1

University of Nairobi

Department of Civil and Construction Engineering

Geotechnical Engineering (FCE 511)

Teaching notes

By Sixtus Kinyua Mwea

2009

University of Nairobi –FCE 511 Geotechnical Engineering IV

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Syllabus

FCE 511 - Geotechnical Engineering III

Foundations:

Shallow Foundations

Introduction. Foundation loading intensities. Bearing capacity, (ultimate, safe,

gross and allowable). Influence of ground water table, sloping ground, inclined
and eccentric loads on allowable bearing capacity. Design of shallow foundations
for shear strength and settlements. Examples of foundation design (e.g. strips,
pad), combined footings, raft footings.

Piled Foundation

Types of piles driven and bored pile, friction and end bearing pile. Design of piles
by soil mechanics methods, end bearing, skin friction and ultimate bearing
resistance. Piles in sands. Piles in cohesive soils - total and effective stress
analysis. Design from pile tests data.
End bearing piles on rock. Settlement of piles. Dynamic formula. Negative skin
friction. Pile groups - bearing capacity in cohesive and cohesionless soils.

Introduction to Earth Dams

Design of earth embankment - homogenous and zoned dams. Definitions e.g.

fetch, water spread, shell free board etc. Factors influencing site selection.
Spillways. Settlements of embankments. Protection of upstream and downstream
slopes.

Site Investigations

Introduction, purpose of Site Investigation, organization of Site investigation for

different types of structures e.g. buildings, irrigation or water supply projects,

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highways and airport pavements, etc. Methods of Investigation. Sampling.

Borehole logs. Geophysical methods. Geotechnical reports.

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Table of contents

Syllabus...............................................................................................................i
Chapter one............................................................................................................1
Shallow foundations..............................................................................................1
1.1 Types of foundations...............................................................................1
1.2 Introduction to shallow foundations........................................................2
1.2 Bearing capacity of soils..........................................................................3
1.2.1 Bearing capacity terms.......................................................................3
1.2.2 Ultimate bearing capacity...................................................................3
1.2.3 The net foundation pressure.............................................................12
1.2.4 Allowable bearing pressure..............................................................13
1.2.5 Field methods for the determination of bearing capacity of soils....14
1.2.6 Presumed bearing capacity of soils and rocks..................................25
1.3 Proportioning of shallow foundations...................................................27
1.3.1 Contact pressure distribution............................................................27
1.3.1 Proportioning the foundations..........................................................27
1.3.2 General consideration in the selection of the foundation depth.......38
1.3.3 Foundations for common buildings..................................................39
1.4 Foundations for difficult soils................................................................40
1.4.1 Foundations on expansive clays.......................................................40
1.4.2 Foundations on loose sands..............................................................46
1.5 Tutorial examples on chapter one..........................................................48
Chapter two.........................................................................................................50
Deep Foundations................................................................................................50
2.1 Pile foundations.....................................................................................50
2.1.1 Introduction......................................................................................50
2.1.2 Classification of Piles by materials and construction.......................52
2.1.3 Driven piles......................................................................................54

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2.1.4 Bored piles........................................................................................58

2.1.5 Determination of pile load carrying capacity...................................60
2.1.6 Determination of load carrying capacity dynamic methods.............67
2.1.6 Determination of load carrying capacity pile testing.......................69
2.1.7 Negative skin friction.......................................................................72
2.1.8 Pile groups........................................................................................73
2.2 Drilled piers and Caisson Foundations..................................................76
2.2.1 Drilled piers......................................................................................76
2.2.2 Caisson Foundations.........................................................................77
2.4 Examples of Piling Schemes.................................................................82
2.5 Tutorial examples on chapter two.........................................................83
Chapter Three......................................................................................................85
Introduction to Earth Dams.................................................................................85
3.1 Introduction...........................................................................................85
3.2 Selection of type of earth dam...............................................................86
3.2.1 Diaphragm types...............................................................................87
3.2.2 Homogenous types...........................................................................87
Zoned types.................................................................................................88
3.2 Design Principles..................................................................................88
3.3.1 Foundation design............................................................................89
3.3.2 Embankment Design........................................................................93
3.3 Inspection of existing dams...................................................................96
3.4 Examples of earth dams in Kenya.........................................................96
Chapter Four......................................................................................................103
Site Investigation...............................................................................................103
4.1 Introduction.........................................................................................103
4.1.2 Planning a site investigation...........................................................105
4.2 Preliminary and detailed stage site investigations...............................107
4.2.1 Preliminary stage site investigations..............................................107

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4.2.2 Detailed stage site investigations....................................................109

4.2.3 Sampling.........................................................................................114
4.2.4 Scope of Site Investigation.............................................................118
4.2.5 Site Investigation Reports...............................................................120
References:........................................................................................................121

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Geotechnical Engineering IV
1
Week 1 2 3 4 5 6 7 8 9 10 1 12 13 14 15
Introduction                              
Shallow foundations                              
Foundation intensities                              
Bearing Capacity                              
Factors that influece bearing capacity                              
Design of shallow foundations                              
Piled foundations                              
Types of piles                              
Types of piles                              
Driven piles                              
Bored piles                              
Pile load capacity                              
Settlement of piles                              
Negative skin friction                              
Pile groups                              
Introduction to earth dams                              
Definitions (fetch water spread,
freeboard)                              
Design of earth embankment                              
Site selection                              
Spillways                              
Settlement of embankments                              
Protection of slopes                              
Continuous Assessment Test                              
Site investigation                              
Introduction                              
Purpose of site investigation                              
Organization of site investigation                              
SI for different schemes                              
Methods for site investigation                              
Geotechnical reports                              
Revision and tutorials                              
Main examinations                              
Target dates                              

University of Nairobi –FCE 511 Geotechnical Engineering IV

Chapter one

Shallow foundations

1.1 Types of foundations

Foundations that are encountered in practice may be classified into two broad
categories namely shallow and deep foundations. Under shallow foundations
the following categories are usually encountered:-

a) Strip foundations for wall and closely spaced columns

b) Spread or isolated footings for individual columns. In this category
it is usual to consider combined foundations for two or three
closely spaced columns as spread or isolated footings
c) Raft foundations covering large sections of the foundation area
The design and construction of shallow foundations is dealt with in this chapter.

Under deep foundations the following two types of foundations are encountered
:-

a) Piles
b) Caissons

The design and construction of deep foundations is dealt with in the next
chapter.
In the selection of the foundations to adopt for a structure it is usually
necessary to consider the function of the structure, its loads, the subsurface
conditions and the cost of the foundation being adopted in comparison to other
possible types of foundations.
 - 2- Shallow foundations

1.2 Introduction to shallow foundations

The foundation is the part of the structure that transmits the loads directly to the
underlying soil. If the soil is sufficiently strong it is possible to use shallow
foundation. On the other hand if the soil is not strong enough the foundation is
taken deeper into the ground and is referred to as a deep foundation. A
definition which sometimes conflicts with the definition of the shallow
foundation defines a shallow foundation as one whose depth is less or equal to
its least width. The foundation must satisfy two fundamental requirements:-

1. The factor of safety against shear failure must be adequate. A value of 3

to 5 is usually specified.
2. The settlement of the foundation should be tolerable and in particular
differential settlement should not cause any unacceptable damage o
interfere with the function of the structure.
3. The allowable bearing capacity is defined as the pressure which may be
applied to the soil to enable the two fundamental conditions to be
satisfied

The damage being mitigated in the design of the structures can be classified as
architectural, functional or structural. In the case of framed structures
settlement damage is usually confined to the cladding and finishes (architectural
damage). It is usual to expect a certain amount of damage. What is critical is to
ensure that the damage to the services is limited. Angular distortion limits were
proposed by Craig (1987) and are shown on Table 1. In general the limiting
angular distortion to prevent damage is 1/300. For individual footings this
translates to a maximum settlement of about 50mm in sand and 75mm in clay.
An accurate damage criterion is to limit the tensile strain at which the cracking
occurs. The concept of tensile strain should be used in analysis using an
idealization of the structure and the foundation in elastic strain analysis when
the fundamental properties of the foundations are known.

Table 1. 1 Angular distortion limits

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1/150 Structural damage of general buildings may be expected

1/250 Tilting of high rigid buildings may be visible
1/300 Cracks in panel walls expected
Difficulties with overhead cranes
1/500 Limit for buildings in which cracking is not permissible
1/600 Overstressing of structural frames without diagonals
1/750 Difficulties with machinery sensitive to settlement

The design of the foundations is usually a two process exercise. The first is to
determine the allowable bearing of the soil while the second is to size the
foundation on the design strata based on the allowable bearing capacity. These
two parts are now discussed.

1.2 Bearing capacity of soils

1.2.1 Bearing capacity terms

The following terms are used in bearing capacity problems

Ultimate bearing capacity is the value of the average contact pressure between
the foundation and the soil which will produce shear failure in the soil.

The net foundation pressure is the increase in the pressure at the foundation
level due to the structure loads
The safe net foundation pressure is the net foundation pressure divided by a
suitable factor of safety

Allowable bearing pressure is the maximum allowable net loading intensity on

the soil allowing for both shear and settlement effects.

1.2.2 Ultimate bearing capacity

If a load is increased at the foundation level, shear failure would take place in
the foundation at a load which can be referred to as failure load. The resulting
pressure at the base of the foundation is known as the ultimate bearing capacity
of the soil

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Three distinct modes of failure have been identified and these are
illustrated in Figure 1.1 in the case of strip footing. As the pressure increases on
the foundation layer the state of plastic equilibrium is reached initially in the
soil around the edges of the footing and then spreads downwards and outwards.
Ultimately the state of plastic equilibrium is reached throughout above the
failure surfaces. The soil around the footing heaves on both sides. At the
moment of failure one side continues to settle at a higher rate and the strip
footing tilts. This behavior is exhibited by soils of low compressibility (Figure
1.1a). . Local shear failure is characterized by local development of plastic
conditions usually below the foundation. The plastic conditions do not reach the
surface and only slight heaving is expected. This kind of failure is expected
with soils of high compressibility and is associated with large settlements
(Figure 1.1b). These soils include dense and stiff soils. Punching shear occurs
when shearing takes place directly below the footing under compression from
load. No heaving is of the ground is expected by the side of the footing. Large
settlements are characteristics of this mode of failure and are typical of soils of
high compressibility and foundations at considerable depth (Figure 1.1c). In
general the mode of failure will depend of the compressibility of the soil and the
depth of the foundation.

a) General shear failure

Pressure
a
Settlement

b) local shear failure c

b

c) Punching shear failure

Figure 1.1 Modes of failure of foundations

Bearing capacity by use of earth pressure analogy

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The earth pressure analogy can be explained by consideration of a strip footing

on a cohesionless soil as shown on Figure 1.3
q

p γD
Figure 1. 2 Pressure below a strip footing

The vertical pressure is q which is a result of the structure loads. By use of

Rankine active pressure theory, a lateral pressure p holds the soil in equilibrium
below the foundation. For particles just beyond the edge of the foundation the
lateral pressure is more than the vertical pressure γD resulting from the
overburden. The vertical pressure γD is the minor principle stress and p is the
principal stress. By use of the Rankine earth pressure theory Equations 1.1
through 1.3 can be deduced.

p=q (1−sin ϕ )/(1+sin ϕ) (inside the foundation) 1. 2

p=γD(1+sin ϕ )/(1−sin ϕ ) (outside the foundation) 1. 2
2
q=γD ((1+sin ϕ)/(1−sin ϕ)) (ultimate bearing capacity) 1. 2

For a cohesionless soil the bearing capacity is dependent on the overburden and
equals to zero for a foundation on the ground surface. Bells development for a
c-φ is given in Equation 1.4

q=γD ((1+si ϕ)/(1−sin ϕ))2 +2 c √((1+sin ϕ)/(1−sin ϕ )3 +2c √(1+sin ϕ)/(1−sin ϕ) .1. 2

For a purely φ =0 soil the ultimate bearing capacity is given by Equation 1.5

q=γD +4 c 1. 2

Bearing capacity by use slip circle analogy

The slip circle analogy can be explained by consideration of a strip footing on a
cohesive soil as shown on Figure 1.3

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q
D
O

πB

Figure 1. 3 A slip circle analogy of a strip footing

The foundation is assumed to fail by rotation about a slip surface of radius equal
to the width of the base B and at the edge of the foundation O. At ultimate
conditions the disturbing moment (Md) is given by Equation 1.6

B
M d =q∗L∗B∗
2 1. 2

The resisting moment (Mr) about O is a summation of the resistance due to the
cohesion on the cylindrical surface, on the vertical surface and the weight of the
overburden as given in Equation 1.7

2
γ DLB
M r =π cLB2 +CDLB+
2 1. 2
At ultimate conditions the disturbing moment is equal to the resisting moment
and the ultimate bearing Equation for a φ = 0 soil is given by Equation 1.8

0 .32 D γD
q=6 . 28 c(1+ +0 .16 )
B c 1. 2

Plastic theory failure

A suitable failure under a strip footing is shown on Figure 1.2. The footing of
width b and infinite length carries a uniform pressure of magnitude q f. The
shear strength parameters for the soil are c and φ. The unit weight of the soil is
assumed to be zero. At ultimate bearing capacity the soil is pushed downwards
into the soil mass producing a state of plastic equilibrium in the form of an
active Rankine zone below the footing where the angles ABC and BAC are

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each 45+φ/2. The zone ABC resists movement and is intact with the base. It
suffers no much deformation. The downward movement of the wedge ABC
forces the adjoining soil to move sideways. Passive Rankine zones ADE and
GBF are developed and angles AEF and BFG are 45-φ/2. these zones confine
the movement of the wedge EDA and BGF. The transition between the
downward movement of the wedge ABC and the lateral movement of the wedge
EDA and BGF takes place through zones of radial shear ACD and BCG. The
surfaces DC and CG are logarithmic spirals. The soil above EDCGF is in a
state of plastic equilibrium while the rest of the soil is in state of elastic
equilibrium.

qf

qo
A B 45+φ/2

E F
45-φ/2
D C G

Figure 1. 4 Failure under a strip footing

Using plastic theory the ultimate bearing capacity below a strip footing on a
surface of a weightless soil is given by Equation 1.9. This is for undrained
condition where φu = 0

q f =(2+π )c u =5 . 14 c u 1.2

In general the foundation is located at a depth and imposes a surcharge q o = γD.

The weight of the surcharge and the pressure of the foundation produce stresses
on the moving masses of soil at plastic conditions.
The ultimate bearing capacity of the soil under shallow strip footing can
be expressed by the following general equation suggested by Terzaghi.

q f =0 . 5 γ BN γ +CN c +λ DN q 1. 2

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Nγ, Nc and Nq are bearing capacity factors which depend on the values of
φ. Nγ represents the contribution to the bearing capacity resulting from the self
weight of the soil. Nc is the contribution due to the constant component of the
shear strength and Nq is the contribution of the surcharge pressure. Values of
Nγ, Nc and Nq can be obtained from Equations 1.11 through 1.13 the values for
Nc and Nq were suggested by Meyerhof (1955) while the values of N γ, were
suggested by Hansen (1970) These values are plotted in terms of φ in Figure 1.
5.

N c =( N q −1 )cot ϕ 1. 2
2 π tan ϕ
Nq=tan ( 45+ϕ /2)e 1. 2
N γ =1. 5( N q −1)tan ϕ 1. 2

N
100
q
N
Values of Nc, Nq, Nγ

10

1
0 10 20 30 40
φ - Degrees

Figure 1. 5 Bearing capacity factors for shallow foundations

Bearing capacity for square, round and rectangular foundations

The problem involves extending what is basically a two dimension problem in a
strip footing to a three dimension problem in other foundation shapes. The
bearing capacity factors for square and round foundations are shown on
Equations 1.14 and 1.15 respectively.

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 - 9- Shallow foundations

q=0 .4 γ BN γ +1. 3cN c +γ DN q 1. 2

q=0.3 γ BN γ +1. 3cN c +γ DN q 1. 2

The factors for rectangular footing are an interpolation of the square and the
strip footing and are shown on Equation 1.16

q=0.5 γ BN γ (1−0. 2B/ L)+cN c (1+0. 3B/ L )+γ DN q

1. 2
It showed be noted that the values of the bearing capacity factors are very
sensitive to the values of shear strength parameters c and φ. Due consideration
should therefore be given to the degree of accuracy of these values. In general
the following observations have been made

a) In cohesive soils the contribution of cohesion c to the bearing capacity

dominates
b) The depth factor dominates for cohesionless soils
c) The base factor is usually neglected for values of B less than 4 meters
d) A footing at the surface has no bearing capacity if Nγ is neglected
e) The equations are applicable to uniform soils and in the case of stratified
soils an engineering judgment is always required.

