Advanced Geotechnical &

Foundation Engineering
CA4682

Weeks 1-9: Shallow and Deep Foundations

Kostas Senetakis
Assistant Professor
City University of Hong Kong
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 Chapter 1

CA4682

Chapter 1
An Introduction to Foundation Engineering
A Discussion on Simple & Advanced Topics

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 Chapter 1

Shallow & Deep Foundations (75% of CA4682)

Content
- Mechanics of soils & foundations
Introduction (Chapter 1), Performance Demands & Load Combinations (Chapter 2)
Soil Mechanics: Background: soil types, properties, strength, deformation
(Chapter 8)
Site Investigation & In Situ Testing: important components in foundations geotechnical design
(Chapter 9)
Special Chapters: compression & shearing of soils, stress paths, critical states, stiffness
(Chapter 16)
Theory of foundations: Mechanisms of failure, methods of analysis, foundations-walls-slopes
(Chapter 4)

- Shallow Foundations
Bearing Pressure (Chapter 3), Bearing Capacity & Special Topics (Chapter 4, Chapter 7)
Settlement (Chapter 5), Geotechnical Design (Chapter 6)

- Deep Foundations
Types, Construction Methods (Chapter 10), Structural Integrity (Chapter 11),
Load Transfer Mechanisms & Interpretation of Large-Scale Tests (Chapter 12)
Axial Load Capacity (Chapter 13), Settlement (Chapter 14), Lateral Load Capacity (Chapter 15)

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 Chapter 1
CA4682 (Shallow & Deep Foundations Part)
Bibliography – Basic Sources of the Lecture Notes
Shallow and Deep Foundations
- Coduto D.P., Foundation Design: Principles and Practices, (2001), Second
Edition, Prentice Hall.
- Das B.M., Principles of Foundation Engineering, (2011), Seventh Edition,
Cengage Learning.
- Das B.M., Shallow Foundations: Bearing Capacity and Settlement, (1999),
CRC Press.
- Prakash S., Sharma, H.D., Pile Foundations in Engineering Practice, (1990), Wiley
Interscience.
- Powrie W., Soil Mechanics: Concepts and Applications, (2004), Second
Edition, Spon Press.
- Atkinson J., The Mechanics of Soils and Foundations, (1993), McGraw-Hill International
Series in Civil Engineering.
- Georgiadis K., Georgiadis M., Elements of Soil Mechanics, (2009), ZHTH (in Greek).
- Kavvadas M., Elements of Soil Mechanics, (2004), NTUA (in Greek).
- Kavvadas M., Foundation Engineering, (2007), NTUA (in Greek).
- Lecture notes from previous courses of Dr Senetakis (Thammasat U & UNSW)

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 Chapter 1

Geotechnical Engineering & Civil Engineering

Bridge Earth dam

Geotechnical

Tunnel Earth retaining structure

Highway embankment Offshore platform

5
Slope stability
 Chapter 1

Geotechnical Engineering & Civil Engineering

Interaction between Geotechnical Engineering and other fields of Civil Engineering

Geo-
Construction
Informatics
Eng

Structural Geotechnical

Eng
Geology
Transportation

Hydraulic
Water
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 Chapter 1

Geotechnical Engineering: Fields

► Soil Mechanics & Foundation Engineering
Behavior of soil, soil classification, analysis & design of foundation systems constructed on
soil, stability analysis & support systems for slopes and excavation on soil, geo-structures
such as underground excavation on soft soil.

► Engineering Geology, Rock Mechanics & Rock Engineering

Behavior of rock (intact rock & rock mass), rock classification, analysis & design of
foundation systems constructed on rock, stability analysis & support systems for slopes
and excavation on rock, geo-structures such as underground excavation on rock.

Note: Geology background is essential for Rock Mechanics, but is also useful in Soil
Mechanics

- soil formation & soil composition

- field exploration & identification

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 Chapter 1

Soil Mechanics
- Basic distinction of soil types & soil classification
What is the particle size of a clay ? What is the particle size of a sand ?
What is the liquid limit and plasticity index of our clay ? What is the water
content of our clay ? Is it a dense or a loose sand ?

- Underground water → permeability, water flow

What is the coefficient of permeability of our soil ? Is it a permeable material ?

- Stresses in soil mass → geostatic pressure, induced stresses

What is the pressure within the soil mass and how much this pressure will increase after the
application of an external load, e.g. foundation

- Effective stress, consolidation, compression, settlement

Why effective stress ? What is the magnitude of the settlement beneath the superstructure ?

- Soil strength, failure criteria, definition of strength

How do we measure the strength of the soil ? What does strength mean ?
Do we know any failure criterion from the soil mechanics course ?
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 Chapter 1

Foundations in Civil Engineering

The lower part of a structure which transmits its weight to the underlying soil or rock is the
foundation.

The structural loads

beam are transferred

column

from beams to columns

foundation

from columns to foundation

excavation in
natural “fill”material
order to
soil usually gravel
construct the
foundation from foundation to soil/ground
system

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 Chapter 1

Foundations in Civil Engineering

Spread footing or footing:

The simplest type of foundation
beam
b l
column

T
foundation
B L

excavation in b, l  column dimensions in plan

natural “fill”material B, L  footing dimensions in plan,
order to
soil usually gravel T  footing thickness
construct the
foundation
system

Why do we need to make this “enlargement” of the column ? 10

 Chapter 1

Foundations in Civil Engineering

We design the columns to be stronger than the beams but the columns and in general the
structural members are stronger than the soil in nature.

