P

GEOTECHNICAL
ENGINEERING

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CHAPTER 1

INTRODUCTION

Chapter 1 contains basic geotechnical information, such as definitions, qual

ifying experience, project requirements, and information on proposals and
contracts.

1.1 DEFINITIONS
Table 1.1 presents definitions of geotechnical engineering and foundation
engineering. Foundations are commonly divided into two categories: shal
low and deep foundations. Table 1.2 presents a list of common types of
foundations. Additional terms and definitions are presented in the Glossary
(App. A).

1.2 QUALIFYING EXPERIENCE

Table 1.3 indicates those items that are considered to be qualifying experi
ence for geotechnical engineers. Table 1.3 also lists the five basic aspects
of geotechnical engineering and the typical types of analyses performed by
geotechnical engineers. Table 1.4 presents a summary of the fields of exper
tise for the engineering geologist and geotechnical engineer, with the last
column indicating the areas of overlapping expertise. The individual areas of
responsibility of the engineering geologist and the geotechnical engineer are
summarized in Table 1.5.

1.3

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1.4

Chapter one

1.3 PROJECT REQUIREMENTS

Table 1.6 indicates typical types of projects that involve geotechnical
engineers and Table 1.7 lists the general requirements for geotechnical and
foundation projects.

1.4 PROPOSALS AND CONTRACTS

Often the first steps in a project are to plan the work, prepare a cost estimate,
and provide a proposal that is acceptable to the client. Table 1.8 presents an
example of a schedule of fees, Table 1.9 provides an example of a cost esti
mating sheet, and Table 1.10 summarizes those items that should be included
in the contract between the geotechnical engineer and the client.
TABLE 1.1 Definitions

Term
(1)

Definition
(2)

Geotechnical
In a broad sense, the definition of a geotechnical engineer is an individual who perengineering forms an engineering evaluation of earth materials. This typically includes soil,
rock, and groundwater and their interaction with earth retention systems, struc
tural foundations, and other civil engineering works. Geotechnical engineering
is a subdiscipline of civil engineering and requires a knowledge of basic engi
neering principles, such as statics, dynamics, fluid mechanics, and the behavior
of engineering materials. An understanding of construction techniques and the
performance of civil engineering works influenced by earth materials is also
required. Geotechnical engineering is often divided into two categories: soil
mechanics and rock mechanics.

Soil mechanics: The majority of geotechnical engineering deals with soil
mechanics and, in practice, the term soils engineer is synonymous with geo
technical engineer. Soil has many different meanings, depending on the field of
study. For example, in agronomy (application of science to farming) soil is defined
as a surface deposit that contains mineral matter that originated from the original
weathering of rock and also contains organic matter that has accumulated through
the decomposition of plants and animals. To an agronomist, soil is that material
that has been sufficiently altered and supplied with nutrients that it can support
the growth of plant roots. But to a geotechnical engineer, soil has a much broader
meaning and can include not only agronomic material, but also broken-up frag
ments of rock, volcanic ash, alluvium, aeolian sand, glacial material, and any other
residual or transported product of rock weathering. Difficulties naturally arise
because there is not a distinct dividing line between rock and soil. For example,
to a geologist a given material may be classified as a formational rock because it
belongs to a definite geologic environment, but to a geotechnical engineer it may
be sufficiently weathered or friable that it should be classified as a soil.

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 introduction

1.5

TABLE 1.1 Definitions (Continued)

Term
(1)

Definition
(2)

Geotechnical
Rock mechanics: To the geotechnical engineer, rock is a relatively solid mass that
engineering has permanent and strong bonds between the minerals. Rocks can be classified
(Continued) as being either sedimentary, igneous, or metamorphic. There are significant
differences in the behavior of soil versus rock, and there is not much overlap
between soil mechanics and rock mechanics.
Foundation
A foundation is defined as that part of the structure that supports the weight of
engineering the structure and transmits the load to underlying soil or rock. Some engineers
consider foundation engineering to be a part of geotechnical engineering (e.g.,
Cernica 1995a), while others consider it to be a separate field of study (e.g., Holtz
and Kovacs 1981). In general, foundation engineering applies the knowledge of
geology, soil mechanics, rock mechanics, and structural engineering to the design
and construction of foundations for buildings and other structures. The most basic
aspect of foundation engineering deals with the selection of the type of founda
tion, such as using a shallow or deep foundation system. Another important
aspect of foundation engineering involves the development of design parameters,
such as the bearing capacity of the foundation. Foundation engineering could also
include the actual foundation design, such as determining the type and spacing of
steel reinforcement in concrete footings.
Engineering
An engineering geologist is defined as an individual who applies geologic data,
geologist principles, and interpretation so that geologic factors affecting planning,
design, construction, and maintenance of civil engineering works are properly
recognized and utilized (Geologist and Geophysicist Act 1986).
Note: See App. A for additional terms and definitions.