Skempton’s values of Nc
Skempton (1951) showed that for a cohesive soil (φ =0) the value of Nc
increases with the value of foundation depth D. He suggested that the values of
Nc applicable to circular, square and strip foundations are given in Figure 1.6.
The value of the rectangular footings of dimensions BxL (where B<L) is the
value of a square footing multiplied by (0.84+0.16B/L).

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10

7
Nc

Nc (Strip)
6 Nc (Circular or Square)

4
0 1 2 3 4 5

D/B

Figure 1.6 Skempton’s values of Nc for a φ =0 soil

Eccentric and Inclined loading

Eccentric and inclined loadings have an effect of reducing the foundation
bearing capacity. In the case of a foundation with a vertical load such that the
eccentricities are eb and el (Figure 1.7 ) the effective foundation dimensions are
shown as B’ and L’ The resulting load is distributed over the effective
foundation dimensions. The values of B’ and L’ are given in Equations 1.17
and 1.18

B '=B−2 e B 1. 2
L'=L−2e L 1. 2

In the case of inclined load (Figure 1.8) on a width B and inclination the
effective foundation width is B-2e. In addition the bearing capacity factors are
multiplied by the inclination factors shown on Equations 1.19 and 1.20
o 2
ic=i q =(1−α /90 ) 1. 2
2
i γ =(1−α /ϕ) 1. 2

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An alternative approach in the case of inclined loads is to use the empirical

formula shown on Equation 1.21

L’
Y

B’
B eB

eL

Figure 1. 7 Effective dimensions for pads subjected to eccentric loads

PV / Pav +P H / Pah <1 1. 2

Where Pv is the vertical component of the inclined load and P H is the

horizontal component of the inclined load. Pva is the allowable vertical load and
PHa is the horizontal load (a fraction of the available passive resistance).

α P
Pv

PH

Figure 1.8. Foundation with inclined load

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1.2.3 The net foundation pressure

The actual pressure on the soil due to the weight of the structure is called the
total foundation pressure q. The net foundation pressure qnet is the increase in
the pressure at the foundation level. This is the total foundation pressure less
the effective weight of the soil permanently removed during excavation and is
given in Equation 1.22

q nett =q−γD 1. 2

For a strip footing the net foundation pressure is shown on equation 1.23

q nett =0 .5 γ BN γ +cN c +γD( Nq−1) 1. 2

The safe net bearing pressure (qsafe) is the net bearing pressure factored by an
appropriate factor of safety as shown on Equation 1.24

q safe =q nett / FOS 1. 2

It is usual to use conservative factors of F usually between 3 and 5. Due to

uncertainties in
 the determination of the strength parameters
 and determination of the of the service load,
for comparison the following factors of safety (Table 1.2) are used in other
geotechnical works

Table 1. 2 Typical factor of safety values for geotechnical works

Failure mode Type of works FOS
Shear Earthworks 1.2-1.6
Shear Retaining walls 1.5-2.0
Shear Sheet piles 1.2-1.5
Seepage Uplift 1.5-2.5
Shear Bearing Capacity 3-5

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 - 13- Shallow foundations

Effect of ground water

Water table below the foundation level
If the water table is at a depth not less than B below the foundation level the
expression for the net ultimate bearing capacity is given in Equation 1.23 above.
However the when the water table rises to a depth less than B below the
foundation level Equation 1.25 is applicable.

q net =CN c +γD ( Nq−1)+γ sub BN γ 1. 2

For cohesive soils the value of φ is small and the term γ sub BN γ is of little
account. Consequently the bearing capacity is not affected by the ground water
variation below the foundation level. For sandy soils the term CNc is zero and
the term 0.5γsubBNγ is about half 0.5γBNγ. The effect of the groundwater is
significant.

Water table above the foundation level

For this case the net ultimate bearing capacity is given by Equation 1.26. It is
seen both cohesive and cohesionless soils are affected by the water table rising
above the foundation levels

q net =CN c + p ' o ( Nq−1)+γ sub BN γ 1. 2

Where p’o is the effective overburden above the foundation level.

1.2.4 Allowable bearing pressure

In design, the settlement due to the safe net bearing pressure is computed. If the
resulting settlement is not acceptable then the pressure used in the determination
of the settlement is reduced. At the point when the settlement is acceptable then
the pressure obtained is the allowable bearing capacity of the soil.
In design the ultimate loads are obtained from structural analysis. The
ultimate load is converted into the service load. The gross load is the structural
load above the ground floor plus the overburden. The net load at the foundation

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 - 14- Shallow foundations

level is the load at the ground floor in addition to the weight of the foundation
less any soil which has been replaced. For practical considerations it is
therefore not necessary to consider the weight of the foundation below the
ground level (Figure 1.9)

Gross load =P + overburden

P Pnet = P + foundation load – replaced soil
=P

Figure 1. 9 Net load applied at the foundation level

1.2.5 Field methods for the determination of bearing capacity of soils

Plate bearing test
The test is particularly suited for the design of foundations or footings where it
is considered that the mass characteristics would differ from the laboratory tests
and where the precise values of settlement are required. The plate load test
covers the determination of vertical deformation and strength characteristics of
soil insitu. From the data recorded the allowable bearing capacity of the soil is
estimated.
In the test an excavation is made to the expected foundation level. The
plate usually 300 to 750 mm square should be rigid and flat. It is loaded by
means of kentledge. The kentledge can be any form of dead load including
water, concrete blocks etc or tension piles. The loading procedure can be either
constant rate of loading or incremental loading procedure as described below:-

Constant rate of penetration

This test is best suited to undrained conditions. In the test the load is applied in
a controlled manner to enable a continuous and uniform rate of penetration.
The load is continued until a penetration of 15% of the plate width is achieved.
The ultimate load is considered to be the load corresponding to the 15% of the
plate width penetration.

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Incremental load test

This test is best suited to drained conditions. In the test the load an estimate of
the maximum load is calculated. Five equally spaced increments are then
selected. The load at each increment is recorded together with the
corresponding settlement. A load is maintained until the penetration has ceased
or when the primary consolidation is complete. The ultimate load is considered
to be the load corresponding to the 15% of the plate width penetration as in the
case of the constant rate of penetration test.

Plate bearing capacity test results

The plate bearing test results are best reported in graphical way as shown on
Figure 1.10. The weak soft clays and loose sands will reach the ultimate
bearing capacity in the region of 100-200 kN/m2 while the stiffer clays and
dense sands and gravels will continue increasing in the bearing pressure with
increasing settlement.

Bearing Pressure (kN/m2)

0 200 400 600 800 1000

0

-2.5

-5
Settlement (mm)

-7.5

Stiff clay, dense sand or

-10 gravel
Soft clay or loose sand

-12.5

-15

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 - 16- Shallow foundations

Figure 1.10 Typical plate loading test results

Estimation of allowable bearing pressure from plate bearing test results
The test is reliable only if the stratum being tested is reasonably uniform over
the significant depth of the full scale foundation. A weak stratum below the
significant depth of the plate but within significant depth of the foundation
would have no influence over the plate test results but will have a significant
effect over the performance of the foundation (Figure 1.11).

B
b

1.5b

1.5B

Weak stratum

Figure 1.11 Influence of weak stratum

Settlement of the stratum increases with increasing loaded area and the
main problem is in the extrapolation of the test results to full scale scenario.
Ideally the plate test should be carried out using plates of different sizes and at
different depths. However, this is usually not economical.
Notwithstanding this shortcomings the following procedure was been
proposed by Terzaghi and Peck (1948) and can be used as a guide to use of
plate bearing test results. The settlement of a square footing kept at a constant
pressure increases as the footing size increases. The relationship is shown on
Equation 1.27 relates the settlement of the test plate of 300 mm square and that
of a square foundation of width B.

2
S=S1∗( 2 B/( B+0 . 3)) 1. 2

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 - 17- Shallow foundations

Where S1 = settlement of the loaded area under a 305mm plate for a given
pressure intensity p
S= the settlement of a square foundation of width B in metres under
pressure p
In order to use the plate bearing results the maximum allowable settlement is
determined. A value of 25mm is generally accepted as an allowable settlement.
S is then equated to 25 and a numerical value of B is inserted in the formula to
enable the determination of the S1. From the relationship of p and s1 the value of
p corresponding to the calculated value of S1 is the allowable bearing pressure
subject to any adjustments certain to the ground water conditions.

Standard penetration test

The test covers the determination of the resistance of soils particularly sand and
loose to medium loose gravels at the base of a borehole to the penetration of a
split barrel sampler when dynamically driven in a standard manner. In addition
to the determination of resistance the split sampler is used to obtain disturbed
samples for determination of remolded properties namely particle size analysis
and Atterberg limits when the sample has some degree of plasticity. When used
in gravels the sampler is replaced with a 60 o cone which does not sample the
soil.
Figure 1.12 shows the main features of standard penetration test
equipment. The drive shoe and the sampler consist of 51 mm external diameter
and 35 mm internal diameter. It is 450-600 mm long. This is connected to a
drive assembly at the bottom of the boring rods. A pick and release mechanism
which ensures a free fall of a hammer weigh 65 kilograms through of 760 mm +
or – 20 mm is used to drive the sampler or the cone in the case of the gravelly
strata

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Figure 1.12 Standard penetration equipment.

The procedure requires that the borehole is cleaned carefully to ensure that
disturbed soil at the bottom of the borehole is removed. When boring below the
ground water table it is prudent to maintain the water in the borehole at the
same level or higher than the general ground water. A hydraulic balance is
needed to avoid the risk of boiling of the strata at bottom occasioned by a high
hydraulic gradient.
The sampler and the hammer are lowered to the bottom of the borehole.
If after touching the bottom the sampler penetration exceeds 450 mm on its own
weight and that of the hammer, the SPT value also known as N value is
recorded as zero. Otherwise after the initial penetration on own weight the test
is driven in two stages known as seating drive and test drive
The seating drive is the initial 150mm penetration or 25 blows
whichever is reached first. The test drive is the further penetration of 300mm or
50 blows which ever is reached first. The number of blows for the 300 mm
penetration is recorded as the SPT value ‘N’. If 300 mm penetration can not be
reached in 50 blows the test drive is terminated. In this case a hard stratum has
been encountered and further driving results in damage of the split sampler. It is
usual to record the blows for every 75 mm penetration. If the test drive is
terminated the penetration corresponding to 25 and 50 blows is recorded.

Interpretation of Standard Penetration Test Results

The pore water pressure generated by the hammer during testing affects the
value of N. When the test is carried out below the water table in fine sand or
fine silt the resistance increases as a result increased pore water pressure which
does not dissipate immediately. If the measured N if greater than 15 a
correction as shown on Equation 1.28 is performed.

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TrueN =15+1/2(N −15 ) 1. 2

The relative density of a soil affects the N values. Terzaghi and Peck (1948)
evolved a qualitative relationship between the relative density and the standard
penetration N values. Gibbs and Hortz put values of relative density. Table 1.3
shows the two relationships

Table 1. 3 Relationship of N values and the relative density of sands

N value Terzaghi and Peck Gibbs and Hortz
0-4 Very loose 0-15%
4-10 Loose 15-35%
10-30 Medium 35-65%
30-50 Dense 65-85%
50+ Very Dense 85-100%

The effective stress at the level of the test also affects the penetration of the SPT
split barrel sampler. This effect can be related to the effective overburden at the
level of the testing. Craig (1986) has summarized the correction of the
overburden into Equation 1.29.
N '=C N N 1. 2

Where N’=the corrected value of SPT

N=the measured value of the SPT or the true N in the case of the
saturated loose sands and silts
CN=Overburden factor
The relationship of CN and effective overburden is shown on Figure 1.12

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E ffectiv e O v erburden (kN/m 2 )

500
400
300
200
100
0
0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2

Correction factor CN

Figure 1.12 Estimation of N’ from measured values of N (Craig 1986)

Standard penetration resistance increases with increasing particle size,

increasing over-consolidation ratio and increasing angle of internal friction of
the soil. A correlation between shear strength parameter and N, and effective
overburden is shown on Figure 1. It provides rough estimate of value of and
should not be used for very shallow foundations.

50

40
φ=25
30 φ=30
SPT - N

φ=35
20
φ=40
10 φ=45
φ=50
0
0 50 100 150 200 250
Effective overburden (kN/m2)

Figure 1.13 Correlation between shear strength parameter φ and N and

effective overburden

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Estimation of allowable bearing pressure from standard penetration tests

In 1948 Terzaghi and Peck presented a chart as shown on Figure 1.14 for the
estimation of allowable bearing capacity while limiting the settlement to 25mm
and differential settlement to 75% of the maximum settlement. The procedure
involves determination of the average value of N’ from all the boreholes at the
foundation level. The allowable bearing capacity for the widest foundation is
determined and then applied to all the foundations. Terzaghi and Peck based his
chart on foundations on unsaturated soils when the water table is at lower than
1.0B below the foundation. Thus when the water table is at 1.0B the reduction
of the allowable bearing capacity is zero. The reduction increases linearly as
the water rises. When the water table is at the ground level the reduction is
50%. Thus the provisional value of allowable bearing capacity obtained from
Figure 1.14 should be reduced by the factor Cw shown on Equation 1.30

C w =0 .5+0. 5 Dw /( D+B) 1. 2
Where Dw= depth of the water table below the ground level and D
D =the depth of the foundation
B = the width of the foundation

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Figure 1. 14 Relationship between N and allowable bearing pressure

Burland and Burbidge (1985) studied over 200 settlement records of

foundations on sands and gravels. A relationship was established between the
compressibility of the soil af the width B and the average value N over the depth
of the influence. The compressibility is given by the slope of the pressure
settlement plot in mm/(kN/m2) over the working range of the pressure. For
increasing or constant values of N with depth the ratio Zi to the foundation width
B decreases with increasing foundation width. The relation of Zi and B are
shown on Figure 1.

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10
ZI (m)

1
1 20
B(m)

Figure 1.15 The relation of Zi and B

Static cone penetration test

The test apparatus consists of a 60o cone as shown on Figure 1. The cone is
subjected to continuous penetration in the soil the rate of 15-20 mm per second.
The tip has electrical sensors for continuous recording of the resistance and
penetration as shown on Figure 1. On the more sophisticated cones the friction
along the cone can be measured. In addition the water pore pressure can also be
measured. At every penetration the resistance is measured as load/cone area
and is plotted against penetration

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Resistance = load/end area = qc (kN/m2)

0 200 400 600 800 1000

0

-2.5
Penetration (mm)

-5

-7.5

-10

-12.5

-15

Figure 1. 16 Static cone penetration test results

From the data the value of Nγ used in Terzaghi Equation for the Ultimate
Bearing Capacity can be estimated from Equation 1. From this Equation the
value of internal angle of friction can be obtained from Figure 1. which then
enables the determination Nq and the ultimate bearing capacity. Other empirical
values of qa can be obtained from equations 1.31 through 1.33

N γ =qc /80 1. 2
q a =qc /30 for B< 1.2m 1. 2
2
q a =qc /50∗((B+ 0 .3 )/ B ) for B> 1.2m 1. 2

Allowable bearing capacity on rock stratum

The bearing capacity of rock is the highest that an engineer can expect to get.
In some cases the intact rock has unconfined compressive strength larger than
the strength of the concrete which goes to the making of the foundation. In this
case it is the structural design of the materials rather than the strength of the
rock control the foundation design.
For ordinary structures when site investigation is performed by boring,
bedrock need be proved to a depth of three meters to discount the possibility of
isolated boulders (Craig, 1987). When un-weathered rock has been reached in

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foundation construction, the allowable bearing pressure is based on the inherent

strength or the parent rock. The influence of joints, discontinuities and shear
zones is to reduce the allowable bearing capacity. The rock quality designation
(RQD) defined as the ratio of the total length of core of full diameter and length
greater than 100mm or greater to the length of the core run measures the extent
of defects and has been used in the determination of the allowable bearing
pressure as shown on Table 1.

Table 1. Allowable bearing capacity RQD

RQD Allowable bearing capacity (kN/m2)
100 29,300
90 19,500
75 11,700
50 6,800
25 2,900
0 1,000
Source Peck et al, 1973

Bowles (1982) stated that the settlement is more often the concern than the
bearing capacity. Consequently most effort should be taken in the
determination of modulus E and Poisson’s ratio η so that an estimate of the
settlement can be made. Alternatively he suggested that one should use a large
factor of safety on the unconfined compression strength of the intact fragments
obtained from the borings. The factor of safety should depend on the RQD and
typically range between 6and 10.
Tomlinson and Boorman (1986) reported the presumed bearing capacity
must not exceed half of the unconfined compression strength of the intact rock
fragments. Ibi (1986) reported presumed allowable bearing capacity values of
various rocks varying from 12,500 kN/m2 for igneous and limestone rocks to as
low as 150 kN/m2 for weak un-cemented mudstones.
Rock strength designations based on the unconfined compressive
strengths have been suggested by BS 5930 (Ibi (1986) and the Canadian
Geotechnical Society (Franklin and Dussealt, 1989) are shown on Tables 1.4
and 1.5 respectively.