Material E (MPa) Strength (MPa)

Steel 210,000 370-1,600
Concrete 30,000 25-40
Limestone (rock) 5,000-20,000 5-40
Clay (soft to stiff) 2-50 0.01-0.08
Sand (loose to dense) 5-50 -

For this reason we “enlarge” the bottom of the columns (this is the typical foundation type
called “footing”) in order to decrease the stresses imparted to the soil. Finally, the footing is
designed to be stronger structural member than the column, and the transferred stresses to
the soil by the footing are lower in magnitude than the strength of the soil accounting also a
factor of safety.

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 Chapter 1

Evolution of Foundation Engineering

At early stages of foundation design, some thousands years ago, builders developed rules
for sizing and constructing foundations. The concept of “enlarging” the bottom of the vertical
structural members (masonry walls at that time) was adopted before the development of the
civil engineering science.

These empirical rules produced in general acceptable results as long as they were applied
to structures and soil conditions similar to those encountered in the past. But when these
rules where extrapolated to new conditions without accounting for example different soil
strength-compressibility or different magnitude of structural loads, the results were often
disastrous.

Along with the development of the civil engineering science during the 19th century, starting
from the use of new materials (steel, concrete) and the new demanding structures such as
bridges, the old rules for foundation design and construction were no longer applied.

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 Chapter 1

Evolution of Foundation Engineering

Today our knowledge, experience and technology has let us to design foundation systems
even for the more demanding structures and under the more difficult soil and/or surrounding
conditions with a high reliability.

Bridge

Very tall building

Petroleum storage tank

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 Chapter 1

Evolution of Foundation Engineering

…But still, our knowledge for the behavior of the soil & rock (prediction of deformations and
failure mechanisms) is relatively limited. This, along with the uncertainties during the
analysis and design of foundation systems may still lead to disastrous results under
“extreme loading conditions”.

1999 Adapazari earthquake

(Turkey)

Example of foundation failure under

extreme loading conditions

To overcome this, foundation design is in general very conservative. But to be conservative

does not mean necessarily that the final result will be satisfactory.

The Rankin Offshore Platform

(Australia)

Example of prior incomplete understanding

of modern soil mechanics

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 Chapter 1

This is not because of an earthquake …

Recent failure of a structure directly after the
construction (China).
There was extensive excavation from one side of
the building which resulted in huge moment loads
that acted on top of the pile foundation. The moment
loads were produced by the weight of the
superstructure.

The failure was because of mistakes

during the construction …
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 Chapter 1

The Components of Foundation Engineering

… Is a combination of :

► Structural Engineering: A foundation system, e.g. footing, is a structural member and

thus we follow the design concepts & methods we know for example from “reinforced
concrete structures”, or “steel structures”, but with some modifications since the foundation
interacts with the soil in its vicinity.

► Geotechnical Engineering: The mechanical properties of the soil/rock, the developed

stresses and the prediction of the induced deformations within the ground because of the
external loading transferred from the foundation system and the dependency of soil behavior
on time are topics of geotechnical engineering.

► Construction Engineering: The engineer who designs the foundation system should
have a basic knowledge and understanding of the construction methods & technology used
by constructors, but at the same time the constructor should understand the possible
mechanisms of failure of
the ground or the structure (see example of previous page).

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 Chapter 1

The subject of the Foundation Engineering Course

Primarily the analysis, but also design concepts-methods and construction technology of two
major types of foundation systems :

Foundations Earth retaining support systems

Focus of CA4682
between week 1 and 9

► Foundations, these systems transfer the structural loads from vertical structural
members such as columns and structural walls including vertical loads, horizontal loads,
moment loads from the superstructure as well as other types of loads, for example because
of earthquakes, to the near-surface or/and deeper soil.

► Earth retaining support systems, these systems are used for slope stability and
excavations by supporting the lateral earth pressures and by transmitting these pressures to
larger depth soil through different mechanisms depending on the type of the system.

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 Chapter 1

Types of Foundations: Shallow vs Deep

► Shallow Foundations, transmit structural loads to the near-surface soil

► Deep Foundations, transmit some or all of the applied load well below the ground
surface (typical length of pile > 15 m up to 30 m usually,
it may be > 50 m in special cases e.g. oil drilling platforms)
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 Chapter 1

Types of Foundations: Shallow vs Deep

General classification of foundations

Shallow foundations Deep foundations

Building

Stiff soil
Footing

Soft soil
Pile

The decision for shallow or deep foundation depends, primarily, on the geotechnical
conditions along with the magnitude of the structural loads and demands in
settlement reduction. There are some practical rules adopted in common practice, e.g.
if total area of footings > 50% total area of structure, then the deep foundation system or
a mat (special shallow foundation system) will be more cost-effective instead of
19
spread footing.
 Chapter 1

Shallow Foundations: Bearing Pressure & Capacity

The case of normal compressive load acting on footing (dry soil) :

P B  footing width
P+W P  structural normal load
W  self-weight of footing
 QB  vertical force carried by the
QS=0 soil at the bottom of the footing
Qs  lateral force carried by the
B QB=P+W soil through friction
A  area of footing
Bearing pressure (developed stresses
beneath the bottom of the footing) :
P+W
q= General demand :
A
Ultimate bearing capacity (maximum pressure q ≤ qa
that the soil can carry without failure) :

qult = f  c',φ' 
Allowable bearing capacity (use of a factor of safety) :
qult
qa = 20
FS
 Chapter 1

