f'c28-model SiO2/Al2O3

(a) (b)

Figure 6. The comparison of mortar compressive strength (a) with the optimal AAC and the PC40 cement;
(b) At 28 days in the experiment (f’c28) and the model (f’c28-model)

ITZ
ITZ

(a) (b)
Figure 7. SEM images of the interfacial transition zone (ITZ) of mortar specimens: (a) PC40 cement; (b) AAC

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Figure 7 shows a microstructure image of mortar specimens with Portland cement and the AAC at 28 days. It can
be seen the “spikes” of the mineral CSH in Figure 7(a). Moreover, the bond between the aggregate surface and the
AAC is close, and reaction products seem to form dense structures in Figure 7(b).

4. Conclusions
The test results proved that it is possible to develop sustainable cement from agricultural and industrial by-products
as primary raw materials, including RHA, FA, and GGBS. Based on the data generated in this experimental work, the
following conclusions can be drawn:
 The AAC has a smaller normal consistency, shorter setting time, and equivalent soundness than those of the
Portland cement; however, all meet TCVN 2682: 2009 specifications.
 Mortar specimens using the AAC with the ratio of water/ cement at 0.32 and the ratio of R4/ cement at 1.35%
had a flow rate of 110 5% and reached compressive strength at 28 days of 63 MPa.
 The optimal composition of the alkali alumosilicate cement was RHA of 27.8%, FA of 41.8%, and GGBS of
15.4%, with the ratio SiO2/Al2O3 of 3.83 according to the highest compressive strength at the age of 28 days and
high fly ash content. The optimal mixture was 27.0, 32.4, and 25.6%, with the ratio SiO 2/Al2O3 of 4.01 in case of
highest compressive strength at 56 days, respectively. As a result, compressive strength tends to rise with
increased GGBS content of about 25% at a later age of 28 days.
 The compressive strength of mortar specimen using the firstly optimal AAC up to 28 days was lower than that in
the case of PC40 cement but about 16% higher at 56 days.

5. Declarations
5.1. Data Availability Statement
The data presented in this study are available in article.
5.2. Funding
This study was carried out according to the research project coded 32-2021/KHXD-TĐ, which the National
University of Civil Engineering sponsored.
5.3. Acknowledgements
The author sincerely thanked the Laboratory for Testing and Studying of Building Materials at the National
University of Civil Engineering, Luong Thi Huyen, and Cao Thai Sơn helped to conduct the experiments. The author
also declares no conflict of interest, and the data reported in this paper are available.
5.4. Conflicts of Interest
The author declares no conflict of interest.

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