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Table 1. 4 Rock strength designation by BS 5930

Classification Very Weak Mod Mod Strong Very Extremely
Weak Weak Strong strong strong
UCS (kN/m2 Under 2 1.25 to 5 to 12.5 to 50 to 100 to Over 200
x103) 6 20 60 200 200
Source – Tomlinson and Boorman (1986)

Table 1. 5 Rock strength designation by Canadian Geotechnical Association

Classification Extremely Very Weak Medium Very Extremely
Weak Weak Strong strong strong
UCS (kN/m2 Under 2 to 6 to 20 to 100 to Over 200
x103) 2 6 20 60 200
Source: Franklin and Dussealt (1989)

1.2.6 Presumed bearing capacity of soils and rocks

It is common to use presumed bearing capacity of soils and rocks. The values
used have been derived after many years of testing and performance monitoring
of existing structures. These values are usually conservative do not consider the
overburden above the foundation level. They can be used as preliminary values
for the very large structures where an accurate bearing capacity at the
foundation level is needed. In the case of smaller structures these valued can be
considered as final. Table 1.6 shows the presumed bearing capacity of soils as
suggested by BS8004 (1986), while Table 1.7 shows the presumed bearing
capacity values used in Kenya. It is to be noted that difficult soils such as
expansive soils, loose sands and silts and made up ground should be
investigated all the time.

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Table 1. 6 Presumed allowable bearing vales (BS 8004: 1986)

Categor Types of soils and rocks Value Remarks
y ( kN/m2)
Rocks Strong igneous and gneissic rocks in sound 10000 The foundations
Strong limestone and strong sandstones should be taken to
Schists and slates 4000 un-weathered rock
Strong shales, mudstones and siltstones 3000
Non Dense gravel, or dense sand and gravel >600 The foundation
cohesive Medium dense gravel or medium dense sand width to be not
soils and gravel <200-600 less than 1m and
Loose gravel or loose sand and gravel <200 water level not
Compact sand >300 less than below
Medium dense sand 100-300 the foundation
Loose sand <100 level
Cohesive Very stiff boulder clay and hard clays 300-600 Soils susceptible
soils Stiff clays 150-300 to long-term
Firm clays 75-150 consolidation and
Soft clays and silts <75 settlement

Very soft clays and expansive clays and silts Not applicable
Peat, organic soils, made up ground and fill areas Not applicable

Table 1. 7 Presumed allowable bearing values in Kenya

Soil and rock Value (kN/m2)
Red coffee soil (Red silty clay) 80-120
Medium dense sand 100-300
Loose gravel (Murram) 100-150
Dense gravel 200-400
Compact gravel and weathered rock 350-600
Un-weathered rock >600
Expansive soils, loose sands and silts Not Applicable

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1.3 Proportioning of shallow foundations

1.3.1 Contact pressure distribution

This is the distribution of the pressure below the base of the foundation and the
ground. The pattern of the distribution varies according to the stiffness of the
foundation. The stiffness may be described as yielding (elastic), rigid or
flexible

Yielding foundation
The stiffness of such foundation is zero. Here the contact pressure distribution
has the same variation as that of the load. Because of its zero stiffness there
will be no moments induced in the footing. Such a condition exists in fresh
concrete before it sets. It has no practical significance.

Rigid foundations
Contrary to the yielding foundation the rigid foundation has infinity rigidity.
They are so rigid that they do not deflect. Most of the foundations considered in
practice are rigid foundations. The analysis is simple and leads to economical
design of the footings.

Flexible foundations
The stiffness of such foundations lies between rigid and the yielding
foundations. The foundations in this category deflect to a certain degree
depending on the magnitude of their stiffness. The analysis of such foundations
is complicated but leads to an economical design. However this is not usually
done in practice and is not considered in these notes.

1.3.1 Proportioning the foundations

The proportioning of the foundations is usually the final step in the design of a
structure. The type of foundation, sizes and the level of the foundation depend
on the result of the site investigation. Usually partial factors would have been
used in the design of the columns. However unfactored loads would be used in
the proportioning of the foundations. The factored loads are however required
in the determination of the foundation depths and design of the foundation in
accordance with BS 8110 (1997). The general procedure for the design of the
foundations follows the following steps

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a) Evaluate the allowable bearing pressure in a site investigation exercise

b) Examine the existing and future levels around the structure and take into
account the ground bearing strata and the ground water level to determine
the final depth of the foundation
c) Calculate the loads and the moments if any on the individual footings
with partial safety factors on the structural loads.
d) Recalculate the loads and the moments on the individual columns and the
walls without partial factors of safety. In many cases it is sufficiently
accurate to divide the factored loads and moments with 1.45.
e) Calculate the plan area of the foundation using unfactored loads

The plan area of the foundations is determined assuming that all the
forces are transmitted to the soils without exceeding the allowable bearing
pressure. The distribution of the pressure is assumed to be planar. In no case
should the extreme pressure be less than zero. All parts of the foundation in
contact with the soil should be included in the assessment of the contact
pressure. Subsequently the designer carries out the structural design of the
foundations. Typical foundations are now discussed

Strip and rectangular footings

A strip footing is significantly greater in length than in width. This type of
foundation is used to support walls and closely spaced columns. When and
individual column is supported by a footing then this foundation is referred to as
a pad footing. When two or more columns are supported by one footing, this is
referred to as a combined footing.

Axially loaded strip and rectangular foundations

The contact pressure of these foundations is considered as uniform when loaded
axially. The pressure under the foundations should not exceed the allowable
bearing pressure of the supporting soil. Figure 1.17 shows the pressure
distribution of such foundations.

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a) Pad foundation b) Strip foundation

d) Pressure distribution
c) Combined foundation
Figure 1.17 Pressure distribution below individual and strip foundations
under axial load

Eccentrically loaded rectangular foundations

When foundations are subjected to axial and moments at their foundations the
soil pressure resultant does not coincide with the centroid of the footing. The
resulting pressure is a combination of the compression and the moment stresses.
While the columns can in almost all cases resist the moments it is doubtful that
the spread footing can sustain an applied column moment. The base usually
will rotate and induce more moment at the far end of the column.
In conventional analysis the contact pressure distribution under
eccentrically loaded rectangular foundations (Figure 1.) are derived from the
common flexural formula. The general formula for the estimation of the
pressure when there is eccentricity in the y and x axis is given in Equation 1.34.

σ ( x , y )=P÷ A±M y ÷I y∗x±M x ÷I x∗y

1. 2

Where σ(x,y) = contact pressure at any given point (x, y)

P = the vertical load
x,y = coordinate of the point at which the contact pressure is calculated
My and Mx = the moment about y and x axis respectfully
Ix and Iy = moment of inertia of the footing area about the x and y axis
respectively
=L*B3/12 and BL3/12 respectively.

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L
P Mx and My
ex
B y
Mx

eey
x
x
ex

My

Figure 1. 18 Rectangular foundation eccentrically loaded in two axis

When Equation 1.34 results in negative values in some areas, this means that
the foundation soil is taking tension. It is then necessary to change the
dimensions to have only compression pressure at the base. This is difficult and
requires trial and error approach for solution of maximum and minimum
pressures. It is prudent to place the foundation such that that there is only
eccentricity in one axis direction as explained below.

Eccentrically loaded rectangular foundations in one axis

In design it is common to determine the magnitude of the contact pressure at the
edges. Equation 1.34 reduces to equation 1.35 shown below and Figure 1.19
shows the pressure distribution.

q=P÷BL(1±6 e÷L ) 1. 2

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P P P
M M
L M

eL L L L
e
P
BL
−P
∗6 e +P
BL ∗6 e
BL
L
L 0
2P
BL

a) e<l/6 b) e=l/6 c) e>l/6

Figure 1.19 Soil pressures below footing

When the eccentricity inside mid-third of the base (Figure 1.19a,e<l/6) the
computed minimum pressure is positive soil pressure and the computed
maximum pressure should not exceed the allowable bearing pressure. At e=l/6
Figure 1.19b the minimum soil pressure q=0 and the footing is fully effective in
bearing. This limit of eccentricity means that as long as the eccentricity is less
than l/6 also described as falling within the mid-third of the foundation the
entire footing is effective. When the eccentricity is large (Figure 1.19c) and
e>l/6 the computed minimum pressure is negative soil pressure. This is an
indication of a tensile stress between the soil and footing. This in not feasible
and the soil pressure has to be evaluated neglecting any soil tension. The
eccentricity is said to be outside mid-third.
For eccentricity outside middle third with respect one axis the maximum
soil pressure redistributes itself since the base cannot take negative pressure.
The distribution of pressure is triangular and is shown on Figure 1.20. The
equations applicable in this case can be derived as follows:-

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L’

e=M/P L’/3

Figure 1. 20 Eccentrically loaded rectangular out of middle third

L' L q
= −e P= ( BL' )
3 2 and 2

Solving the two equations to obtain the maximum soil pressure q, Equation 1. is
obtained

2∗P
q=
3 B(l/2−e ) 1.2

Rectangular combined footings

It may not be possible to place columns at the centre of spread footings if they
are near the property line, near mechanical equipment or irregularly spaced
columns. Columns located off center will result in a non uniform soil pressure.
In order to avoid the non uniform soil pressure, an alternative is to enlarge the
footing and place one or more of the columns in the same footing to enable the
center of gravity of the columns loads to coincide with the center of the footing
(Figure 1. . The assumption here is that the footing is rigid. The column loads
are taken as point loads and distributed into the footing. The footings are
statically determinate for any number of columns. The column loads are known
and the resulting pressure is shown in equation 1.37

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q=ΣP/ A 1. 2

P1 P2

variable
S S

Figure 1. 21 Combined rectangular footing

Trapezoidal shaped footings

A trapezoidal shaped footing is required when a combined rectangular footing
will not result in uniform pressure. This is usually so when the space between
the combined footings is constricted as shown on Figure 1.22.

b
a
X’

Figure 1. 22 Trapezoidal footing

From Figure 1.22 the position of the centre of area of the footing is x’. The
centre of the area is to coincide with the center of gravity of the loads from the
two or more columns being supported by the trapezoidal footing. The position
of the base cannot be extended beyond the length dimension L. L is therefore a
known dimension. The value of the area of the foundation is obtained from the
allowable bearing pressure and the total column loads ( A=ΣP/q a ). . The area

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of the base is shown in Equation 1.38 and the position of the centre of the area
is shown in Equation 1.39. The solution to the two equations leads to unique
values of a and b representing the dimensions of the trapezoidal footing.

a+b
A= L
2 1. 2
L 2a+b
x 1= ∗
3 a+b 1. 2

From Equation 1.39 and Figure 1.22 it can be seen that the solution for a=0 is a
triangular footing and for a=b it is a rectangle. The solution for a trapezoid
footing exists only for

L
¿¿
3

Strap or cantilever footings

A strap footing is designed to connect an eccentrically loaded column to an
interior column as shown on Figure 1.23. The strap is used to transmit the
moment caused by eccentricity to the interior column footing so that a uniform
soil pressure applied to both footings. The strap serves the same purpose as the
interior portion of combined footing and is used in lieu of combined rectangular
or trapezoidal footing. Equations 1.40 through 1.43 are used to proportion the
footing dimensions. The value of eccentricity e is chosen arbitrary by the
designer. Unique solution of the strap footing is not always possible

S
R1 =P1
S1 1. 2
R2 =P1 +P2 −R1 1. 2
L1 /2=e+ x 1. 2
R1 =B 1∗L1∗q a and R2 =B 2∗L 2∗qa 1. 2

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P1 P2
s

e s1 L2
x

L1/2

R1 R2

Figure 1. 23 Typical strap footing

Three basic considerations for strap footing design are:-

a) The strap must be rigid (Istrap/Ifooting>2. This rigidity is necessary to avoid

rotation of the exterior footing.
b) The footing should be proportioned to approximately the same soil
pressures and avoidance of large differential settlements
c) The strap should be out of contact with the soil so that there are no soil
reactions and is weightless

A strap footing is to be considered only as a last option when other options

would not work. The extra labor involved in the forming of the deep beam and
accompanying costs make it only an attractive alternative when other options
have been exhausted.

Raft foundations
A raft foundation is a large concrete slab used as a foundation of a several
columns in several lines. It may encompass the entire foundation area or only a
portion. Raft foundations are generally used to support storage tanks, several
pieces of industrial equipment or high rise buildings. Figure 1.24 shows some
typical raft foundations
A raft foundation is used where the supporting soil has a low bearing
capacity. Traditionally the raft is adopted when pad and structural wall
foundations cover over half the area enclosed by the columns and the structural

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walls. However this should be evaluated on a case by case basis since the raft
foundations end up with negative moments and top and bottom reinforcement.
This arrangement could end up being more expensive than closely spaced pads
which require only bottom reinforcement.

(a) (b) (c)

(a) Flat slab; (b) Thickened under columns or beam slab (c) Basement walls as part
of the raft or cellular construction

Figure 1. 24 Common types of raft foundations

The advantages of the raft foundations over the other foundations include:-

a) The effect of combining the column bases is increase in the bearing

capacity of the foundation. This is because the bearing capacity increases
with the breadth of the base.
b) The raft foundations bridge over the weak spots
c) They reduce settlement and are particularly suitable for structures
sensitive to settlement.

Raft foundations are usually designed as infinitely rigid in comparison to the

supporting soil. This assumption simplifies the pressure under the raft to a
linearly distributed contact pressure. The centroid of the contact pressure
coincides with the line of action of the resultant force of all the loads acting on
the raft. Figure 1.25 shows the pressure distribution and the resultant of the
vertical loads.

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Resultant of column and wall loads

σmin
σmax

Resultant of soil pressure

Figure 1. 25 Linear pressure distribution below a rigid raft

A raft foundation is considered as rigid if the column spacing is less than 1.75/λ.
λ is given by Equation 1.44

[ ]
1/ 4
K s∗b
λ=
4∗E c∗I
1. 2

Where Ks = coefficient of sub-grade reaction

B = width of strip of the raft between centers of adjacent bays
Ec = modulus of elasticity of concrete
I = the moment of inertia of the strip of concrete
λ. = characteristic coefficient

Bowles (1982) suggests that the coefficient of subgrade reaction be estimated

from Equation 1.45.
K s =40∗F∗qa 1. 2
Where F = the factor of safety applied to the ultimate bearing capacity
qa = the allowable bearing capacity
Equation 1.44 is applicable when the column loads do not vary in magnitude by
more than 20%. The column loads should also be uniformly spaced. The
design of the raft follows the following basic steps

a) Compute the maximum column and wall loads

b) Determine the line of action of the resultant of all the loads

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c) Determine the contact pressure distribution using Equation 1.46. Figure

1.26 shows the arrangement of the columns and the eccentricities with
respect to x and y axis.

ΣP ΣP∗e y∗y ΣP∗e x∗x

σ ( x , y )= ± ±
A Ix Iy 1. 2

Where ∑P=total loads on the raft

A = Total area of the raft
x, y =Coordinates of any point on the x and y axis passing through the
centroid of the raft
Ix and I y = moment of inertia of the area of the raft with respect to the x
and y axis respectively
ex and ey = the eccentricities of the resultant force in the x and y direction

It is conventional to obtain the pressures at the four corners and then interpolate
in between to enable the determination of moments and shears for the structural
design of the raft y

P1 P2 P3

∑P
ex
B
x
P4 ey
P5 P6

P9
P7 P8

Figure 1. 26 Raft foundation plan showing column loads

1.3.2 General consideration in the selection of the foundation depth

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Once the geometry of the foundation of the foundation has been found, it is
necessary to determine an appropriate depth of the foundation. The following
are general considerations which the designers should take into consideration.

a) Usually the foundation should be placed below the depth with minimum
moisture variation over the years. This eliminates the shrinkage and
collapse effects of the foundation soil. In this country a depth of between
1.0 and 1.5 metres is usually sufficient.
b) The foundation should be placed below top soil and below depths with
roots of tress. The roots are potential water paths which weaken the
foundations.
c) The foundations should be sited with due consideration to existing nearby
structures. The exaction of the foundation in the vicinity of the existing
structures could lead to loss of lateral support of the neighboring
structures.
d) Special attention should be taken to foundations supported on expansive
soils and those on loose sandy silts which are likely to be saturated during
the lifetime of the structure.
e) For water structures viz: - river bridges it is necessary to take extra care to
ensure that scouring of the foundation vicinity does not impair the safety
of the foundation. It is usual to use gabions in areas where scouring is
likely to erode the foundations such as downstream of box culverts and
around abutments and pier foundations
f) It is preferable to place foundations at one level throughout. None the
less if it is not practical to have the foundations at one level, the change of
level should be at one plane. Sloping foundation levels should be
completely avoided even if they are on rock. There is a risk of the
foundation sliding.