Shallow Foundations: Footing & Mat

Spread footing foundation

Mat foundation

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 Chapter 1

Shallow Foundations: Depth of Interest

settlement settlement

stiff soil

soft soil
Depth of significant
stress penetration

► The depth of significant stress penetration, that is significant induced stress

to soil mass because of imparting load from foundation to subsoil, depends
strongly on width of foundation.
► This depth (D) is in general equal to B – 2xB (once to twice the footing
width).
► Within this depth (D) we are interested to compute the induced stresses and
the resultant settlements. 22
 Chapter 1

Shallow Foundations: Analysis-Design

Typical procedure of shallow foundation analysis :

1. We define the design loads (e.g. structural loads) acting on the foundation.
2. At a preliminary stage we decide for the foundation type and geometry.

3. We compute the bearing pressure, that is the stresses transferred from the foundation at
its bottom to the soil.

4. We compute the ultimate bearing capacity, qult, and based on the factor of safety we have
decided we compute the allowable bearing capacity, qa.

5. We compare q and qa  q ≤ qa
6. We compute the induced stresses in the soil mass and then we compute the settlements
of the foundation, δ, as well as the differential settlements, δD.
7. Based on the allowable total settlement, δa, and the allowable differential settlement, δDa,
we check that 
δ ≤ δ a δD ≤ δDa
8. Depending on the analysis (bearing capacity, settlements) we may decide for a change in
foundation geometry (or depth), or a change in foundation type.
23
 Chapter 1

Shallow Foundations: Bearing Pressure

Concentric loading

The “real” distribution of pressure In engineering practice and for concentric

beneath the foundation is not loading we assume a uniform distribution for
uniform the determination of the developed pressure
Eccentric loading due to external loading, this simplifies our
computations
e1

If the external load is applied eccentrically,

the distribution of pressure beneath the
foundation is treated as non-uniform, in one
corner (at least) the pressure will be greater.
Eccentric loading may be due to the 24
application of moment load.
 Chapter 1

Shallow Foundations: Bearing Capacity

Bearing capacity: Terzaghi’s formula for square footing:

qult = 1.3 × c ' ×Nc + σ 'zD ×Nq + 0.4 × γ ' ×B×Nγ

3rd term: due to φ’ (strength)

2nd term: due to overburden pressure

1st term: due to c’ (strength)

- Nc, Nq, Nγ → Bearing capacity factors depend exclusively on φ’

- Small changes in φ’ affect significantly the bearing capacity factors and thus the
computed bearing capacity of the foundation. For example a change in angle of
shear strength of 5%-7% may result in a change of qult about 30%-40%.
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 Chapter 1

Shallow Foundations: Soil Strength

Bearing capacity: Terzaghi’s formula for square footing:

qult = 1.3 × c ' ×Nc + σ 'zD ×Nq + 0.4 × γ ' ×B×Nγ

3rd term: due to φ’ (strength)

2nd term: due to overburden pressure

1st term: due to c’ (strength)

- What strength properties (c’, φ’) shall we use in design ?

- Constant volume (critical state) or peak strength ?

26
 Chapter 1

Shallow Foundations: Soil Strength

 ’v




Direct shear test

If u=u=0 (drained) then v= v

  c + vtan
Mohr’s circles cannot be drawn as stresses
only known on one plane
= c + (v-u)tan
c

Assume that Mohr-Coulomb failure v

envelope passes through the known point
27
 Chapter 1

Shallow Foundations: Soil Strength

Typically, three identical specimens (same Mohr-Coulomb failure criterion &
initial void ratio or density) are prepared and Mohr-Coulomb envelopes
tested at three variable normal stresses
… for relatively low pressures
σn’ (C) > σn’ (B) > σn’ (A)
σn’ (C) > σn’ (B) > σn’ (A) peak values

φp
shear stress, τ

Shear strength
σnn’’ (C)
(C)

σ
σn’ (B)
(B) φcv
σ
σn’ (A)
(A)
values at critical
state

Horizontal displacement Normal stress, σn’

Critical state behavior: shearing

continuously with no change in stress

φp  angle of shearing resistance corresponding to “peak values” of shear stress

φcv  angle of shearing resistance corresponding to critical state behavior

For a dense or medium dense sand φp > φcv

28
Note: Right figure is valid for relatively low pressures
 Chapter 1

Shallow Foundations: Soil Strength

Typically, for a very loose sand there is no Mohr-Coulomb failure criterion &
“peak” occurred in the stress-strain plot Mohr-Coulomb envelopes

σn’ (C) > σn’ (B) > σn’ (A)

shear stress, τ

Shear strength
σn’ (C)

σn’ (B) φp ≈ φcv

σn’ (A)

Horizontal displacement Normal stress, σn’

For a very loose sand φp ≈ φcv

29
 Chapter 1

Shallow Foundations: Soil Strength

For a given sand, the initial density (or initial void ratio) can play a very important
role on the resultant strength, that is the resultant angle of shearing resistance (φp)
… for relatively low pressures

Shear strength φp for very dense

φp for medium dense

φp for very loose

Normal stress, σn’

For a given sand, φp decreases with decreasing relative density or increasing void ratio
But where is the Mohr-Coulomb failure envelope at critical state behavior for this sand ???