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1.6

Chapter one

TABLE 1.2 Common Types of Foundations

Category
(1)

Common types
(2)

Comments
(3)

Shallow Spread footings

Spread footings are often square in
foundations (also called
plan view, are of uniform reinforced
pad footings) concrete thickness, and are used to
support a single column load located
directly in the center of the footing.

Strip footings
Strip footings are often used for load (also called bearing walls. They are usually long,
wall footings) reinforced concrete members of uni
form width and shallow depth.

Combined footings Reinforced-concrete combined foot ings are often rectangular or trape
zoidal in plan view, and carry more
than one column load.

Conventional
A continuous reinforced-concrete
slab-on-grade foundation consisting of bearing wall
footings and a slab-on-grade. Concrete
reinforcement often consists of steel
rebar in the footings and wire mesh in
the concrete slab.
Posttensioned
A continuous posttensioned
slab-on-grade concrete foundation. The postten
sioning effect is created by tension
ing steel tendons or cables embedded
within the concrete. Common post
tensioned foundations are the ribbed
foundation, California slab, and PTI
foundation.
Raised wood floor Perimeter footings that support
wood beams and a floor system.
Interior support is provided by pad or
strip footings. There is a crawl space
below the wood floor.

Mat foundation
A large and thick reinforced-concrete
foundation, often of uniform thick
ness, that is continuous and supports
the entire structure. A mat foundation
is considered to be a shallow founda
tion if it is constructed at or near
ground surface.

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1.7

introduction

TABLE 1.2 Common Types of Foundations (Continued)

Category
(1)

Common types
(2)

Comments
(3)

Deep
Driven piles
Driven piles are slender members,
foundations made of wood, steel, or precast con
crete, that are driven into place by
pile-driving equipment.
Other types
There are many other types of
of piles piles, such as bored piles, cast-inplace piles, and composite piles.
Piers
Similar to cast-in-place piles, piers are
often of large diameter and contain
reinforced concrete. Pier and grade
beam support is often used for foun
dation support on expansive soil.

Caissons
Large piers are sometimes referred to
as caissons. A caisson can also be a
watertight underground structure within
which construction work is carried on.

Mat or raft
If a mat or raft foundation is
foundation constructed below ground surface
or if the mat or raft foundation is
supported by piles or piers, then it
should be considered to be a deep
foundation system.

Floating
A special foundation type where the
foundation weight of the structure is balanced
by the removal of soil and construc
tion of an underground basement.

Basement-type
A common foundation for houses and
foundation other buildings in frost-prone areas.
The foundation consists of perimeter
footings and basement walls that sup
port a wood floor system. The base
ment floor is usually a concrete slab.
Note: Classification of foundations as shallow or deep in this table is based on the depth of the
soil or rock support of the foundation.

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1.8

Chapter one

TABLE 1.3 Qualifying Experience for Geotechnical Engineers

Qualifying experience
(1)

Typical items
(2)

Development of
Communication with other design consultants to
programs of determine their geotechnical input needs.
geotechnical investigation Performance of literature searches and site history
analyses related to surface and subsurface conditions.
Formulation or engineering evaluation of field
exploration and laboratory testing programs to
accomplish the scope of the investigation.
Preparation or engineering evaluation of proposals.
Geotechnical field and
Direction and/or modification of field exploration
laboratory studies programs, as required, upon evaluation of the condi
tions being encountered.
Classification and evaluation of subsurface conditions.
Understanding the purposes for and being qualified to
perform routine field and laboratory tests for soil
strength, bearing capacity, expansion properties, con
solidation, soil collapse potential, erosion potential,
compaction characteristics, material acceptability
for use in fill, pavement support qualities, freezethaw properties, grain size, permeability/percolation
properties, groundwater conditions, and soil dynamic
properties.
Analysis of geotechnical Analysis of field and laboratory data.
data and engineering Performance of computations using test results
computations and available data regarding bearing capacity; foun
dation type, depth, and dimensions; allowable soil
bearing pressures; potential settlement; slope stabil
ity; retaining systems; soil treatment; dewatering
and drainage; floor support; pavement design; site
preparation; fill construction; liquefaction potential;
ground response to seismic forces; groundwater
problems and seepage; and underpinning.
Performance or Performance or supervision of geotechnical testing
engineering evaluation and observation of site grading.
of construction Analysis, design, and evaluation of instrumentation programs to evaluate or monitor various phe
nomena in the field, such as settlement, slope creep,
pore water pressures, and groundwater variations.
Preparation or Preparation of plans, logs, and test results.
engineering evaluation of Documentation testing and observation.
geotechnical reports Preparation of written reports which present findings,
conclusions, and recommendations of the investigation.
Preparation of specifications and guidelines.
Note: Adapted from the California Plain Language Pamphlet of the Professional Engineers
Act and Board Rules, 1995.