1.3.3 Foundations for common buildings

This section deals with foundations for ordinary common buildings. These are
single and double storied buildings with structural walls as the main form of
support. The spans should generally not be bigger than six metres. The
buildings are generally on good bearing soils. The bearing soils include red
coffee soils, gravelly soils and firm sandy, gravelly clays. The footing for these

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common buildings is shown on Figure 1.27. The 600 mm width is a practical

width which allows masons to maneuver into the trench.

200-150 mm thick
masonry wall 100mm slab with BRC no 65 at the top
face

200-150 DPC Damp proof membrane

150 mm minimum drop

100-200 mm thick hardcore
dropasountonsd
A minimum of 1000 mm
depth of foundations
600mm wide x 200mm deep
mass concrete foundation

Figure 1. 27 Typical strip footing for an ordinary building

The following are the general considerations in the usage of the standard
footing.

a) No reinforcement is needed for strips where the load can be distributed

through 45o.
b) The foundations should be excavated and the last 150mm excavation be
finalized when the concreting can be done without further delay. This
minimizes the softening of the foundation
c) The mass concrete is in mass concrete usually by volume batching to
achieve grade 15 concrete. A ratio of 1:3:6 for cement sand and ballast
respectively is generally sufficient.
d) Reinforced concrete foundations are done for areas with concentrated
loads. These are usually column supports. Grade 25 concrete is the
lowest class of concrete allowed in the new BS 8110, but grade 20 of
concrete can be considered.

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1.4 Foundations for difficult soils

1.4.1 Foundations on expansive clays

Introduction
The problems associated with expansive soils arise as a result of alternate
heaving and shrinkage of the clays. These soils are typically black or grey and
are referred to as black cotton soils in this country. The cycle of expansion and
shrinkage is a result of ability of the clays to take in water and retain it in its
clay structure. The water absorption leads to expansion of the clay and causes
strains in the foundation and the structures supported thereupon. The strains
eventually cause the cracks to appear on the walls. The result is structural
safety and aesthetics of the buildings are compromised
The clay minerals include montmorillonite, illite and kaolinite as
discussed in FCE 311. The montmorillonite clay mineral is particularly prone
to heaving and shrinkage. Soil having more than 20% of montmorillonite are
particularly prone to swelling problems
In addition to visual identification the expansive soils can be identified by
assessing the swell potential of the soils. This is done by conducting an
odometer test which measures the free swell and the swell pressure attained in
an odometer when a sample held in an odometer ring is kept at the same volume
as swelling is induced by allowing the sample to take in water. Some of the
Nairobi black cotton soils have been found to have a swell pressure of up to 350
kN/m2. Chen ( ) has related swell potential to plasticity index as shown on Table
The following methods can be applied to mitigate damage control

a) Moisture control
b) Soil stabilization
c) Structural measures

Figure 1. 28 Relationship of swelling potential and plasticity

Swelling Potential Plasticity index (PI)
Low 0-15
Medium 10-35
High 20-55
Very High Over 55
Source (Chen, )

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Moisture control
The main course of heave and shrinkage is the fluctuations of moisture under
and around the structures in question. Depending on the topographical,
geological and weather conditions the natural ground water fluctuates during the
year. This seasonal fluctuation decreases with depth. In some areas the depth
to the fluation zone is as low as 1.5 meters. In other areas it will be deeper going
down to over three meters. In addition to the ground water fluctuation the
surface water from rains or bust pipes seeps into the foundations and course
moisture migration.
A satisfactory solution to the problem would to devise an economical
way of stabilizing the soil moisture under and around the structure. It does not
matter whether the moisture is maintained high or low in so far as it can be
maintained throughout the year. An effective procedure of achieving this is to
provide a water tight apron of approximately one metre round the building. A
subsurface drain one metre round the building is provided with augur holes
provided at every 2 meters. The holes are filled with sand and interconnected at
the top. In effect the augur drain is and the impervious apron ensures that the
moisture at the foundation area remains the same. Figure 1. 29 shows such an
arrangement of the drains for ensures that the moisture content of the
foundations remain the same
The subsurface drain is used to intercept the gravity flow, or; perched
water of free water to lower ground. It also arrests capillary moisture water
movement. The subsurface drain should be lend to a positive outlet. In general
the ground surface around the building should be graded so that surface water
will flow away from the building foundations all h the time.

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Building Positive drain to outfall

away from the building

a) Location of sand drain around a building

Ground floor with double mesh A142

Masonry walling
Original ground level

2 meter wide water tight apron

Compacted granular material at

Coarse sand drains at 2 metre intervals
high water content

Expansive soil

b) Sand drain and apron detail

Figure 1. 29 Typical sand drain treatment of a building

Soil stabilization
Soil stabilization consists of one of the following operations
(a) Pre-wetting or flooding the in-situ soil to achieve swelling prior to
construction.
(b) Compaction control
(c) Soil replacement

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(d) Chemical stabilization

Pre-wetting or flooding the in-situ soil to achieve swelling prior to construction

involves the flooding of the site under consideration prior to construction. The
soil would heave and the potential danger of cracking is eliminated. Pre-
wetting has been used with success when the active zones are not large. It is
very difficult to saturate high plasticity clays. There is danger that expansion of
the clays could continue after the construction has taken place. This procedure
should be considered for stabilizing pavement or canal linings. In only rare
cases should the method be considered for use below ground floor slabs. Its
application below building foundations is risky and questionable.

Compaction control has been used in pavement construction. Expansive clays

expand very little when compacted at low densities and high moisture contents.
But will expand considerably when compacted to high densities at low moisture
contents. The approach is to compact swelling clays at moisture contents
slightly above their natural moisture content for good result. In this method it is
not necessary to introduce large amounts of water into the soil. Dry compaction
of expansive soils was done along the Lodwar-Kakuma road.

Soil replacement is the simplest an easiest solution for slabs and footings
founded on expansive soils. The expansive foundation soils are replaced with
non-heaving materials. The method requires the selection of the replacement
material and the depth to replacement. In Nairobi the depth of the expansive
black cotton soils is in the region of 1.0 to 1.5 metres. In this case it has been
found desirable to remove the entire expansive soil below buildings and replace
with suitable granular material. When the expansive soil is deeper building
slabs can be constructed above the compacted soil covering the expansive soil
but the foundation of main structure needs further consideration.
This method is particularly useful for the construction of highway
pavement in a site completely overlaid with expansive soils where the
alternative to reroute the road is not viable. In this case it the lower expansive
soils are overlaid with the compacted replaced material to a depth of 1.5 metres.

Chemical stabilization is the process of mixing additives like cement and lime
to expansive soil to alter its chemical structure and in the process retard its
potential expansiveness. Lime reduces the plasticity of the soil and hence its

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swelling potential. The amounts used range from two to eight percent by
weight. Cement on the other hand reduces the liquid limit, plasticity and
potential volume change. Stabilization has been used mainly in highway and
airport construction.

Structural measures include several methods have been reported in literature

such methods include

(a) Floating foundation

(b) Reinforcement of brick walls
(c) Foundation on piles

Floating foundation concept is a providing a stiffened foundation. This is

essentially a slab on ground foundation with the main supporting beams resting
on non-cohesive non heaving material. The slabs are designed fixed on the
beams that assuming a heave pressure of 20 kN/m 2. This magnitude is small
considering that the swell pressure of the expansive soils commonly found in
Kenya has been estimated at between 300 and 500 kN/m2. Results of such an
approach have been mixed where they have been tried. This method needs
further research.

Reinforcement of brick walls have been tried in South Africa. In this method
reinforcement is placed in brick walls. The reinforcement is placed where
cracking usually takes place. This is typically above and below openings. The
structure is made also semi flexible by providing joints in the brickwork so that
when heave takes place the building will conform to the new ground shape and
consequently reduce the bending moment induced in the walls. The joints are
typically 1.5cm.

Foundation on piles is a very successful procedure which ignores the heave by

placing the footing to a sufficient depth (Figure ). The depth of the pile should
leave an expansion zone between the ground and the building to allow the soil
to swell without causing detrimental effect to the building. One way of
installing the piles is to provide a pile with bell at the bottom. The bell or under
reamed section should be well below the active zone. The bell is installed with
special equipment and anchors the pile into the ground. The pile can be
installed in an oversize shaft which is subsequently filled with straw saw dust as

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filler to eliminate uplifting of the pile by heaving soil. Alternatively the pile
could be a straight and the effect of the uplift calculated using Equation 1.47
The friction below the active zone is utilized in the calculation of the bearing
capacity of the pile.

U =πDfuh 1. 2

Where U = the total uplift

D = the diameter of the pile
h = the depth of the pile in the active zone
u = the swelling pressure
f = the coefficient of friction between the pile and the soil
f may be taken as 0.15 while the swelling ;pressure varies between 250 and 500
kN/m2

Beam Beam
Active zone

Uplift

Uplift
h

Active
zone
friction

friction
Skin
Skin
h1
Stable

Stable
zone

zone

Straight pile Under ream

Figure 1. 30 Pile systems for expansive soils

1.4.2 Foundations on loose sands

Foundations on loose sands are particularly difficult due to the likelihood of
collapse in the event of large storms. The storms result in the realignment of the
sand particles and consequent settlement due to repacking of the sand support.

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This has resulted in large cracks in buildings which have been placed on this
type of foundation soils. The foundation soils subsequently loose there bearing
capacity and the result is settlement of the foundations. The superstructure has
to absorb the settlement usually with resultant cracks of walls and structural
elements.
A real case story is one of the Garissa teachers college whose buildings
were placed on sand strata. The area is generally dry but when the rain comes,
it usually very heavy and comes in large storms. The performance of the three
building types of structures adopted at Garissa teachers college forms a case
study whose findings are used to suggest a construction procedure for
foundations and masonry superstructures on loose sands.
The main teaching bungalow consisted of buildings constructed with a
ground beam which was framed with columns and a concrete roof slab. The
masonry was thus reinforced at the corners with columns and subsequently
bound at he top by a ring beam and at the bottom with a ground beam. These
types of buildings were found to have performed well several years after
construction. This type of construction produced a satisfactory type of
constructed and when the buildings were inspected ten years after construction
the structural frames and the infill masonry walls were performing well.
The second type of buildings consisted of three and four and three storied
flats. As in the case of the previous buildings these types of buildings were
found to have performed well ten years after construction
The third type of the buildings was the staff residential bungalows. These
were constructed with a ground beam and masonry walls. The roof of the
buildings was a concrete slab. However as the rains came and went in there
stormy characteristics the residential houses developed cracks in the walls. The
cracks were particularly severe in the external walls and after about 10 years of
service and needed attention (Plate 1.1
Based on the satisfactory behavior of the framed structures it was found
prudent to introduce columns at the masonry wall corners in a repair scheme.
Plate … It is therefore recommended for foundations on loose sands the
masonry should be reinforced with columns at the corners. In addition the
foundations should be kept as far as is possible free from percolating water. In
this way the in the event of settlement the frame will be able to absolve the
stressed attributable to additional settlement and reduce the severity of the
cracks.

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Plate 1.1 Cracks in the walls occasioned by settlement of the foundation

Plate 1.2 Introduction of columns to stiffen the walls

1.5 Tutorial examples on chapter one

1 A column is carrying a load of 1200kN. The column is located 300mm

form the boundary of wall. Calculate the pressure distribution if the
column is founded on a square base of 1500mm x1500mm. is the
foundation safe if the allowable bearing pressure is estimated at
300kN/m2

2 An internal column is carrying a load of 2400kN. It is located 3000mm

from the column described in Question 1 Design:-
a. a suitable combined base for the two columns
b. A suitable strap footing for the two columns

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3 Your client acquires the next plot and you are not limited by the boundary
wall. Calculate the safe bearing pressure below the columns described in
questions 1 and 2. Assume a detailed site investigation has established
the following strength parameters.

C’ = 10kN/m2, φ’ =20o, γsat = 18 kN/m2, γb= 16 kN/m2,

4 Four columns are carrying a tower. If the columns are on a square grid of
2.5mssquare, calculate the pressure at each of the four column positions if
a raft foundation of 3 mmx3m is designed to carry the foundation loads
estimated at 4000kN, 5000kN, 6000kN and 7000kN

University of Nairobi –FCE 511 Geotechnical Engineering IV

Chapter two

Deep Foundations

Deep foundation can be categorized into three major types. These include

i. Pile foundations
ii. Drilled piers
iii. Caisson foundations.

The ground and structural conditions which require the use of the two types are
discussed under each of the sections dealing with the two types of the
foundations.

2.1 Pile foundations

2.1.1 Introduction

Pile foundations are structural members used to transmit surface loads to lower
levels in the soil mass. They are used when soil beneath the level at an
appropriate raft or conventional footing is too weak or too compressible to
provide adequate support to the structure load. The piles have small cross-
section area compared to their lengths. The pile materials generally include
timber, steel or concrete. The transfer is by vertical distribution of load along
the pile surface and at the pile end point.

Piles may be used in the following circumstances

 - 52- Deep Foundations

a) To transfer loads to a suitable bearing layer when weak strata is ignored

and the load is transferred to an overlying strong bedrock or compact
layer.
b) To transfer load through the shaft friction when compact layer is very
deep and would be impractical to reach it
c) To support structures over water where conventional exaction and
construction of the foundation is not possible or very expensive to
achieve.
d) To reduce settlement and in particular differential settlement
e) Based on cost. It might prove economical to drive piles down the strata
and then build on top of the piles instead of having to excavate deep
layers and then construct ordinary foundations
f) In structures which have considerable uplift, horizontal and/or inclined
forces. This is especially true for marine and harbor works.
g) To increase the bearing capacity by vibration and compaction of granular
layers of soil.
h) In soils where deep excavations would result in damage of existing
buildings.

Piles can be distinguished by the function they are intended to perform or by the
material and construction procedures used in their construction. The various
types of piles by function are shown on Figure 2.1. The main function of the
piles is to take the loads by end bearing or by friction or by combination of the
two. Other functions exist and two which can be sited here include tension piles
and fender piles. The tension piles take lateral forces in place of traditional
retaining walls while fender piles also referred to as dolphin piles are marine
structures principally for taking horizontal loads from vessels in the docking
areas. Section 2.2 is presentation of piles by their material and construction
procedures.

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Soft soil

Soft soil Soft soil

Friction
resistance Firm
strata

Hard
strata

End bearing pile Friction pile Combination

Impact from floating

object

Tension resistance

Tension pile Dolphin or fender pile

Figure 2. 1 Types of piles by function

2.1.2 Classification of Piles by materials and construction

Piles are constructed in a variety of properties of materials, construction

methods and functions. This makes as simple classification difficult.
Notwithstanding theses difficulties they are classified in accordance with the
pile materials and method of construction (Figure 2.2). This classification also
identifies the pile materials. The principal timber materials are timber, concrete
and steel.

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b) RC d) Cast in-situ
a) H and c) Shell
Precast pile e) Bored pile
pipe piles tube withdrawn
Pile

Figure 2. 2 Principal Types of piles

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2.1.3 Driven piles

To install prefabricated and some form of cast in place piles it is necessary to
displace soil by driving the piles. The piling is commonly done by means of a
hammer. The hammer operates between guides or leads by use of lifting cranes.
The leads are carried by the cranes such that they can drive vertical or raking
piles. The piling assembly may be mounted on base suitable for operation on
land or on a floating pontoon in the case of piling in the sea.
The hammers may be free falling operated by a clutch release
mechanism. Alternatively they are powered by diesel or steam. There are
several forms of mechanical devices and equipment in the market used by piling
contractors. In order to reduce the impact stresses on the hammer and the piles
it is normal to strike the pile through a hammer cushion. The elements of
cushion vary but are mainly wood packing in a steel cap or dolly. The various
elements in the cushion not only protect the top of the pile but have a significant
influence on the stress waves developed in the pile during the driving. The
rating of a hammer is based on the gross energy per blow. For a drop hammer
the rated energy is the product of the hammer and the height of fall. The
efficiency of the hammer is the defined as the energy delivered at impact
divided by the gross rated energy. Energy having been lost in the dropping of
the hammer to pile. For driving piles to great length the hammers have energies
of between of between 50kNm to over 180kNm.
Piles are installed by impact hammers and driven to a resistance
measured by number of blows required in the final stages of piling. For wood
piles the energy would be limited to about 3 to 4 blows per inch when energy of
15kNm is applied by the hammer. If the pile is to be driven through heaving
strata then, it might be necessary to predrill the borehole where the pile is to be
driven. This eliminates undesirable heaving. Additionally if the pile is to be
driven through dense layers of sand and gravel it is possible to loosen the hard
strata by sending a stream of water jet with specially adapted equipment. The
various types of driven piles are now described.