The failure envelope of the very loose sand is also the failure envelope for all the samples no
matter their density when we speak in terms of “critical state”, that is φcv is unique for a sand
no matter its initial density

Note: Figure is valid for relatively low pressures 30

 Chapter 1

Shallow Foundations: Soil Strength

Mohr-Coulomb failure criterion : τ = σ’ tanφ’ + c’, σ’ = σ - u

This criterion for sands is : τ = σ’ tanφ’, σ’ = σ - u, c’ = 0

… that is the Mohr-Coulomb envelope is a straight line and passes through the origin
But if we perform a series of tests (triaxial, direct shear) on a sand at a given relative density at
variable pressures and beyond the range of very small to small pressures (> 300 – 800 kPa)
depending on the sand type) and we plot the “peak values” then the results are as follows :

 ’ 1. Or the sand exhibits cohesion …

2. Or the Mohr-Coulomb envelope is

curved and not a straight line …

c’
’

Mohr-Coulomb envelope in terms of “peak

values” for sand beyond the range of small
pressures 31
 Chapter 1

Shallow Foundations: Other Issues …

- Drained vs undrained strength parameters

- Short-term vs long-term design

- Decision for a factor of safety

- Strength vs serviceability requirements General shear failure:

Catastrophic …

Settlements
Some types of
Failure settlements

uniform
uniform Tilting but no
32
distortion
 Chapter 1

Shallow Foundations: Settlements & Serviceability

- In shallow foundations analysis and design, the serviceability (i.e. serviceability
requirements) commonly control the design. A foundation may be “strong” enough to
transfer safely the structural loads to the ground without catastrophic failure, but it may settle
out of acceptable limits. This may cause cracks to the structural members of the
superstructure and lead to unsatisfactory performance of the engineering structure.

- What is the value of an acceptable settlement (i.e. allowable) in the design ?

- Total vs differential settlement: Which is more crucial ?

- Does the concept of serviceability demand affect the input strength parameters in the
design (i.e. critical state vs peak strength) ?

- Methods of determining settlements in shallow foundations: The classical method based

on consolidation settlement and the method based on in-place data are some of the popular
methods.

33
 Chapter 1

Shallow Foundations: Settlements & Serviceability

Serviceability issue: Cracks because of

excessive differential settlements

Failure …
34
 Chapter 1

Shallow Foundations: Settlements

Settlement analysis of foundations … two steps:

1: Computation of Induced stresses Beneath Shallow Foundations

2: Computation of Settlements …

P Boussinesq’s
P/b solution for
Continuous
Square stress distribution beneath
footing
footing zf/B footing

Distinction of the soil profile

in layers and for each layer the
consolidation settlement is
determined

35
yf/B yf/B
 Chapter 1

Shallow Foundations: Settlements

Methods to obtain soil properties for settlement analysis:

Fv In-situ test: For example

loading porous
platen filters (stones) SPT or CPT

water water
bath
soil

confining
ring

1-dimensional consolidation:
oedometer test (laboratory test)

36
 Chapter 1

Shallow Foundations: Special Topics

Layered Soil

Foundation near slope

Not-constant
strength with depth
37
 Chapter 1

Deep Foundations: Side-Friction & End-Bearing

A deep foundation system may be designed based on transferring the external loads (with
respect to axial loading) to the ground, primarily through friction, or primarily through the pile
end, or both …

Structure Structure
Head

uniform
pile pile
soft soil soft soil
Side
Bottom

rock
Friction pile End-bearing pile
38
Note: Pile is one of the most common types of deep foundations
 Chapter 1

Deep Foundations: Side-Friction & End-Bearing

The case of normal compressive load acting on single pile

uniform
soil
very
soft soil

stronger
soil
Friction pile End-bearing pile

Scheme of imparted stresses to the surrounding soil : compressive loads (bottom of pile)
and lateral friction (side of pile).

39
 Chapter 1

Deep Foundations: Applications

Different applications of piles :

Single piles Pile groups

Vertical & raked piles Piled wall 40

 Chapter 1

Deep Foundations: Types & Materials

Typical materials we use to construct deep foundations :

precast concrete
Steel (typically A36, that
is Fy=250 MPa )
Wood (timber pile)

- Geotechnical design of deep foundations: Focus of the Advanced Foundation Engineering

course
- Structural integrity (structural design) of deep foundations will be also discussed briefly

41
 Chapter 1

Deep Foundations: Types & Materials

Two typical construction methods-techniques for deep foundations :

- Piles, are constructed by prefabricating slender members and driving

(=forcing) them into the ground.
- Drilled shafts, are constructed by drilling a slender cylindrical hole into the ground,
inserting reinforcing steel and filling it with concrete.