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1.9

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Planning investigations
Urban planning
Environmental factors
Soil mapping
Site selections

Conducting field exploration

Planning, observation, etc.
Selecting samples for testing
Describing and explaining
site conditions
Minimal overlapping of
expertise
Soil description

Seismicity
Seismic considerations
Earthquake probability

Design
Material analysis
Economics
Topographic survey
Surveying

Engineering aspects

Engineering applications

Soil testing
Earth materials
Soil classification (USCS)
Response of soil and rock
materials to seismic
activity
Seismic design of
structures

Geologic mapping
Aerial photography
Air photo interpretation
Landforms
Subsurface configurations
Geologic aspects (fault
studies, etc.)

Soil and rock hardness

Mechanical properties
Depth determinations
Rock description
Soil description (Modified
Wentworth system)
Location of faults
Evaluation of active and
inactive faults
Historic record of
earthquakes

Mapping

Exploration

Engineering
geophysics

Classification
and physical
properties

Earthquakes

Geotechnical engineer Overlapping areas of expertise

(3)
(4)

Development of geologic
parameters
Geologic feasibility

Topic Engineering geologist

(1)
(2)

Project
planning

TABLE 1.4 Fields of Expertise

1.10

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Stability analyses
Grading in mountainous
terrain
Volume of runoff
Stream description
Silting and erosion potential
Source of material and flow
Sedimentary processes
Hydrology

Well design, specific yield

Field permeability
Transmissibility

Engineering aspects of
slope stability analysis
and testing
Design of drainage
systems
Coastal and river
engineering
Hydrology
Mathematical treatment of
well systems
Development concepts
Regulation of supply
Economic factors
Lab permeability

Interpretative
Geologic analyses and
geometrics
Spatial relationship
Geologic aspects during
design

Occurrence
Structural controls
Direction of movement
Underflow studies
Storage computation
Soil characteristics

Slope
stability

Surface
waters

Groundwater

Drainage

Note: Adapted from Fields of Expertise, undated.

In situ studies
Regional or local studies

Rock testing
Stability analysis
Stress distribution

Geotechnical engineer Overlapping areas of expertise

(3)
(4)

Rock mechanics
Description of rock
Rock structure,
performance, and
configuration

Topic Engineering geologist

(1)
(2)

Rock
mechanics

TABLE 1.4 Fields of Expertise (Continued)

 introduction

1.11

TABLE 1.5 Areas of Responsibility

Responsibilities of Responsibilities of

the engineering geologist
the geotechnical engineer

(1)
(2)
Description of the geologic environment
Directing and coordinating the team efforts
pertaining to the engineering project. where engineering is a predominant factor.
Description of earth materials, such as
Controlling the project in terms of time and
their distribution and general physical and money requirements and degree of safety
chemical characteristics. desired.
Deduction of the history of pertinent
events affecting the earth materials.

Deciding on optimum procedures.

Forecast of future events and conditions

Making final judgments on economy and
that may develop. safety matters.
Recommendation of materials for Engineering testing and analysis.
representative sampling and testing.
Recommendation of ways of handling
Developing designs consistent with data
and treating various earth materials and recommendations of team members.
and processes.
Recommending or providing criteria for Reviewing and evaluating data, conclusions,
excavation (particularly angle of cut slopes) and recommendations of the team members.
in materials where engineering testing is
inappropriate or where geologic elements
control stability.
Inspection during construction to
Inspection during construction to assure
confirm conditions. compliance.
Note: Adapted from Fields of Expertise, undated.