Timber Piles
Timber piles are made of trunks of timber. The timber should be preserved to
prevent decay. Untreated timber embedded below the ground water table has a
long life. If the timber is exposed to alternating wetting and drying it is subject
to decay. These types of piles are not very common.

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Steel Piles
Steel piles (Figure 2.2a) are usually in form of H-Piles and pipe piles. H piles
are preferred where high depth is required while the pipe piles are usually filled
with concrete after driving.
In the case of H-Piles the flanges and the web are equal thickness in
order to withstand large impact forces. Steel H piles penetrate the ground more
readily than other pile types because of the relatively small cross-section area.
They are subsequently used to reach stronger bearing stratum at great depth.
Steel H piles have also relatively large bearing capacity of between 500 and
2,000 kN per pile depending on the size of the H section. The pile H sections
are usually 250x250 to 350x350 with varying section thickness.
Pipe piles are of the range of 250mm to 750 mm diameter. The wall
thickness is usually over 2.54mm. In the event that the wall thickness is less
than 4.54mm the pile has to driven with a mandrel. When the thickness of wall
is over 2.5mm the pipe acts with any concrete in carrying the load. Pipe piles
are usually driven with the lower end closed with a plate. In some instances
conical driving shoes have been attached. The advantage is not significant.
Steel piles are subjected to corrosion. The corrosion is minimal when
the entire pile is embedded in natural soil. However, the corrosion can
significantly increase in the event of entrapped oxygen. Zones of water table
variation are particularly vulnerable. Severe attacks are encountered on sea
structural sections exposed to high and low water tides where the salt sprays can
significantly cause corrosion. The standard practice is to use piles which have a
factory applied epoxy coating. The most vulnerable sections of the piles should
be encased in concrete.
Hard driving and driving through obstructions causes the piles to twist
and bend. They can easily go out of plumb without the piling team recognizing
since the depth is at depth. Deviations from the vertical of below 10% are
usually accepted. A penetration of 2 to 2.5mm per blow should be considered
as refusal and further driving would generally cause deterioration.

Pre-cast Concrete Piles

Pre-cast Concrete Piles (Figure 2.2b) are usually cast in a casting yard and
transported to the construction site. Where hard driving is expected the tip of
the pile is fitted with a driving shoe. They are usually of square or octagonal
section. The reinforcement is necessary within the pile to withstand both

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handling and driving stresses. It is necessary that the exact length to be installed
be determined accurately. If the required length is underestimated, the
extension can be done only with a lot of difficulties. If the length provided
proves to be longer than needed at the site, the piles have to be cut again with a
lot of difficulties.
Pre-stressed concrete piles are used and generally have less
reinforcement. The pre-stressing reduces the incidence of tension cracking
during handling and driving. The difficulties related to the pre-cast concrete
piles also apply to the pre-stressed concrete piles
Pre-cast concrete piles have relatively large bearing capacity of between
800 and 2,000 kN per pile. The presence of high concentrations of magnesium
or sodium sulphate in the piled environments causes the piles to deteriorate.
The deterioration is in the form of rust in the reinforcement, cracking and
spalling. The best practice is dense concrete of high quality or the use of pre-
stressed piles which are not so much susceptible because tension cracks are
minimized.

Driven cast in place piles

Driven cast in place fall in two categories namely case or uncased type. In the
cased type also known as shell the shell type a corrugated steel or pipe which is
driven into the ground. The driving is terminated when the desired length of the
pile has been achieved. The concrete is poured in the shell and left place. In the
shell is then left in place. Figure 2.3 shows the schematic installation of a shell
type pile.

RC shells threaded on mandrel

and set in position
Pile driven to the required set
Mandrel is withdrawn and top
shells above the top of the pile
are removed. A cage of
reinforcement is introduced
Core concrete is inserted
(1)

(2) (3) (4)

`

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Figure 2.3 Shell type of pile

In the uncased type a steel tube is driven into the ground and tube is withdrawn
upon concreting. Figure 2.4 shows the schematic installation of a typical
driven cast in situ pile where the casing is withdrawn. The pile illustrated is also
known as a Franki pile.

(1)A gravel pug is compacted at

the lower end of the pile tube
Pile driven to the required set
(3)Plug broken and a concrete
plug is formed
Core concrete is inserted
(1)
Tube is withdrawn as concrete is
placed

(2) (3) (4) (5)

Figure 2.4 Installation of a Franki pile

Difficulties encountered in the installation of driven piles

The installation of driven piles has difficulties due to various factors incidental
to the installation procedures and to the ground encountered at the sites. These
difficulties are varied but the main ones include:-

a) Handling of the preformed sections which could lead to damage of the

piles before installation.
b) Noise arising from the hammer dropping on to the pile. This can be
particularly undesirable in sites in the busy neighborhoods.
c) Spoiling of the pile in the driving operations include the spoiling of pile
heads and or pile toes. This usually takes place due to overdriving piles
when refusal has been reached. It is usually sufficient to achieve a
penetration of 2-2.5 mm per blow in the last stages of piling.

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d) Piles of small cross-section especially H piles driven in boulderly strata

could easily alignment. Vertical piles could end up having bent up
shapes and hence lose their carrying capacity.

2.1.4 Bored piles

Bored piles are also known as cast in place concrete piles (Figures 2.2c-e. The
borehole is effected by various methods using piling equipment. The bore is
supported by casing or by drilling mud (bentonite suspension). At the required
depth boring is stopped and the hole is filled with concrete. If required a cage
of reinforcement is placed before concreting is done. With the use of bored piles
larger diameter piles have been installed with corresponding high bearing
capacities. They are constructed in diameters ranging from 300mm to as high
as 2400mm. They have been performed to depths of 70 metres and below and
can be constructed vertically or in rakes of up to 1:4. They are thus ideal for
many site conditions. The construction sequence of bored piles depends on the
method of construction adopted. The main construction methods include bored
piles with casing support and bored piles with bentonite support.

Bored piles with casing support

In this type of pile the casing is advanced by a crane and a casing oscillator.
The material below the casing area is excavated and brought up for examination
and testing where necessary. After the depth needed has been achieved the
reinforcement cage is inserted followed by concreting as shown on Figure 2.5

Bored piles with bentonite support

In this type of pile a lead casing is advanced into the soil. The material below
the casing area is excavated and brought up by use of drilling equipment with a
bucket which can bail out the drilled soil. The excavated soil is examined and
tested where possible. The drilled hole is supported by drilling mud After the
depth needed has been achieved the reinforcement cage is inserted followed by
concreting as shown on

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Install casing usingAdvance

an oscillator
the casingInsert
and excavate
reinforcement
withPlace
grab
cage
concrete with a tremie
Complete
pipepile
as casing is withdrawn

This installation is particularly desirable in gravelly and boulderly conditions

a) With casing

Install starter casing

Advance into the soil Insert
by drilling
reinforcement
and supporting
Place
cageconcrete
and
withrecycle
bentonite
withbentonite
aComplete
tremie pipe
pileas casing is withdrawn

This installation is suitable in all soils

b) With betonite support

Figure 2.5 Installation of a bored pile with drilling mud

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Difficulties encountered in the installation of bored piles

The difficulties associated with the installation of bored piles are also varied but
the main ones include:-

i. Poor base preparation after the bearing strata has been reached. Loose
particles will have reached the bottom of the bore and will be difficult to
detect or remove. The base the pile will consequently have a lower
bearing capacity than would have been expected
ii. Poor concreting control where the pile is being cast under artesian
conditions. This usually results from poor shaft control as the concreting
continues. The result is necking of the concrete and/or washout of
various sections of the pile. Under ideal conditions the concreter under
tremie conditions should always be placed inside the wet concrete.
iii. Vibration and movement of the ground in the vicinity of the pile under
construction.

It is to be noted that these difficulties are also present in the driven cast in place
piles where the casing is withdrawn as concreting proceeds

2.1.5 Determination of pile load carrying capacity

Determination of load carrying capacity by soil mechanics
Pile design is preceded by extensive site investigation to establish the
geotechnical properties of the soil where the piles will be installed. The
parameters obtained in the investigations are then used in the estimation of the
load carrying capacity of the piles. Piles derive their capacity from base
resistance and from side friction. The ultimate load that can be carried by a pile
is then given by Equation 2.1. The terms are explained in Figure 2.6. The
accuracy of the equation depends on the determination of the parameters used in
the determination of Qb and Qs.

Qu=Q b+ Qs

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Where
Qu= Ultimate Load carrying capacity of the pile
Qb=¿ Ultimate Load carrying capacity of the base of the pile
Qs = Ultimate Load carrying capacity of the pile side friction
Q u = A b qf + A s f s 2. 3

Where
Ab= Area of the pile at the toe of the pile
qf = Ultimate bearing capacity at the toe of the pile
A s= Surface area of the pile shaft
f s = Ultimate shearing resistance of the shaft of the pile generally referred
to as the shaft friction

An appropriate factor of safety is applied to the ultimate load. It is prudent to

apply different values for the base and the side friction. This is primarily
because the movement needed to mobilize the friction resistance is much less
than the movement needed to mobilize the base resistance. Initially as the pile
is loaded the load is taken by the side friction and as load is increased the base
takes more load. At failure the proportion of load supported by friction may
actually decrease slightly due to plastic flow of the soil near the base of the pile.
Equation 2.2 shows the allowable load when allowing for a factor of safety of 2
and 3 for side friction and base resistance respectively.

Q s Qb
Q a= + 2.3
2 3

Qs

Qb
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Figure 2.6 Load distribution of load on a pile

Cohesive soils
Base resistance: The base resistance Qb of piles in cohesive soils is based on the
bearing capacity factor Nc .

q f =N c c b

Qb=N c c b A b 2. 3
Where
N c = bearing capacity factor which is usually taken as 9.0
c b = undisturbed un-drained shear strength of the soil at the base of the
pile
Ab = the cross section area of the pile at the base

In the case of driven piles the clay adjacent to the pile is displaced both laterally
and vertically. Upward movement of the clay results in heave of the ground
around the pile and can cause reduction of the bearing capacity of the pile. The
clay in the vicinity of the pile is completely remolded during driving. Excess
pore water pressures are set up during driving. This pore pressure dissipates in
a few months and in any case before significant load is applied to the pile
In the case of bored pile, the clay area around the pile will be remolded.
Additionally as the water seeps towards the created borehole their softening of
the soil in the vicinity of the pile. Water can also be absolved from the wet
concrete when it comes in contact with the clay. The upshot of this is and
subsequent reduction of the pile bearing capacity.

Side resistance is based on the friction mobilized on the surface of the pile.
Equation 2.4 and 2.5 shows the estimation of the side friction

f s=α c u 2. 3

Qs =α c u A s 2. 3

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Where
α = adhesion factor between the pile and the soil
c u = the average undisturbed shear strength of soil adjoining the pile
A s = the shaft area which contributes to the friction resistance
Most of the load of a pile installed in a clay soil is derived from the shaft
friction and the problem usually revolves accurate determination of the value of
α. For soft clays driving of piles tend to increase strength around the pile. A
value of α equal to 1 can be used. It is however unlikely that the soil will not in
the long run return to its original soft status after some time. In over-
consolidated clays the value varies from 0.3 to 0.6 (Smith and Smith, 1998). A
value of 0.45 is usually used for design purposes.
An alternative is approach is to express skin friction in terms of effective
stress. The rationale of this approach is that the area of disturbance during pile
installation is relatively small. The excess pore water pressure induced in the
installation process dissipates ahead of the application of load.

f s=K s σ o tan ´∅ 2. 3

Where
Ks = the average coefficient of earth pressure and
σ o = the average effective overburden pressure adjacent to the pile shaft
∅´ = the angle of internal friction of the remolded clay. The cohesion
intercept of remolded clay in an drained triaxial test being zero.

Cohesionless soils
Base resistance: The ultimate bearing load carried by a pile depends mainly on
the relative density of the sand in which it is driven. The ultimate bearing
capacity at the base of the pile is given by

q f =N q σ̀ o

Where
N q = The bearing capacity coefficient.
σ̀ o = The effective overburden pressure at the base of the pile

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It is to be noted that the bearing capacity attributable to N γ usually ignored in

pile design as the value of B is usually small. The values N qsuggested by
Berezantzv et al (1961) are often used and are shown on Figure

100
Value of Nq

N
q

10
25 35 45

φ in Degrees

Figure 2.7 Bearing capacity factors for use in pile design

Source Berezantzv et al 1961

Side friction: Meyerhof (1959) suggested the average value of friction to be

estimated from Equation 2.6. As can be seen from the Equation the value of fs
continues to increase as the effective overburden increase. However field tests
have shown that the maximum value of fs occurs when the embedded length of
the pile is between ten and twenty diameters. In practice a maximum value of
100 kN/m2 of fs is taken.

f s=K s σ o tan δ 2. 3

Where Ks = the average coefficient of earth pressure and

σ o = the average effective overburden pressure adjacent to the pile shaft
δ = the angle of internal friction between the soil and the pile.
Typical values of δ and Ks are given on Table 2.1 after Smith and Smith (1998)
are shown on Table 2.1. The ultimate load that can be carried by the pile is
therefore given by Equation 2.7.

Table 2.1 Typical values of δ and Ks

Pile material δ Ks

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Loose Dense
Steel 20 o
0.5 1
Concrete 0.75φ 1.0 2.0
Wood 0.67 φ 1.5 4.0
Source Smith and Smith (1998)
Qu= A b N q σ̀ o + A s K s σ o tan δ 2.3

Equation 2.8 shows the allowable load when allowing for a factor of safety of 2
and 3 for side friction and base resistance respectively.

N q σ̀ o A b K s σ o tan δAs
Q a= + 2.3
3 2

Determination of piling parameters from in-situ tests

The above equations pose difficulties with respect to determination of
parameters for a cohesionless soil which is difficult to sample in the field in
undisturbed condition for accurate determination of Nq which depends on the
internal angle of friction. The value of the angle of internal friction between the
soil and the pile remains at best an estimate.
Consequently it has been found preferable to use empirical correlations
based on the results of standard penetration and those of the Dutch cone
penetration equipment. Meyerhof (1976) proposed the values given on Table
below.

Table 2.2 Pilling parameters from standard penetration tests

Driven piles
Type of soil qb (kN/m2) fs (kN/m2)
Sands and gravels 40 ND Large diameter - 2 N
≤ 400
B Average diameter - N
Non plastic silts 40 ND Large diameter - 2 N
≤300
B Average diameter - N
Bored piles
Any types of soils 14 ND 0.67 N
B
Source Smith and Smith (1998)

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Where N = the uncorrected blow count at the base of the pile

N = the average uncorrected value of the blows over the embedded
length of the pile
D = is the embedded length of the pile in the bearing stratum
B = the width or the diameter of the pile.
An alternative to the use of the Standard Penetration tests is to use the Dutch
cone test results. The cone penetration results can be seen in Figure 2.8. The
ultimate base resistance is taken as average value of Cr over a depth of 4d as
shown on Figure 2.8. The ultimate skin friction can be obtained from Table 2.3.

Cr (kN/m2)

Estimated depth of the pile

Depth (m)

3dt
d

Figure 2.8 Typical results from a Dutch Cone Test

Table 2.3 Skin friction (fs) values from Dutch cone test results
Type of pile fs kN/m2
Driven piles in dense sand Cr
200
Driven piles in loose sand Cr
400
Driven piles in non plastic silts Cr
150

Where
C r is the cone resistance along the embedded length of the pile
The allowable bearing load of the pile as before based on the Dutch Cone Test
results is given by Equation 2.9

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CrAb fsAs
Q a= + 2.3
3 2

2.1.6 Determination of load carrying capacity dynamic methods

Determination of load carrying capacity dynamic methods is applicable to
driven piles. The basis of derivation of dynamic formula is that a relationship
exists between the pile capacity and the driving behavior during the last stages
of driving. The energy from the hammer to the pile is transformed into useful
energy and can be represented by Equation 2.10 in the last stages of the pile
driving

M . g . h=R . s 2. 3
Where
M = the mass of the hammer
g = the acceleration of the hammer
h = the drop the hammer
R = the pile capacity
S = the settlement of the hammer as result of the drop h

In practice the above Equation has been modified to take account of several
losses which take place during the driving process. The main losses of energy
occur as a result of sound, heat, friction, quake, losses associated with elastic
behavior of the pile and those associated with the pile head compression. The
net energy is equated to the work done in penetrating the ground by the pile.
Figure 2.9 shows the sequence of the pile driving and the

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Wh
efWh
h efeivWh

a) Variation of energy upon falling of hammer on to a driven pile

Permanent +Elastic penetration

(sso + spp) +(sep +ses)
(sso + spp =set =s)
(sep +ses )=c)

(sso+ses) (sso)
(ses)

b) Penetration of pile upon falling of hammer on to a driven pile

Figure 2.9 Energy and penetration of a pile during driving

The potential energy of the hammer is Wh. Upon contact with the pile the
available energy to drive the pile into the ground is ef.eiv.Wh, where ef is the
efficiency upon falling and eiv is the efficiency upon impact. The penetration
of the pile as shown on Figure 2.9b can be shown to result in
permanent ;penetration attributable to the pile and soil spp aand sso. In addition
there will be elastic penetration sep and ses attributable to the pile and soil
respectively. The work done and the pile resistance equation can now be
rewritten as shown on Equation 2.11.