Cast-in-place reinforced concrete

Driven pile drilled shaft
The construction technique affects the
analysis & design in deep foundation
systems 42
 Chapter 1

Deep Foundations: Driven Piles & Drilled Shafts

Driven piles during

construction

Drilled shafts during construction

43
 Chapter 1

Deep Foundations: Driven Piles & Drilled Shafts

Typical construction procedure for drilled shafts

44
 Chapter 1

Deep Foundations: Driven Piles & Drilled Shafts

During construction of a drilled shaft 45

 Chapter 1

Deep Foundations: Driven Piles & Drilled Shafts

During installation of a driven pile 46

 Chapter 1

Deep Foundations – Piled Wall

47
 Chapter 1

Deep Foundations – Piled Wall

Driving process of piles for piled wall system (sheet piles)

48
 Chapter 1

Deep Foundations – Piled Wall

Sheet pile walls and

typical cross sections

49
 Chapter 1

Deep Foundations: Analysis Methods

σ 'x
Side-friction K= ' Post-construction …
σz
fs = σ 'x × tanδ
σ 'x0
K0 = ' Pre-construction …
σ z0

Side friction depends on the coefficient of lateral earth pressure at rest. The construction
method affects the later earth pressure which is in general different before and after the
construction of the deep foundation, i.e. the “pre-construction” and “post-construction”
properties of the soil alter. This is not so important in shallow foundations.

σ’z is the vertical effective stress, σ’x is the horizontal effective stress, δ is the soil –
foundation interface friction angle. The stresses and the interface friction angle depend on
construction method (e.g. driven pile vs drilled shaft) and type of pile (e.g. smooth precast
concrete or rough concrete).

50
 Chapter 1

Deep Foundations: Load Transfer Mechanisms

- Drained vs undrained strength parameters Pile with negative
friction developed at
- Short-term vs long-term design the upper soil
surface
- Decision for a factor of safety uniform
loading
- Strength vs serviceability requirements uniform very
soil soft soil

stiffer
soil
Mobilized Resistance (Percent)

100 Side friction

Normally, for deep foundations, the

75 settlements are limited. However there
are some cases that significant
50 settlements may occur. Also, in deep
foundations, side friction and base
End Bearing
capacity are mobilized at different levels
25
of displacement which adds complexity
in deep foundations design.
51
Settlement (δ )
 Chapter 1

Deep Foundations: Considerations in Design

Because of the complex load transfer mechanisms and mobilization of end-bearing and
side-friction resistances, the decision for enlarged-base deep foundations (drilled shafts)
may not be beneficial always (apart from increase in construction cost). 52
 Chapter 1

Deep Foundations: Laterally Loaded Deep Foundations

Free-head
Restrained-head

53
 Chapter 1

Deep Foundations: Contents

- Analysis of single deep foundation, ultimate bearing capacity of single deep foundation.

- Interaction of deep foundations, group efficiency, bearing capacity of group.

- Design for vertical (axial) load and design for lateral load, different procedures.

- Settlement of single deep foundation and group.

- Fixity of deep foundation (i.e. free-head or restrained-head).

- Short (rigid) vs long (elastic-flexible) deep foundation.

- Special topics including structural integrity, interpretation of large-scale model tests,

batter (inclined) deep foundations.

Failure mechanisms in deep foundations:

54
(a) & (b) for short and (c) for long deep foundation
 Chapter 1

Deep Foundations – Structural Integrity

Use of interaction diagrams, tables and procedures conventionally adopted in structural
design of deep foundations (timber, steel, concrete). In CVEN 9513 some basic aspects of
structural integrity of deep foundations will be discussed.

55
 Chapter 1

Earth Retaining Support Systems

Earth retaining support systems are applied commonly in cases of need of sharp transition
between one ground surface elevation to another.

Earth retaining support systems are vertical or near vertical facilities that maintain the
ground surface at two different elevations.

Typical applications may be found in highway & railway projects, construction of buildings in
urban areas with limited space.
56
 Chapter 1

Some Types of Earth Retaining Support Systems

Grouted
concrete tieback
wall sheet
anchor
pile wall

sheet
pile wall

footing

Cantilever gravity wall Sheet pile walls

57
 Chapter 1

Sheet Pile Walls & Applications

anchors

58
 Chapter 1

Temporary System Using Timber

Use of timber in earth retaining support systems: Example

of 20 m deep excavation with timber and vertical steel
beams, commonly used as a temporary support system
59
 Chapter 1

Diaphragms

Example of precast diaphragm wall

60
 Chapter 1

Cantilever Gravity Walls (Reinforced Concrete)

Wall

Backfill material : Provides most of the resistance

Footing against sliding and overturning
eccentrically loaded
61
 Chapter 1

Pressures Acting on Earth Retaining Structure

sliding …

overturning …

Backfill material : Provides most of the

resistance against sliding and overturning

Two out of four important checks on retaining

wall analysis & design … 62
 Chapter 1

Horizontal Stresses in Soil – The “At-Rest” Case

rigid & unyielding Coefficient of lateral earth pressure
wall
σ'x
K=
σ'z

The “at-rest” case …

K 0 = 1- sinφ'  ×OCR sinφ'

Lateral earth pressure

acting on the wall
σ = σ'z ×K 0

Horizontal force acting on a unit

length of the wall
Rigid  no significant flexural movement
1
P0 /b = × γ ×H2 ×K 0
Unyielding  the wall does not translate or rotate 2

Note 1: The formulae are applicable for rigid &

unyielding wall …
Note 2: Horizontal force is normal to the wall 63
 Chapter 1

“Active” vs “Passive” …
rotation of wall

(1): Active condition (2): Passive condition

front to wall back to wall

γ’ x z γ’ x z
z
(2) (1)
γ’ x z x Ka γ’ x z x Kp

- vertical wall
- frictionless interface between wall & soil
- initially the soil is at-rest state
- vertical & horizontal are principal stresses

64
 Chapter 1

The Active Condition

If the wall moves outward, this
movement relieves part of the
horizontal stress. If this process
continuous, the soil will fail in
shear. This condition is called
active.