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1.12

Chapter one

TABLE 1.6 Types of Projects that Involve Geotechnical Engineers

Type of project

(1)

Discussion
(2)

Single-family
Because of urban sprawl, the most numerous types of structures being
dwellings and built are single-family dwellings or condominiums and their associated
condominiums roads and utilities. Especially for large housing tracts, the geotechnical
engineer will usually have significant involvement with the project. Such
projects are often divided into two basic categories: flatland and hillside. A
more rigorous geotechnical and geologic investigation is often required for
a hillside than a flatland site. A common feature of single-family dwellings
and low-rise condominiums is the use of lightweight construction, such
as wood framing or even aluminum framing. Usually footing widths and
depths of single-family dwellings are governed by minimum building code
requirements, rather than the loads applied to the foundation.
Commercial
The most common types of commercial projects are office buildings,
and industrial including skyscrapers, that are either built specifically for the use of the
sites client or rented out to various tenants. Common types of office buildings are
steel-framed, reinforced-concrete, combined reinforced-concrete and steel
buildings, and tilt-up concrete exterior panel buildings. Industrial sites can
contain a variety of projects such as factories and refineries. Commercial
and industrial projects frequently have a variety of loading and performance
criteria that require special geotechnical investigation and foundation design.
Other projects
There are many other types of private sector projects besides dwellings, comin the private mercial and industrial sites. Examples include the construction of small prisector vate dams, power plants, and energy transmission facilities, and transportation
projects, such as privately owned roads.
Public works
This category of projects is very broad and includes all types of projects
projects built with public money. Examples include levees and dams, harbors, air
ports, stadiums, and publicly owned buildings. This category also includes
public transportation facilities, such as roads, highways, train beds, high
way overpasses, bridges, and tunnels. Military projects are also included
in this category, such as armories, waterway projects, military housing
projects, and other military base facilities.
Essential Essential facilities are defined as those structures or buildings that must be safe
facilities and usable for emergency purposes after an earthquake or other natural dis
aster in order to preserve the health and safety of the general public. Typical
examples of essential facilities are as follows (Uniform Building Code
1997): hospitals and other medical facilities having surgery or emergency
treatment areas, fire and police stations, municipal government disaster
operations, and communication centers deemed to be vital in emergencies.

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 introduction

1.13

TABLE 1.7 General Requirements for Foundation Engineering Projects

General requirement

(1)

Discussion
(2)

Topography
Knowledge of the general topography of the site as it affects founda tion design and construction, e.g., surface configuration; adjacent
property; the presence of watercourses, ponds, hedges, trees, rock
outcrops, etc.; and the available access for construction vehicles
and materials.
Utilities
The location of buried utilities such as electric power and telephone
cables, water mains, and sewers.
Geology
The general geology of the area with particular reference to the main
geologic formations underlying the site and the possibility of sub
sidence from mineral extraction or other causes.
Site history
The previous history and use of the site including information on any
defects or failures of existing or former buildings attributable to
foundation conditions.
Special features
Any special features such as the possibility of earthquakes and cli mate factors such as flooding, seasonal swelling and shrinkage,
permafrost, or soil erosion.
Available materials
The availability and quality of local construction materials such as
concrete aggregates, building and road stone, and water for con
struction purposes.
Marine structures
For maritime or river structures, information on tidal ranges and river
levels, velocity of tidal and river currents, and other hydrographic
and meteorological data.
Subsurface
A detailed record of the soil and rock strata and groundwater condi tions within the zones affected by foundation bearing pressures and
construction operations, or of any deeper strata affecting the site
conditions in any way.
Laboratory testing Results of laboratory tests on soil and rock samples appropriate to
the particular foundation design or construction problems.
Chemical analysis Results of chemical analyses on soil or groundwater to determine
possible deleterious effects of foundation structures.
Source: Tomlinson 1986.

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1.14

Chapter one

TABLE 1.8 Example of a Schedule of Fees

Professional and staff hourly rates
Principal geotechnical engineer or principal engineering geologist
Chief geotechnical engineer or chief engineering geologist
Senior geotechnical engineer or senior engineering geologist
Project engineer or project geologist
Staff engineer or staff geologist
Associate engineer or associate geologist
Compaction testing technician
Drafting or CAD services
Office services

$/h
$/h
$/h
$/h
$/h
$/h
$/h
$/h
$/h

Subsurface exploration, compaction testing, and monitoring

Drill rig rental costs (24-in.-diameter bucket auger boring)
Drill rig rental costs (solid- or hollow-stem auger)
Drill rig rental costs (rotary coring)
Drill rig rental costs (air track)
Bulldozer for construction of drill rig access roads
Test pit excavation costs
Trench excavation costs (backhoe)
Mobile laboratory equipment for field compaction
Inclinometer pipe and materials
Piezometer pipe and materials