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c
R .(s+ )=eiv . e f . wh
2

η wh
R= 2. 3
s+ c /2

Where R = The ultimate load capacity of the pile

η = the overall efficiency factor

Equation 2.10 is known as Hiley formula. In the field the final stages of the pile
are monitored and recorded as can be seen on

. It is usual to drive the piles to a minimum set of 2.5mm. Harder driving only
goes to damage the toe of the pile and could reduce the pile capacity in the
process. Pile driving formulas should be used in the piles driven in sand and
gravel and in any case should be calibrated with a load test.

Elastic comp = c3

Elastic comp = c2

Elastic comp = c1
set = s3
set = s2
set = s1

Figure 2.10Pile driving trace of the final stages

2.1.6 Determination of load carrying capacity pile testing

The load test is the most reliable of all the methods used in the determination of
load carrying capacity of a pile. In this method a full scale test is carried out on
a working pile. Essentially the pile is loaded and a plot of load versus
settlement is recorded. From the plot the allowable load is computed by one of

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the many formulas available from literature. Full scale piles are then constructed
to the same specification as the test pile
The test is conducted by loading the pile with kentledge load or by use of
tension piles (Figure 2.11). In some piling contracts the working piles cannot
be used as tension piles for testing purposes. This is primarily because in the
cause of piling test the tension piles are lifted slightly. This could lead to
weakening of the working piles.

Kenteledge
Kentledge
Support Existing ground level
Jack
Test pile

a) Load resisted by kentledge

Existing ground level

Jack

Test pile
Tension pile
Tension pile

b) Load resisted by tension piles

Figure 2.11 Methods of testing piles in the field

If the test pile is a purely test pile ahead of the main installation of the pile the
maximum load to be applied is equal to two and half times the estimated safe
carrying capacity of the pile. It is usual to load the pile to 1.5 times the design
allowable pile load when a working pile is tested for ascertaining the integrity
of the piles installed.

Maintained load test

The load is applied by maintaining the load in a series of increments. The
increments are usually equal to 20 to 25percent of the design working load of

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the pile. The subsequent increments are carried out when the settlement has
reduced to less than 0.25mm per hour. The load is subsequently withdrawn in
the same stages as the loading to trace the unloading curve.
Constant rate of penetration
In this method the load is applied by a constant rate of penetration by a jack in
order to maintain a constant penetration rate (Figure 2.11b). it is usual to
maintain penetration rates of 1.5mm per minute and 0.75mm per minute in the
case of sands and clays respectively.

Interpretation of test results

The results are plotted on a load settlement curve as shown on Figure 2.12. In
the two procedures ultimate pile load is taken as the load which achieves a
settlement equal to 10 percent the diameter of the pile as is seen in test pile a
Figure 2.11b. (BS 8004). The ultimate pile load could also be reached when the
shear failure of the pile soil interface or the pile toe occurs (Figure 2.12b). The
allowable pile load is obtained by dividing the ultimate load by an appropriate
factor of safety. The factor of safety usually ranges from 1.3 to 2.0
Load

Load
Settlement

Time
Settlement

a) Maintained load test results

Ultimate a
load (a)

Ultimate b
load (b)
Penetration =
0.1 pile diameter
Load

Penetration

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b) Constant rate penetration test results

Figure 2.12 Pile test load results

The above failure criterion is applicable to normal size piles. In the case of
large diameter piles on rock the ultimate load depends on the capacity of the
concrete. This depends on the stress in the concrete.

2.1.7 Negative skin friction

Negative skin friction is a phenomenon or which occurs in piles when a force
develops between the pile and the adjoining soil in a direction which increases
the load on the pile and or the pile groups. This phenomenon develops when a
compressible layer of clay, silt, or mud etc settles on account of consolidation
which may be initiated by ground water lowering or increase in overburden
pressure.
As clay layer settles, piles are dragged into the soil by the consolidating
soil and the overburden soil. The direction of the friction is reversed increases
the load on the pile. The friction generated on the perimeter of the pile due to
this dragging is carried by the column instead of assisting in carrying he pile
load. The effect is to reduce the carrying capacity of the pile. This is the
phenomenon known as negative skin friction

. The negative skin friction may be estimated from Equation 212 for
single piles and Equation2. For group piles
Length of settling soil=l

Fill
l-fill

Compressible clay
l-clay

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Figure 2.13 Negative skin friction

F u=f s .l . π . d 2.3

For cohesive soils fs is can be approximated to 0.25 σ o. while for cohesionless

soils fs is equal to K s . tan φ . σ o. Where the value of fs is estimated from triaxial
testing for cohesive soils the fs can be taken as 0.5Cu

Where
F u = the ultimate force generated by the negative friction
C u .= the shearing resistance of the soil
l . = length embedded above the bottom of the compressible layer
d = the pile diameter
K s .= the coefficient of earth pressure at rest
φ . = angle of shearing resistance in terms of effective stress
σ o = average effective overburden pressure

2.1.8 Pile groups

In practice piles are designed and constructed to work in groups. In
construction of a group a pile cap is cat on top of the piles. The cap is usually in
contact with the soil on top of the piles. The bearing capacity of the group is an
arithmetic sum of the piles and that of the cap. Banerjee (1975) showed that
the pile cap could support up to 60% of the applied load. If the cap is clear of
the ground surface piles in the group are referred to as free standing piles.

Bearing capacity of groups

Except for the large diameter piles of over 700mm diameter the piles are usually
designed in groups of three or more piles under a column. The minimum under
a foundation wall would be two per typical cross-section. Typical arrangement
of the piles is given on Figure 2.14. In general the ultimate load capacity of the
pile group is not the sum of the loads of the piles in the group. The ration of the
ultimate load for the group to the sum of the loads carried by individual piles is
the efficiency factor of the group.

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3 – Pile 4 – Pile 5 – Pile

12 – Pile
Figure 2.14 Typical arrangement of pile groups

For piles in sand, the group action is complicated by dilatancy and densification
characteristics of the sand. When the spacing of the piles is less than eight
times the pile diameter, group action takes place (Department of Navy, Naval
Facilities Engineering Command, 1982). In dense sand the effect of driving
piles is to loosen the sand and hence the angle of internal friction of the sand in
the vicinity of the piles. This results in overall reduction of the pile bearing
capacity. The group efficiency factor is less than one. In loose sand the effect
of driving piles is to increase the density of the sand. The bearing capacity of
the loose sand will therefore be increased. In this case the efficiency factor is
more than one. An efficiency factor of 1.2 is often used. In the case of bored
piles in sand the resulting loosening of sand in the boring operation results in
efficiency factors less than 2/3. The difficulties in the quantification of the
design parameters of either loosened or densified sand strata in piling operations
remains a real problem for engineers (Mwea, 1984). Nonetheless experimental
evidence has it that the piles at the centre of a group in sand carry more load
than the piles on the periphery.
For piles in clay the effect of the pile group is to reduce the bearing
capacity of the pile group. This is because the effect of placing piles in a group
is to have one large block taking friction on the sides and base resistance over

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the block base. The spacing of piles in clay is of the order of two times the pile
diameter to four times the diameter. The efficiency of the groups range from
0.6 to unity as the pile spacing increases from two diameters to four diameters.
The ultimate load in the case of a pile group is given by Equation 2.13. In the
case where the pile cap rests on the ground the ultimate load should be taken as
the less of the block capacity or the sum of the individual piles on the group.

Qf =¿1.3 N BL+2 D (B +L)C ¿

c s
2. 3

Where B = The width of the group

L = Length of the base of the group
D = Depth of the group
Nc = Bearing capacity factor of the clay
C s = The average undrained strength of the undisturbed clay

Whitker (1957) in a series of model tests showed that block failure as a group in
clays occurs when the spacing of the piles is not more than 1.5d apart. General
practice is however to space the piles at between 2 and 3d. In such cases the
efficiency of the group is approximately 0.7.

Settlement of groups
The settlement o a group of piles can be estimated by assuming that the entire
load acts at a depth as an equivalent raft. In clays the raft is assumed to be
located at a depth of 2/3 D where D is the depth of the pile group. The load is at
spread of 1:4 from the underside of the pile cap to allow for friction transfer.
After the assumed depth of the raft the load is distributed at a spread of 1:2 (
a). Immediate settlement and consolidation settlement can then be estimated for
the layers of soil below 2/3D by application of normal methods.
For groups in sand the equivalent raft is at a depth of 2/3D b from depth
2/3D. The spread from the perimeter of the piles is 1:4 followed by a spread of
1:2
b). The settlement of the underlying sand stratum is then gotten from
application of standard penetration data and or the cone penetration resistance

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1:4 2/3D 2/3D

D

1:4 2/3Db
Db
1:2
Position of equivalent raft 1:2
Position of equivalent raft
Clay stratum Sand stratum

Figure 2.15 Equivalent raft concept for piles

2.2 Drilled piers and Caisson Foundations

2.2.1 Drilled piers

The term drilled pier foundations is used in a number of situations which to
refer to deep foundations which method of construction is fundamentally
different from that of piles. A large shaft performed in soil and then filled with
concrete may be termed as a drilled pier. ACI (1972) refers to all shafts where a
person may enter and work as a drilled piers. In this definition all shafts larger
than 750mm diameter can be referred to as drilled piers. Figure *** shows
typical piers used in practice. In general drilled piers are used where the soil
has a low bearing capacity and it is necessary large loads to firmer stratum and
the following conditions preclude the use of smaller piles.

i. Pile vibrations are not acceptable.

ii. Pile members are too small for the loads.
iii. A large bearing end is needed for higher load capacity

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Pier socketed Into

Straight pier Underreamed pier Rock

2.2.2 Caisson Foundations

The term caisson is also used to refer to box type structures consisting of many
cells built in, concrete or steel or combination of both. They are built wholly or
partly at higher ground and sunk to final position. They are used to transmit
large loads through water and soil to firm strata. They are used in large bridges,
shore protection structures. They are generally used under the following
conditions.

i. The soil contains large boulders which would otherwise obstruct the
penetration of piles and or construction of cast in place piles.
ii. A massive substructure is needed to extend below the river bend to
provide resistance against floating objects and scour.
iii. Foundation is subjected to very large lateral forces.

Caissons may be divided into three categories

i. Open caissons
ii. Pneumatic caissons
iii. Box caissons or floating caissons

Open caissons
An open caisson essentially consists of a box open at the top and bottom
( Figure 2. A). the soil is removed from the caisson by grabbing, dredging
from inside the caisson. The sinking of the caisson proceeds by the caissons

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self weight assisted by cutting edges of the walls. When the desired level has
been reached concrete is poured under onto the base of the caisson by tremie
pipe. In some cases the caisson has been pumped out. But in most of the cases
the caisson has been left in place. The bearing capacity of the soil below is
usually determined by normal bearing equations.
The concrete seal at the bottom is placed as a plug at the bottom of the
caisson but later serves as a permanent base of the caisson. Its thickness can be
obtained from the equations below

For circular caissons

√
2
σoR
t =1.09
fc

For rectangular caissons

√
2
6 βσ o b
t=
fc

Where
t = thickness of the seal
σo = contact pressure or hydrostatic pressure
R = radius of the caisson in the case of circular caisson
fc = the allowable concrete stress in tension (0.1 to 0.2cube strength)
b= width or the short side of the caisson in the case of a rectangular
caisson
l= length or the long side of the caisson in the case of a rectangular
caisson
β = coefficient which depends on the l/b ratio

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Water level

Ground surface

Cutting edge

Circular open caisson Box caisson

Pneumatic caissons
Pneumatic caissons provide an airtight enclosure. In effect water is prevented
from getting into the enclosure and the workers can excavate and pour concrete
under dry conditions. The reliability of the quality in this case is better in so the
mechanical ventilation is carried out to the strictest of the specifications.
Pneumatic caissons are costly and should be considered only with the following
conditions in mind:

i. Premium pay because of associated health hazards

ii. Overall safety requirements are high
iii. Much of the effort is towards making the work environment suitable for
the workers

When the excavation has reached the desired stratum the concrete is sent down
to the working chamber carefully to fill any weak points on the exposed strata.
After this initial filling the area is filled except a small portion of the chamber
below the roof of the chamber. This final portion is filled with grout which also
fills any spaces which might have been left behind during the concreting.
The seal design and estimation of the bearing capacity is the same as that
of the open caissons

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Compressed air in
working chamber
Figure 2. Pneumatic caissons

Box caissons
Open caissons are usually cast on the ground and then towed to the site. They
area then lowered to a prepared ground. They are carefully aligned on place and
then made stable by placement of ballast. The design and construction of box
caissons do not bring any new design requirements. The ground upon which the
caisson is being laid needs to have been exhaustively investigated to ascertain
the foundation depth and any likely difficulties likely to be encountered. After
the caisson is in place it may be filled with either sand concrete or sand. The
caisson should be checked against stability as it is floated to the final place of
the intended foundation.

Design of caissons
The caissons will be designed to resist vertical loads including superstructures,
own weight minus buoyancy forces. The lateral forces will typically include
forces due to wind, earthquake, earth and water pressures, and traction from
traffic and pressure from current flow.
The forces acting on a caisson must be estimated as accurately as can be
to enable a safe design. There are many methods adopted by various
geotechnical engineers but the for stability of the caisson the following
combination of forces will suffice
i. All forces are resolved into
ii. A single vertical force

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iii. Two horizontal forces in the direction across and along the caisson.

It has been found out that analysis of the caisson in a direction transverse to the
direction of the axis is more critical. From Figure ***-* the three equations of
static equilibrium are solved. This are
W = Base reaction + skin friction
Q = Passive pressure created on BF – Passive pressure on DE – Base
friction
Q (H+D) = Moment of all the forces

Q Q
From structural
analyses
W h

From geotechnical D
analyses

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2.4 Examples of Piling Schemes

Sutong bridge in China

Sutong bridge in China (Plate 1), which has a centre span of 1088m, designed in
an area of high winds and likely to be hit with massive earthquakes (Bitener et
al, 2007). The foundation strata presented the designers with particularly
difficult task. The soils at the site consisted of firm to stiff clay extending to 45
metres below the sea bend. This clay strata was underlain with a medium to
very dense coarse sands, silty sands and occasional loam layers matrix to a to of
250 metres below the sea bed where the basement rock was encountered.
The designed pile groups covered a plan area of 113.8x48.1m. The
design consisted of 2.8 and 2.5 diameter piles. Permanent casings were
installed to a depth of 40 metres. The overall depth of the piles was of the
region of 110 metres. The shafts were designed to mainly be carried by friction
since the displacement needed to mobilize the end bearing is two to three times
that needed to mobilize the skin friction The tips of the pile shafts were
however grouted to increase the bearing capacity of the piles. This procedure
densifies the soil below the shaft and any debris left during the drilling
operations. The increased the pile capacity end bearing capacity is of the order
of 20%.

Plate 1 of the Sutong Bridge in China (1088 m center span)

The Nyali bridge in Mombasa

This is a pre-stressed concrete bridge founded on seabed which had coral
deposits, sand and clay soils matrix proved to a depth of 100metres below the
sea bend. The designers depended on the skin friction for the centre piers. The
design consisted of 2.0metre diameter shafts drilled down to depth of 50 metres.
On plan the piles have a rectangular layout of 3x8 piles per pier.

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2.5 Tutorial examples on chapter two

1) A single pile 0.6 m diameter is bored into sand strata six meters thick
overlying a clay stratum of infinite depth. Detailed investigations have
established that N value in the sand zone increases with depth (n=3Z).
The undrained cohesion increases with depth (Cu = 5+4Z). Assuming the
adhesion factor α = 0.35, determine
a) An equation for the estimation of pile working load if the pile is to
terminate in the sand zone.
b) An equation for the estimation of the pile working load if the pile is
to terminate in the clay zone.
2) A precast reinforced concrete pile measured 450mm x450mm. The pile
was driven to a depth of 15 metres to a set of 3mm by a drop hammer of
2.5 tones freely through 1.5 metres. The piling arrangement was changed
to have a 4.2 tone hammer falling through 2 metres. Assuming the same
resistance with the new hammer, determine the set achieved if the
following information is also available.