When conditions active …

K  Ka (coefficient of active earth
pressure)

65
 Chapter 1

The Passive Condition

If the wall moves into the backfill,
this movement increases the
horizontal stress. If this process
continuous, the soil will fail in
shear. This condition is called
passive.

When conditions passive …

K  Kp (coefficient of passive earth
pressure)

66
 Chapter 1

Wall Movement Effect on Lateral Earth Pressure

Wall movement required to reach the

passive condition:

- Dense sand : 0.020H

- Loose sand : 0.060H
- Stiff clay : 0.020H
- Soft clay : 0.040H

Wall movement required to reach the

active condition:

- Dense sand : 0.001H

- Loose sand : 0.004H
- Stiff clay : 0.010H
- Soft clay : 0.020H

H = height of retaining wall

67
 Chapter 1

Typical Conditions on Retaining Wall

We commonly design retaining walls so that

the passive pressure will develop at the
bottom of the structure (footing) which
contributes against sliding.

68
 Chapter 1

Coulomb’s Theory for Soils with c’=0 & φ>0:

The Active Condition
In Coulomb’s method, the acting normal and shear forces on the wall are inclined at an angle
φw from a perpendicular to the wall (see figure below). φw is the coefficient of friction between
the wall and the soil. Coulomb’s theory provides a more realistic simulation of the acting forces
on the wall than the Rankine’s theory.

1 1
Pa /b = × γ ×H2 ×K a × cosφ w Va /b = × γ ×H2 ×K a × sinφ w
2 2

cos 2  φ' - α 
α
Ka = 2
 sin  φ' + φ w  × sin  φ' - β  
cos  α  × cos  α + φ w  × 1+
2

H Pa/b  cos  α + φ w × cos   
α - β
φw

Va/b
Notes: For use of equation (19), β ≤ φ. For concrete
walls use φw = 0.67xφ’, for steel walls use φw = 0.33xφ’. 69
 Chapter 1

Coulomb’s Theory for Soils with c’=0 & φ>0:

The Passive Condition
Similarly, the normal and shear forces acting on the wall under passive conditions in
Coulomb’s method are given from the following formulas.

1 1
Pp /b = × γ ×H2 ×K p × cosφ w Vp /b = × γ ×H2 ×K p × sinφ w
2 2

α = inclination of wall from vertical, β = inclination of ground surface above the wall
φw = wall-soil interface friction angle

cos 2  φ' + α 
Kp = 2
 sin  φ' + φ w  × sin  φ' + β  
cos  α  × cos  α - φ w   1-
2

 cos  α - φ w × cos   
α - β

70
 Chapter 1

Coulomb’s Theory for Soils with c’=0 & φ>0:

Active & Passive Conditions - Stresses
Active Condition Passive Condition

σ = σ'z ×K a × cosφ w σ = σ'z ×K p × cosφ w

τ = σ'z ×K a × sinφ w τ = σ'z ×K p × sinφ w

Note: In Coulomb’s method, the acting normal and shear forces on the wall are inclined at an
angle φw from a perpendicular to the wall !! This means that even if the wall is vertical, the
acting forces and stresses are inclined and they are given as a function of the angle φw.

Distribution of stresses on
retaining wall …
The stresses are inclined from a
perpendicular to the wall

71
 Chapter 1

Rankine’s Theory for Soils with c’=0 & φ>0:

The Active Condition
1 1
Pa /b = × γ ×H2 ×K a × cosβ Va /b = × γ ×H2 ×K a × sinβ
2 2

cosβ - cos 2β - cos 2φ'  φ' 

Ka = β ≤φ’ K a = tan2  45o -  for β = 0
cosβ + cos 2β - cos 2 φ'  2

Pa/b = normal force between soil and wall per unit length of wall
Va/b = shear force between soil and wall per unit length of wall
b = unit length of wall
Ka = active coefficient of lateral earth pressure
σ’z = vertical effective stress
β = inclination of ground surface
H = height of wall
σ = normal stress acting on retaining wall
τ = shear stress acting on retaining wall

σ = σ'z ×K a × cosβ

τ = σ'z ×K a × sinβ 72
 Chapter 1

Rankine’s Theory for Soils with c’=0 & φ>0:

The Passive Condition
1 1
Pp /b = × γ ×H2 ×K p × cosβ Vp /b = × γ ×H2 ×K p × sinβ
2 2

cosβ + cos 2β - cos 2 φ'  φ' 

Kp = β ≤ φ’ K p = tan2  45o +  for β = 0
cosβ - cos 2β - cos 2 φ'  2

Pp/b = normal force between soil and wall per unit length of wall
Vp/b = shear force between soil and wall per unit length of wall
b = unit length of wall
Kp = passive coefficient of lateral earth pressure
σ’z = vertical effective stress
β = inclination of ground surface
H = height of wall
σ = normal stress acting on retaining wall
τ=shear stress acting on retaining wall

σ = σ'z ×K p × cosβ

τ = σ'z ×K p × sinβ 73
 Chapter 1

Correlations for Soil Strength Properties

74
 Chapter 1

Correlations for Soil Strength Properties

75
 Chapter 1

Mobilization of Active-Passive Pressures

76
 Chapter 1

Flexible Retaining Walls (Diaphragms)

Penetration in sand
Note: In flexible walls passive and active pressures reverse below the point 77
of rotation
 Chapter 1

Rational & Empirical Methods-Approaches

Foundation engineering analysis and design is based, many times, on rational methods-
techniques, or empirical approaches, or a combination of the two :

Rational approaches  Developed from the principles of the Engineering Science and
Applied Physics (for example elasticity, plasticity …), provide a basic understanding of soil
behavior and try to predict ground deformations and failure mechanisms.