$/h
$/h
$/h
$/h
$/h
$/h
$/h
$/h
$/ft
$/ft

Laboratory testing
Moisture content (ASTM D 2216)
$/test
Wet density
$/test
Atterberg limits (ASTM D 4318) liquid/plastic
$/test
Particle size analysis (ASTM D 422)
$/test
Specific gravitysoils (ASTM D 854)
$/test
Specific gravityoversize particles (ASTM C 127)
$/test
Sand equivalent (ASTM D 2419)
$/test
Collapse test (ASTM D 5333)
$/test
Swell test (ASTM D 4546)
$/test
Expansion index (UBC Std. 18-2)
$/test
Modified Proctor compaction test (ASTM D 1557)
$/test
R-value (ASTM D 2844)
$/test
Unconfined compression (ASTM D 2166)
$/test
Direct shear test (ASTM D 3080)
$/test
Triaxial compression test (ASTM D 4767)
$/test
Consolidation test (ASTM D 2435)
$/test
Hydraulic conductivity (permeability, ASTM D 2434 or D 5084)
$/test
Special handling, storage, and/or disposal Hourly rates
Outside laboratory
Cost 1 20%

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 introduction

1.15

TABLE 1.9 Example of a Cost Estimating Sheet

Category
(1)

Description Hours Rate

(2)
(3)
(4)

Cost
(5)

Proposal Planning and preparation of proposal

Field
In-house and agency research
exploration Review clients or other engineers
documents

Subsurface exploration (drilling,
test pits, trenches)
Engineering geologist work (mapping,
aerial photos, etc.)
Preparation of logs and field paperwork
Preparation of soil profile
Laboratory
Soil classification tests (particle size,
testing Atterberg limits)

Moisture content and wet density
determinations

Settlement potential (consolidation,
collapse tests)
Expansion potential (expansion index,
swell tests)

Shear strength (direct shear, triaxial, etc.)
Erosion and deterioration potential

Compaction tests (Modified or
Standard Proctor)
Miscellaneous (specific gravity, sand
equivalent, R-value)
Analysis of data
Laboratory data reduction and analysis
and engineering Engineering calculations (settlement, bearing
computations capacity, expansive soil, slope stability,
seismic analysis, etc.)
Development of design parameters for
foundations, retaining walls, effect of
groundwater, etc.

Computer analyses (slope stability, etc.)

Design of geotechnical elements
(foundations, etc.)
Engineering geology analyses
and recommendations
Compaction
Compaction testing (technician)
testing and other Observations during grading by engineer
construction and geologist
services
Sampling and testing during
grading operations
Other construction services

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1.16

Chapter one

TABLE 1.9 Example of a Cost Estimating Sheet (Continued)

Category
(1)

Description Hours Rate

(2)
(3)
(4)

Cost
(5)

Report Report writing, editing, and review

preparation Preparation of laboratory and field data

Drafting and graphics for report

Word processing and report production

Blueprinting and production of plans
Subcontract
Subcontract expenses for drill rig rental
expenses
Subcontract expenses for test pits
and trenches
Expenses for monitoring equipment
Other subcontract expenses
Total estimate 5 $ Price quoted 5 $

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1.17

introduction

TABLE 1.10 Typical Items Included in the Contract between the Geotechnical
Engineer and the Client
Typical items

(1)

Discussion
(2)

Contract title and

The contract should contain a title and introductory wording indicatintroductory wording ing that the document is the contract between the geotechnical
engineer and the client.
Project and
client information

The section of the contract where the project name and address and
clients name and address are inserted.

Type of services
The section of the contract where a brief summary of the scope of
services is inserted.
Cost of services
The section of the contract where the cost estimate or not-to-exceed
dollar amount is inserted.
Signature page
A final section of the contract which states that both the geotechni cal engineer and client have read the contract and agree to all the
terms and conditions. Spaces should be provided for both the geo
technical engineer and the client to sign and date the contract.
Extras
The contract should indicate that work requested by responsible par ties outside the scope will be billed as extras on a time-andexpense basis under purview of this proposal, unless another pro
posal is specifically requested.
Safety
A statement indicating that the geotechnical engineer will not be
responsible for the general safety on the job or the work of other
contractors and third parties.
Termination and
The contract could indicate the procedure to terminate or modify the
modification of agreement, such as requiring that any termination or modification
agreement
of the agreement must be in writing and signed by all parties.
Retainers and Prompt payment for engineering services is always desirable. It may
payments be appropriate to state that payments are due within 30 days upon
receipt of the invoice for engineering services. An interest charge
for payments beyond the due date could also be listed.
Limitation
The contract could include a limitation of liability clause. Geoof liability technical engineering is often described as a risky profession, and
these clauses are inserted in order to reduce the potential liability of
the geotechnical engineer.
Note: It is always best to have an attorney prepare or review the contract. Other items which
could be included in the contract include statements concerning the ownership of documents, dis
claimer of warranties, the contract jurisdiction, and the time limit for the signing of the contract.

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