2.5 tone hammer 4.2 tone hammer

Overall efficiency factor 0.5 0.35
Elastic compression of pile 4mm 4mm
Elastic compression of soil 4.5mm 5.0mm

3) A pile under test has started showing considerable settlement under load
of seventy tones. The pile diameter is 500mm and a length of 8.5metres
in stiff clay. Assuming below the 8.5metres the clay was soft clay and
did not contribute to any resistance evaluate the magnitude of the unit
shear along its skin. (Answer 10.5tones per m2).

4) A 500mm diameter bored pile is to be made in stiff clay to a depth of

20metres. The un-drained strength of the clay varies with depth as shown
in the following table

Depth 4 6 8 142 16 20 24
Cu (kN/m ) 78
2
86 102 132 157 184 212

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Determine the maximum load that may be applied to the pile. The
following factors may be taken.

Adhesion factor α = 0.45

Overall factor of safety = 2
Nc for piles is usually taken as = 9

(Answer 1025kN).

University of Nairobi –FCE 511 Geotechnical Engineering IV

Chapter Three

Introduction to Earth Dams

3.1 Introduction
Advances in geotechnical engineering have enabled design and construction of
high dams impounding large amounts of water. The design and construction
follows well documented procedures gained over the last years from design
construction and monitoring of both successful and unsuccessful projects. The
procedures now taken include

i) Thorough pre-design and preconstruction investigation of the dam

foundation conditions and of the construction materials and design of
dams.
ii) Application of engineering skills and techniques to design
iii) Carefully planned and controlled construction
iv) Carefully designed and installed instrumentation and monitoring of the
completed dams
The design and construction of a dam is not complete without accomplishing its
intended purpose and has proved it safe over several cycles of the performance.
Carefully designed and constructional dams are in excess of three hundred
meters high. Our own Thika dam which supplies the Nairobi residents with
water rises some sixty three meters above its foundation.
Failures in dams have been occasioned by improper design, inappropriate
construction methods, including preparation of foundations, placement of the
dam embankment layers, without the necessary controls of compaction control
and monitoring. The design and construction should not be stereotyped on
existing dams. Rather each dam should be unique and dependent on the
geology of the available materials. As one embarks on the design of dams it

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should the course of dams the causes of failure of dams has been listed by Singh
and Prakash (1985) as shown on Table 3.1

Table 3.1 Causes earth dam failures

Cause of Failure % Occurrence Type of failure
Overtopping 30 Hydrological
Seepage effects (piping, sloughing etc) 25 Geotechnical
Slope slides 15 Geotechnical
Conduit leakage 13 Geotechnical/Structural
Damage to slope protection 5 Maintenance
Miscellaneous 7 General
Unknown causes 5 General
Source: Singh and Prakash (1985)

The design and construction techniques covered in this chapter are applicable to
all dams. However the design and construction of small dams in Kenya is well
covered in the manual prepared by Ministry of Water (1985). Small dams are
those whose height does not exceed 15 metres and or its impounded volume
does not exceed one million cubic meters (Bureau of reclamation 1985). The
procedures covered in this chapter are inappropriate for the design and
construction of dam materials presenting the followings characteristics

i) Extremely soft, or dispersive or materials with high plasticity

ii) Exceedingly pervious foundations
iii) Exceedingly fractured foundations

These conditions require specialized testing and analysis of the presenting

conditions in order to arrive at an appropriate design

3.2 Selection of type of earth dam

The scope of dams covered is those dams where the major portion of the
embankment is constructed in successful layers compacted in layers. The layers
are well bonded into one another to achieve the necessary requirements of the
particular layer. The materials are borrowed from borrow pits and from the

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reservoir area of the dam. Earth dams fall into three categories namely,
diaphragm, homogenous and zoned

3.2.1 Diaphragm types

This type of dam is constructed with pervious materials namely sands, gravels
and or rock. An impervious diaphragm is constructed to act as the main barrier
to seepage. The diaphragm is usually made of concrete, or bitumen.
Alternatively they are made of thin compacted earth. In this case the width of
the diaphragm at any depth is either less than three meters or it thickness at any
elevation is less than the height above that elevation. Figure *** shows typical
diaphragm type dams
As with all dams the diaphragm dam should be designed and constructed
with care and precision. All internal diaphragms whether made of rigid
materials like concrete or even compacted earth have potential of cracking
caused by differential movement of induced during consolidation of the dam
embankment materials, fluctuating water levels or settling foundations. Internal
concrete diaphragms can not be readily inspected. Earth diaphragms on the
surface require protection with filters, protection against erosion and wave
action. These types of diaphragms are unusually protected by rock fill and rock
riprap. The earth diaphragm is also not readily inspected during routine or
emergency inspections. The earth diaphragms are usually protected from
internal erosion by filters usually in the form of geotextiles.
If most of the material in a diaphragm dam is rock, then this type of dam
is referred to as a rock dam discussed below.

3.2.2 Homogenous types

These types of dams are made up of single kind of material save for the slope
protection. The material in this type of dam must be sufficiently impervious to
act as the barrier for the seepage. Because the impervious materials are
inevitably clays which are weak in stability but good as barrier to the seepage
the slopes tend to be rather flatfish. The usual slopes on the upstream side of
the dams are 1:3.5 to 4 while for the down slope slopes need slopes of 1:2.5 to
1:3. Figure *** shows a typical homogenous slope with three flow lines. As
can be seen, seepage inevitably appears on the downstream side at a height of
about 1/3 of the height of the dam.

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Rock toes and horizontal blankets are usually used to avoid the seepage
breaks on the down slope side of the dam. Riprap protection is also used on the
upstream side to arrest erosion occasioned by the waves on the upstream side of
the dam. Drainage and filter layers are designed to meet filter requirements.
Inclined filters in combination with horizontal filters built with well graded sand
and surrounded by geotextiles have become a normal practice. Because
modification of the homogenous dams has led to successful dams the use of
completely homogenous dams is now not allowed. The homogenous dams are
preferred where other materials of contrasting permeability are unavailable.
Alternatively they should be used where impervious material forming the
embankment is abundant and available principally in the dam area and within
the vicinity of the dam.

Zoned types
In this dams, a central core is of impervious material is franked by more
pervious materials. The design of these dams requires that the permeability of
dam embankment materials increases from the core to the outside franking
shells. The materials enclose support and protect an internal impervious core.
The upstream sections provide stability during rapid drawdown. The
downstream pervious materials act as drainage to control the line of seepage. It
is usual to place a filter material between the impervious material and the
downstream pervious materials.
The impervious inner layers are basically clays typically the red coffee
soils. The pervious layers are sands, gravels, cobbles, boulders and rocks. If a
variety of soils are available the type of dam of choice is the zoned dam (Bureau
of reclamation 1985). It has inherent advantages of stability and reduced
seepage across the dam wall.

3.2 Design Principles

The dam should be constructed so that a satisfactory performance at minimum
cost is attained. The maintenance costs should also be factored to ensure a
facility with the least maintenance of the upstream, downstream and the
apartment structures and the electro mechanical structures. An earth dam must
be stable during all phases of the construction and the operation of the reservoir.
To accomplish this, following criteria must be met:

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i) The embankment, foundation, abutments, and reservoir sides must be

stable and should not develop unacceptable deformations during
construction or during the usage of the structure
ii) Sufficient seepage control must be ensured to ensure that excessive
piping, instability; sloughing, material erosion is under control.
Additionally the loss should be such that it dose not impair the intended
usage of the facility by excessive loss of water.
iii) The reservoir sides should be stable under all operating conditions to
prevent landslides into the reservoir. It is to be noted that a landslide into
the reservoir could cause large wave to overtop the dam
iv) The embankment must be provided with adequately sized spillway which
allows design flow floods to pass without overtopping the embankment.
v) Free board allowance should be sufficient to prevent waves from
overtopping the dam.
vi) The dam should be provided with camber which allows settlement of the
foundation and the abutment to take place. This camber is not included in
the freeboard calculations.
vii) The upstream slope must be protected against the wave action while the
down slope is protected against rain erosion and animal grazing

3.3.1 Foundation design

Foundations of dams refer to the dam embankment wall floor and the sides of
the embankment in touch with the original ground of the dam. Foundations are
usually not designed but they require attention to ensure satisfactory
performance. The requirement of the foundation is to be stable under all
conditions and to offer sufficient resistance to seepage to prevent loss of water.
To determine the seepage and stability conditions of foundations the
permeability of the foundations strata in various directions and at various depths
need to be determined. In addition the strength of the strata should be
determined by use of appropriated field testing accompanied by field testing.
For small dams however it is normal to use empirical approach in the treatment
of the foundations. Because the foundations of different materials demand
different treatments the foundations are grouped into three different classes.
These classes can be grouped into

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i) Rock foundations
ii) Foundations of coarse grained materials (sand and gravel)
iii) Foundations of fine grained materials (silt and clay)

Rock foundations
Ordinarily the rock foundations do not present any bearing capacity problems.
Instead it is the seepage problems which have to be addressed A thorough site
investigation should be undertaken to establish faults and any areas of excessive
weathering which could lead to loss of water. The procedure would be usually
to perform in-situ tests to determine the permeability of the rock structure. This
is undertaken together with a site survey of the fissures of the rock. If
excessive erosive leakage , uplift pressures, high water pressures can occur
though rock crevices, fissures, permeable strata, and/or fault planes,
consideration should be made to grout the foundation.
The foundation grout is basically injection of a sealing material under
pressure into underlying formations through grout holes. Grout ordinarily
consists of cement water mixture in the ration of 10:1 in the case of rich mix to
0.8:1 in the case of a lean mix. Some additives to the cement water mix is
usually done to improve the pumping. The most used additive is betonite
The injected grout eventually fills the cavities and potential avenues of
water. Grouting is a procedure requiring specialized personnel and equipment
to effectively carry out the operations. In general a centerline curtain of grout
of holes spaced at three to six meters is adequate. Where large zones of fracture
occur below the dam wall and in the immediate upstream of the dam a blanket
grout on grid is desirable. The depth of the grouting is usually in the region of
three to ten metres. In most cases a blanket grouting of the foundation directly
below the impervious zone is desirable.

Sand gravel foundations

Generally these foundations have sufficient strength to adequately support the
loads induced by the embankment and the reservoir. Nonetheless exploratory
and analysis of the strata must be carried out as a matter of routine. The main
problems of these foundations are under seepage and subsequent forces exerted
by this seepage. These undesirable effects should be analyzed and mitigated in
design and construction.

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Foundations on looses sands are suspect and should generally be avoided

as the sand has the potential of collapse under load. These type of foundations
should be avoided or specialized advice sought.
The amount of under seepage should be estimated from values of
coefficient of permeability of the strata. The coefficient of permeability of the
strata should be determined by established methods including pump out tests,
tests conducted by observation of boreholes when pumping is performed in a
test borehole or pump in tests as described in FCE 311. The magnitude of the
seepage forces should also be determined by analyzing the flow net of the water
flow under the dam. This topic has been covered in FCE 411.
The various methods of treatment of the foundations of sands and gravel
should aim at economical control of the under seepage and the control of the
subsequent seepage forces to prevent the undesirable effect of foundation
erosion and piping at the exit of the dam. Excessive treatment of a detention
dam might not be necessary while treatment of foundation of a water supply
dam might be prudent. The various treatment techniques are now presented.

i) Cutoff Trenches
Where possible this is usually the treatment of choice. The cutoff should extend
down to bedrock or to other impervious strata. This treatment ensures no future
difficulty will be experienced in piping and or uplift of the dam. A minimum
width of the cutoff trench is shown on Figure 3.1

d Sand gravel
w Rock

Figure 3.1 cutoff trench

ii) Partial cutoff

A cutoff that does not go all the way to the foundation, rather it is designed to a
proportion of the depth to the rock or to impermeable layer.. the reduction in

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area is not proportional to the reduction in the flow. Thus the reduction cannot
be estimated from the flow equation

Q=k .i . A

The action of the partial cut off is similar to that of an obstruction of in a pipe.
The reduction in flow is not proportional to the reduction in the area of the pipe.
Experiments have shown that a 50% cutoff results in 25% reduction of the
seepage while an 80% cutoff results in 50% reduction in the seepage.

iii) Sheet piling

This is an expensive method of cutting of the seepage through the foundation of
an earth dam. Additionally the seepage continues to pass through the sheet
pilling interlocks. It has been used sometimes in conjunction with the cutoff
trenches. The sheet piles cannot be performed in cobbles and boulders

iv) Slurry trench

This is a trench excavated and filled with concrete below the impervious layer.
The trench is kept in position by placing bentonite before concreting to form

v) Grouting
Various materials have been used to develop grouting procedures to improve
the stability and reduce the permeability of pervious foundations under dam
walls. These materials include

a) Cement – water
b) Cement – bentonite – water
c) Bentonite

It is to be noted that grouting is usually an expensive process and it should be

allowed after extensive testing and evaluation.

vi) Upstream blankets

These are usually made of same material as the impervious core material. In
effect the path of the underseepage is increased and hence the loss of water is
reduced.

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vii) Downstream embankment toes

The aim of these blankets
a) To reduce uplift pressures at the exit of the dam
b) To readily permit discharge
c) To prevent piping of the fines
d) To convey the discharge

Achieved by
a) Extending the downstream zones
b) Pervious downstream shells or by use of horizontal blankets
c) By use of toe drains

3.3.2 Embankment Design

Embankment slopes
The design of and earthfill dam embankment needs combination of many
parameters. Many of these parameters are difficult to determine accurately.
These parameters include gradation, composition and corresponding behavior of
the soils under different conditions of saturation and loading. The stress – strain
relationships can be very complex. The result of these difficulties is that the
design of earthfill dam embankment depends largely on successfully designed,
constructed and well performing dams.
Notwithstanding these acknowledged difficulties it is now possible to model out
complex conditions of an earthfill dam embankment. The design of any
earthfill dam is preceded by extensive site investigation to determine the
strength and permeability characteristics of the embankment materials. This
enables the design of h the slopes to the embankments to be checked under the
follow conditions.

i) Stability during construction and end of construction. In this condition

the embankment has not had the time to have the pore water in the
foundations and the embankments drained. The pore water pressures are
highest in the embankment materials. The strength parameters applicable
are the undrained parameters.

ii) Steady seepage conditions. The core of the dams act as the water barrier
of the earth fill dam. However even the tightest of the clay cores will

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allow some water penetration. The rate of penetration will depend on the
permeability of the core material an in due time will reach steady seepage
conditions where a phreatic surface will be developed at the highest level
in the embankment. The steady seepage conditions is critical for the
downstream slope. Under these conditions the water has been
impounded the seepage has stabilized through the embankment. The flow
net has been established. All the excess pore water pressures have
dissipated. The slopes of the dam are checked using drained parameters
of the foundations and the embankment materials. The downstream slope
is in critical condition during the steady seepage

iii) Rapid drawdown conditions. Under these conditions the stabilizing

effects of the water in the reservoir has been removed on the upstream
slope. The rapid drawdown leaves high pore-water pressure in the
embankment. The upstream slope is usually in its weakest state. The
upstream slope of the dam is checked using drained parameters of the
foundations and the embankment materials. It is to be noted that a
drawdown of up to 40 meters per day is considered as rapid.

iv) Stability under severe seismic conditions. The above conditions should
be subjected to acceleration of the embankment occasioned by seismic
activities

v) Protection against erosion. The upstream slope is likely to be subjected

to erosion arising out of the wave action and sloughing as the level of the
water fluctuates. This is mitigated by use of appropriate upstream
protection by use of stone riprap. The downstream slope is subjected to
erosion a result of the precipitation and made worse by grazing in some
dams in communities in need of pasture. The usual practice is to fence
off the dam area and to plant grass and appropriate trees.