Empirical approaches  Developed on the basis of experimental data (laboratory & in

situ), provide, in many cases but not always, a good understanding of the mechanical
behavior of the ground, its deformations due to external loading and sometimes, when the
real behavior of the soil (e.g. interaction between soil and foundation) is not easily
predicted, provide a basis for development of analytical methodologies to analyze and
design foundation systems.

The key is the combination of rational and empirical approaches

78
 Chapter 1

Factors of Safety & Uncertainties

We commonly use factors of safety in order to reduce the bearing capacity of the soil or to
increase the expected structural loads. But why do we need factors of safety ?

► Uncertainties associated with the properties of the soil

► Uncertainties relative to the applied loads
► Construction tolerances (design and as-build dimensions)
► Limited knowledge of soil-foundation interaction and failure mechanisms

► Consequences of failure

Because of the uncertainties associated with soil behavior, the limited knowledge of real
response of foundations and the importance of foundations in the overall performance of the
superstructure, in geotechnical engineering we use greater factors of safety in comparison
to structural engineering (with typical values within a range of 2.0 to 3.5).

79
 Chapter 1

Factors of Safety & Uncertainties

Predicted & real behavior of soil …

Load
Displacement

Design
settlement
Predicted
curve
Real
settlement Real
curve

80
 Chapter 1

Factors of Safety & Uncertainties

Typical range of factors of safety for shallow foundations design

Soil type Sand Clay

Site characterization Extensive Minimal

Soil variability Uniform Erratic

Importance of structure Low High

& consequences of failure

Likelihood of design load Low High

occurring

Extreme values 2.0 4.0

Design FS
Typical range 2.5 3.5

81
 Chapter 1

Factors of Safety & Uncertainties

Typical range of factors of safety for deep foundations design

Driven Piles
Construction Control Method Downward loading Upward loading

Static load test 2.00 3.00

Dynamic load test 2.25 – 2.75 4.00 – 5.50

Pile driving formula 3.50 6.00

Drilled-Shafts
Static load Soil Site characterization Downward loading Upward loading
test conditions program
Yes Uniform Extensive 2.00 3.00
Yes Erratic Average 2.50 4.00
No Uniform Extensive 2.50 5.00
No Uniform Average 3.00 6.00
No Erratic Extensive 3.00 6.00
No Erratic Average 3.50 6.00

82
 Chapter 1

Accuracy of Computations
… Let’s discuss this through some examples

► the void ratio of our soil is  0.6.

void ratio is expressed with 2 or 3 decimals (0.61 for practical purposes is satisfactory,
0.612 for research purposes more accurate).

► the angle of shearing resistance (φ’) of our soil is  38.46634635187o.

It is better to express a parameter like this with no decimal (38o for practical purposes) or
to the closest 0.5 (38.5o for research purposes)

► the expected settlement of a footing is  6.168 mm.

It is better to express the expected settlement with one decimal (6.2 mm) or to the closest
0.5 may be enough.

83
 Chapter 1

Building Codes

Building codes provide minimum design requirements.

In Geotechnical Engineering it happens often, in particular for very complex structures, that
we work out of the building codes limits.

The general philosophy in geotechnical design, at least for the general-simple cases, is that
we use the building codes recommendations for the computation of the design loads and
thereafter we compute developed stresses, bearing capacity and settlements.

84
 Chapter 1

Advanced Foundation Engineering

- Failure Mechanisms & methods of analysis

- Deformations of soils & foundations: Stiffness

85
 Chapter 1
Why do we need to understand more advanced behaviour of soils and foundations?
stress

strength
stiffness

strain

bearing capacity

- need a strength, but which one? (undrained,

drained - pressure dependency)

- soil often modelled as rigid, perfectly plastic

more complex analyses (e.g. finite element) will require a more complete and accurate model
of the soil behavior (a constitutive model) 86
 Chapter 1
Why do we need to understand more advanced behaviour of soils and foundations?
stress

strength
stiffness

strain

settlement (immediate)

- need a stiffness, but which one? (non-linearity,

pressure dependency)

- model of soil behaviour might be linear elastic


(but that is not very accurate)

87
Why do we need to understand more advanced behaviour of soils and foundations?
stress

strength
There are also geotechnical engineering
stiffness cases where we need to know the stiffness at
extremely small strains (0.000001)

Linear-elastic behavior How we measure the stiffness in that range of

deformations … ??
And how precise these measurements can
be ??
strain

Dynamic System (Resonant Column)

Laboratory of Soil Mechanics - UNSW

Why do we need to put coils and magnets

inside a triaxial device ?

88
 Chapter 1
Magnitude of strains under interest in soil mechanics
stress
1 2 3a 3b 4
strength

strain
Zone 1: Strains from 10-4% up to 10-3%-5x10-3%.
Linear-elastic with a good approximation. Dynamic testing. Fundamental for understanding of soil
fabric and soil stiffness (Young’s modulus). Applications in earthquake engineering, geology,
geophysics. Necessary in soil modeling.
Zone 2: Strains from 10-3% up to 10-2%-5x10-2%.
Non linear-elastic with a good approximation. Dynamic testing. Fundamental for understanding of
soil fabric and soil stiffness (Young’s modulus). Applications in earthquake engineering, geology,
geophysics, important structures foundation design such as the nuclear industry. Necessary in
soil modeling. In this zone stiffness is not any more constant but degrades.
Zone 3a: Strains from 10-2% up to 1%, Zone 3b: Strains from 1% to 10%.
Non linear-plastic. Dynamic (3a) or static (3a-3b) testing. Most typical geotechnical engineering
problems (foundations, retaining walls, tunnels) in zone 3a. Pre-failure response (3a-3b). Some
times failure occurs in zone 3b. Not acceptable settlements in zone 3b.
Zone 4: Strains > 10%.
89
Zone of large deformations. Ultimate behavior of soils. Failure. For strains > 30% residual
strength for clays.
 Chapter 1
Magnitude of strains under interest in soil mechanics
stress
1 2 3a 3b 4
strength

strain
ΔH
Zone Strain range Typical range of
Displacement (mm)
H ≈ 10 m
(1): 10-4% - 10-3%  0.01 - 0.1

(2): 10-3% - 10-2%  0.1 - 1

(3a): 10-2% - 1%  1 - 100

Let’s think about a soil profile of 10 m in (3b): 1% - 10%  100 – 1,000

thickness subjected to external load 90
 Chapter 1
Soil Stiffness

stress
Typical strain ranges tangent stiffness
Retaining walls
stiffness
Stiffness

Foundations
Tunnels

secant stiffness
(modified from Atkinson, 2000)

0.0001 0.001 0.01 0.1 1 10 strain

Axial strain ea: %
dynamic methods
local gauges

conventional soil testing

• most soils actually have very small linear range of behaviour

– a major problem in most design 91
 Chapter 1
Soil Stiffness
experimental data
G/Go
fitting (theoretical) curve using the modified
hyperbolic model

G/Go = 0.50

reference strain γr γ
reference strain γr & coefficient a are fitting parameters (a = 1 for most practical purposes)

G 1
= a
GO γ  σ 'm 
0.42
1+   γ r = 0.159 × e -0.149×Cu
× 
 γr 
Quartz sands
 Pa 
0.08
e = natural logarithm  σ 'm 
Pa = 100 kPa
Rhyolite crushed rock γ r = 0.100 ×  
P
 a 
γr (%) 92
 Chapter 1
Soil Stiffness

τ = G× γ

G 1
= a
GO γ
1+  
 γr 

- G derived from dynamic testing is a

secant modulus and not a tangent
modulus.

- Secant modulus can be easily

Darendeli (2001) – PhD Thesis
University of Texas at Austin
Under the supervision of Professor Stokoe
implemented in numerical modelling
for static-dynamic response of soil and
geo-structures.
- Stress-strain behavior can be derived
based on non-linear secant modulus.

93
 Chapter 1
Soil Stiffness

1
(α) Effect of pressure- soil depth
0.8
Darendeli (2001)

0.6 σm'=0.25 atm

G/GΟ

σm'=1.00 atm

0.4 σm'= 4.00 atm

1
σm'=16.00 kPa (α)
0.2
0.8
Menq (2003)

0 Cu=1
1E-005 0.0001 0.001 0.01 0.1 1 0.6
Cu=3

G/GΟ
γ (%)
Cu=5
0.4
Cu=10

0.2 Cu=20

Effect of soil type

0
0.0001 0.001 0.01 0.1 1
γ (%)

94
 Chapter 1
Loading rates & number of loading cycles
Time of loading

10-3 10-2 10-1 1 10 102 103 104

(second) (minute) 1 10 102
Wave, vibration Shock Dynamic problems Static problems
blasting temporary &
1
bombing permanent
structures
10
earthquake

102
Number of cycles

pile driving static (!)

compaction
103 parking
vehicle
104 traffic loads load
Fatigue, wave

wave
machine induced
105 vibration loads

Ishihara (1996)
95

Static vs dynamic loading
Depending on the rate of loading we can distinguish two types of loading conditions:
1. Static loading
Static loading is applied very “slowly”.
Typical of foundation engineering problems.
Conventional laboratory testing (triaxial, shear box).
Typically, static loading is monotonic (application of
shearing in one direction such as loading because
of a shallow foundation.
In static-monotonic loading problems:
- Sands drained behavior because of high
drainage capacity
- Clays undrained behavior for short-term design
because of low drainage capacity & drained
behavior for long-term design because the pore
water pressure buildup is dissipated with time
Chapter 1
2. Dynamic loading
Dynamic loading Is applied “rapidly”.
Typical of seismic loading, impact, heavy machine
vibration problems.
Non conventional laboratory testing (cyclic triaxial,
resonant column, bender elements).
Typically, dynamic loading is cyclic, for example
earthquake loading with 5-10 cycles per second, or
machine vibration with 50-200 cycles per second,
but it can be also dynamic-monotonic loading, for
example impact.
In dynamic (monotonic or cyclic) loading problems:
- Sands & Clays undrained behavior because of
rapid loading !!!
96
 Chapter 1
Failure mechanisms – Methods of analysis

General shear failure: Assumption of failure mechanism and point of rotation

Point of rotation

Circular mechanism
Undrained Soil

A simple failure mechanism for

drained soil
based on plasticity
97
 Chapter 1

98