The stability check is usually to ensure that the shear stresses induced in the
embankments are resisted by the mobilized shear strength. The shear stresses
are from the externally applied loads which include reservoir weight and
earthquake forces. Additionally internally generated forces from the self
weight of embankment The shear stresses at the slopes being checked can be

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 - 96- Introduction to dam design

shown on Figure **** below the shear stresses to be resisted is shown on

Equation 3.1

σ1

τ
σ σ3θ

σ =σ +u

τ =¿ ¿ ¿ 3.4

The external and internal forces produce a compressive stress along the sliding
surface. This mobilizes the shearing strength which resists shearing along the
surface being checked. The shearing strength is given by Equation 3.2

s=c+σ tan ∅
s=c+(σ −u) tan ∅ 3.4

It is to be noted that while the shear strength is reduced by the increase in the
pore water pressure the shear stress remains the same. This shows the need of
understanding and taking care of the changes in the pore water regime. In
practice the design involves the checking of the slope stability and application
of a suitable factor of safety

Compaction
Compaction of earthworks is a key activity to ensure that the envisaged strength
and water tightness is achieved. When the compressibility and loading of the
embankment are constant the more saturated the soil is the higher the likely
hood of developing high pore-water pressures. To minimize the development of
high pore-water pressures it is compact the earthworks just dry of optimum.
However for low dams it has been found satisfactory to compact earthworks at

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MDD and OMC.. At this moisture content the material is able to conform to the
shape of the foundation and the abutments.

3.3 Inspection of existing dams

General appearance
i) Sagging crest
ii) Slope failures
iii) Wet patches
iv) Slope protection
v) Soil erosion – gullies
vi) Loss of riprap
vii) etc

Spillway
i) You might wish to recalculate the adequacy of the spillway. This
topic is covered separately under hydrology
ii) Check field indicators of adequacy of the spillway – water marks
iii) Blockages
iv) Is the gear control working
v) Structural failures in the concrete
vi) Note any cracks

Gauge house
i) Are the instruments in good working order
ii) Have they been vandalized

Reservoir area
i) Assess the siltation
ii) Assess the conservation measures being undertaken in the
neighborhood of the dam
iii) What is the state of the fence of the reservoir fence for the fenced
reservoirs?
AOB

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3.4 Examples of earth dams in Kenya

In general the dam axis should be chosen in such a way as the material required
for the embankment is minimal while getting the maximum storage. Usually
this is so where the contours are narrowing downstream of a wide valley. The
dam axis should be designed as straight as possible unless the topographical
features dictate otherwise
The height of the embankment should be determined in order to achieve
the desired storage with an increased gross freeboard. The gross freeboard is the
height between the spillway crest and the embankment crest and takes account
of the design flood and the wave height
The crest width should be such that earthmoving equipment can be able
to work on the crest. In many cases a road should cap the embankment. In any
case a minimum width of four meters should be observed.

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 - 100- Introduction to dam design
Table 3.2: Design statistics for Ndakaini dam  Slope protection Riprap
1ThikaDescription
district 4 Core
 Dam name Ndakaini (Thika)  Depth (m) 2
 Side slopes 1:1.5u/s ,1:5d/s
 District Thika  Core slope protection Filter drains
 Dam type Zoned embankment 5. Foundations
 Designer/Engineer Howard & Humpreys
Soil type Weathered rock
1. Catchment area
6. Reservoir
 Catchment area (km2) 71  Fetch (m) 4250
 Altitude at dam site (masl) 2000  Depth (m) 41
 Mean annual rainfall (mm) 1500 2900000
 Area (m2)
 General soil types Grade IV to VI  Capacity (Mm3) 70
3. Embankment
7. Bellmouth Spillway
 Crest length(m) 420  Crest diameter (m) 15
 Crest height (m) 65  Shaft diameter (m) 2
 Crest width (m) 11 417
 capacity (m3/s)
 Bottom width (m) 8. Draw off system
 Upstream side slope 3:1  Height of stand pipe(m) 20
 Dow stream side slope 2.5:1  Pipe Diameter (mm) 5500
 Freeboard (m) 2  Height of tower (m) 70
 Embankment volume(Mm3) 2.5

Crest 2045 masl

11000
Full storage level 2041 masl
2030 masl 2.25
3000 1 2025 masl
Draw-off tower 4000
2015 masl 1
3
1.5
1 Downstream shoulder
3000 5
2.25
upstream shoulder 1 1 2005 masl
2000 masl

70000
1
3.5
Core 4000
10000 Filter drain
2.75
1
Drainage layers
culvert 2.25
1 1985
intake Drainage blanket 5000 masl
2.2
1
outlet
Original Ground level

Draw-off pipe

70 m deep grout curtain

(a): Embankment details

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 - 101- Introduction to dam design
16m diameter belmouth

embankment

5.5m pipe

(b) bellmouth spillway

Figure 3.2(a): Embankment details of Ndakaini Dam

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Table 3.3: Design statistics for Kwa Tabitha dam, Kitui district
1. Description 4 Core
 Dam name  Width (m) 5
Kwa Tabitha
 Depth (m) 1
 District Kitui
 Side slopes 1:2 u/s, 1:2d/s
 Dam purpose Domestic water
 Core trench volume(m3) 200
 Designer/Engineer supply
NWCPC
5. Foundations
1. Catchment area
General soil type Rock
 Altitude at dam site (masl) 1094
 Mean annual rainfall (mm) 720
6. Reservoir
 General soil types Not available
 Depth (m) 7.1
3. Embankment
7. Spillway
 Crest height (m) 10.5
 Width at sill (m) 15
 Crest width (m) 5
 Depth (m) 2
 Bottom width (m) 38
 Excavation (m )3
25000
 Upstream side slope 3:1
8. Draw off system
 Dow stream side slope 2:1
 Height of stand pipe(m) 10
 Freeboard (m) 1.5
 Pipe Diameter (mm) 200
 Embankment volume(m3) 12000
 Slope protection Hand placed
riprap

Crest 1101 masl

Gross freeboard 5000 crest protection murram
1500
500

Normal water level ( 1100 masl)

Grassing
2300

3
1 Protective Core 2
gravel 300mm 1
10m stand off pipe Hand placed
Draw off riprap300mm sand filter
pipe Toe drain

Cattle
1000

5000 1000
trough
5000

Figure 3.3: Embankment details of Kwa Tabitha Dam, Kitui district Dam

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Table 3.4: Design statistics for Birica dam, Nyeri district
1 Description 4 Core
 Dam name Birica  Trench Width (m)
 District Nyeri  Depth (m)
 Dam type Embankment  Side slopes
 Designer/Engineer NWCPC  Core trench volume(m3)
1. Catchment area 5. Foundations
 Altitude at dam site (masl) 2161 Soil type Rock
 Mean annual rainfall (mm) 1500 C’
 General soil types Not available 6. Reservoir
3. Embankment  Depth (m) 4
 Crest length (m) 138  Area (m )
2
22000
 Crest height (m) 7  Capacity (m )
3
50000
 Crest width (m) 5 7. Spillway
 Bottom width (m) 44  Width at sill (m) 15
 Upstream side slope 2.5:1  Depth (m) 2
 Dow stream side slope 2.5:1  Excavation (m ) 3
1800
 Freeboard (m) 1.5 8. Draw off system
 Embankment volume(m3) 22500  Height of stand pipe(m) 2
 Slope protection Hand placed  Pipe Diameter (mm) 200
riprap

Crest 2169 masl

Gross freeboard 5000
1500

300mm Protective gravel

Normal water level
2.5
1 2.5
300mm Hand placed riprap 1
5000

2m long stand-off pipe Original ground level

sand filter

7000 8000 15000 8000

Figure 3.4: Embankment details of Birica Dam, Nyeri district Dam

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Table 3.5: Design statistics for Kwa Kasenga dam, Machakos district
1. Description 4 Core
 Dam name Kwa Kasenga Dam  Trench Width (m) 5
 District Machakos  Depth (m) 1
 Dam type Embankment  Side slopes 1:2 u/s, 1:2d/s
 Designer/Engineer NWCPC  Core trench volume(m3) 600
1. Catchment area 5. Reservoir
2. Catchment area (km2) 360000  Fetch (m)
3. Altitude at dam site (masl)  Depth (m) 4.5
4. Mean annual rainfall (mm) 900  Area (m2) 15000
5. General soil types Not available  Capacity (m3) 7018
a. Embankment 6. Spillway
 Crest length (m) 120  Width at sill (m) 12.5
 Crest height (m) 7  Depth (m) 2
 Crest width (m) 7  Length (m) Not available
 Bottom width (m) 41  Excavation (m )
3
1800
 Upstream side slope 3:1 7. Draw off system Not available
 Dow stream side slope 2.5:1  Height of stand pipe(m)
 Freeboard (m) 2:1  Pipe Diameter (mm)
 Embankment volume(m3) 18000
 Slope protection Hand placed
riprap

Crest
7000
Gross freeboard
150
500

Normal water level

300mm Protective gravel 2.5
700

3 Homogeneous embankment 1
0

1
500

300mm Hand placed riprap

0

sand filter
100
0

4000
5000
100
0

Figure 3.5: Embankment details of Kwa Kasenga Dam, Machakos district

University of Nairobi –FCE 511 Geotechnical Engineering IV

Chapter Four

Site Investigation

4.1 Introduction
Site investigations are also referred to as soil exploration. It consists of
investigating the condition on which construction is planned. From site
investigation it should be possible to obtain information for the following
geotechnical engineering activities

i. Design of new foundations

ii. Modification of existing foundations
iii. Location of materials of construction of roads, runways, etc
iv. Identification of materials needed for the construction of pavement
structures for roads, runways etc
v. Identification of ground to be excavated in the construction of various
facilities including water pipe lines, building foundations, earthworks in
cut areas etc

The site investigation should form a part of a coordinated chain of design from
inception of the project through preliminary to the final detailed design of a
civil engineering project. It should indeed continue post construction monitoring
of the completed schemes. Because of the diversity of civil engineering
schemes a set of standard procedures is not possible for all site investigations.
The varying civil engineering schemes require a variety of options in breadth
and detail needed for the various schemes. The objectives for which a site
investigation is carried out also differ with various schemes. The main
objectives of carrying out a site investigation are now presented
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i) Suitability of site for particular works

In the case of option of site for particular works a detailed site investigation
should be able to enable determination of the most suitable site. Thus it is
possible to shift a bridge from one location which would call for expensive deep
foundations to one where ordinary shallow foundations would be sufficient.

ii) Adequate and economic design

A site investigation leads to safe structures during and after construction.
Additionally sufficient information is obtained for quantifying the excavations
needed in the preparation of the bills of quantities. This should minimizes the
possibility of cost overruns due to unexpected ground conditions being met at
construction time.

iii) Planning construction

By identifying different materials along the construction paths and their
locations a systematic procedure of carrying out the works is evolved. In the
case of road works materials from the cut areas are analyzed for use in the fill
areas. It is then possible to proceed with construction of the fills and cuts
methodically with minimum haulages and waste of materials.

iv) Prediction in changes in structure

Carefully and well executed site investigations should enable the prediction of
the likely settlement of structures under construction. Equally important is the
ability to predict the effect of excavations on the neighboring structures.

v) Safe structural design of large structures

Heavy modern structures require more detailed site investigations. Today we
are seeing higher buildings, larger bridges and installations sensitive to
settlement. Structures and civil engineering schemes are being put up very
quickly. Immediate and consolidated settlement is taking place when the works
are commissioned. Further settlement takes place during the useful life of the
civil engineering installation. Accurate estimation of the settlement regime is
particularly important considering that clients are becoming more and more
sensitive to the performance of structures and the argument that cracks are
minor and do not pose any danger to the structure is no longer good.

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4.1.2 Planning a site investigation

Table 4.1 shows a schematic way in which various activities with respect to site
investigation can be performed at various stages of a project. It is clear from
the table that site investigation should not be treated as an afterthought but
rather should grow with the project from conceptual initial design to eventual
post construction period.

University of Nairobi –FCE 511 Geotechnical Engineering IV

Phase Pre-construction Construction Post Construction
Conceptual Initial Supervision of Operation &
Stage design Preliminary design Detailed design construction Maintenance
Main activity Conceptual design Design Alternatives Detailed Site Construction control -Performance
Monitoring and checking
Detailed investigations performance –
Site Desk study of SI – -Boreholes Field observations - pore water pressures
investigation Review of existing data -Trial pits etc – field densities Settlement
activity Define Scope of SI Preliminary trial pits Laboratory and field tests - field moisture contents - Inclinations
Terms of reference i) Preliminary SI -Maintenance reports
SI Reports and bid documents investigation report Detailed design report -Performance reports
    ii) Cost estimate of SI -SI report As built SI report - -Research reports 
4.2 Preliminary and detailed stage site investigations

4.2.1 Preliminary stage site investigations

This should lead to information needed for the design of the various alternatives
at the preliminary stage of the study. The activities in this stage can be
summarized as follows:

i) A study of any existing site investigation reports for the area or in the
neighborhood should form the basis of this stage of investigations.
ii) A study of geographical a geological maps of the site in the case of large
sites. Topographical characteristics should lead to useful information
such faulty areas. Heavily forested areas are an indication of deep rooted
top soils.
iii) A site inspection of the existing buildings and any existing structures.
Any signs of distress which can be related to the settlement of the
foundations. Any information from archives, previous records held by
the local authorities.
iv) Inspection of the soil profiles, in cut areas, old used quarries. Structured
questions to local people with regard to the geotechnical information
being sought yields considerable information. Such questions are:

a) What is the depth of the pit latrines in the area?

b) At what depth murram encountered?
c) At what depth was water struck?

v) Aerial survey of the site could give useful information with regard to land
formations and soil profiles.
vi) Seismic refractions could be carried out at this stage of investigations.
Usually a specialist is needed to interpret the results.
vii) Preliminary trial pits

Geophysical methods
Geophysical methods involve sending of seismic or electrical waves through the
ground. The determination of the soil strata is based on the fact that the velocity
or the resistance seismic wave transmission or resistance to electrical flow
differs with different rock types and soils. The method allows the boundaries of
the soils to be determined seismic refraction is described below
 - 110- Site Investigation

Seismic refraction is conducted by having a source of seismic waves. The

seismic waves are induced by detonating a small explosive or by striking a
metal plate hard. Waves are subsequently emitted in all directions, through the
air, and through the soil in all directions. Seismic wave transducers called
geophones are placed radially from the epicenter. A circuit connects the
geophones and the detonator for accurate determination of time. A direct wave
will reach the geophone first since it is the shortest distance covered. When
there is a dense stratum at depth a refracted wave will travel along the top of the
bed rock. As it travels it leaks energy to the surface which can be picked by the
geophone.

Seismic source

Geophones

Figure *** Seismic refraction – arrangement of equipment

For short distances the direct waves reach the geophones first. For longer
distances the refracted wave reaches first though the distances is longer than t
he surface direct distance. This is so because the speed of the wave in the dense
material is higher than that in the overburden material of less density. The
geophone has a mechanism which records the first wave and ignores the others.
This enables a plot of arrival time versus the distance.
Time

d Distance

Figure ***** Time versus distance for seismic waves

The first section of the graph represents the direct wave measurements while the
second section represents the refracted wave measurements. The inverse of

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 - 111- Site Investigation

these curves are the velocities of the seismic waves. The general types of the
rocks are determined by geophysics from the knowledge of velocity versus rock
type. It is also used in the determination of depth to water table and thicknesses
of multiple strata. The depth D to the bedrock can be estimated from the
formula.

D=
√
d ❑ V 2−V 1
2 V 2+ V 1

4.2.2 Detailed stage site investigations

At this stage the aim is to obtain data for use in the final design of the works.
The investigation is carried out by use of trial pits, sounding and boring. The
extent of the use of these methods depends on the type of the project at hand
and the geotechnical parameters being sought.

The trial pits

The pit and shaft technique supplies the most detailed and reliable data on he
existing soil conditions. Once the trial pit has been dug stratification of the soil
should be done usually in the field. In addition as much information should be
recorded. This information includes

i. Depth to ground water table.

ii. Field assessment of the bearing capacity.
iii. Depth of the various strata encountered in the trial pit.
iv. The encountered soils should classified by visual inspection

a. Coarse grained soils should be described with adjectives such as

angular, rounded with traces of fines etc
b. Fine grained soils should be studied to indicate whether they are
loamy, of low plasticity, whether they are sandy clays etc
c. All soils should be described indicating their color and odour if
any. Decaying organic matter if encountered should be mentioned.

v. Obtain undisturbed samples when you can for the different layers of
strata encountered. These samples can then be taken to the laboratory for
tests

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For large sites the pits should then be surveyed and located in a grid system for
incorporation into the site investigation report.

Sounding tests
These are basically are penetration tests carried out to supplementing trial pits
and borings. The penetration resistance is measured and related to the bearing
capacity. They are widely used in site investigations. They consist of the cone
penetrometer already presented in chapter 1. The other commonly used
penetration equipment is the dynamic cone penetrometer used in the estimation
of the California bearing ratio (CBR) of road pavement layers. This enables the
design of the pavement layers to be carried out

Boring methods
When a deep stratum has to be investigated it will usually be necessary to
perform boring operations to ascertain the strata below the ground to be used in
the support of the proposed structures. Several boring methods are available
and are summarized as follows

Percussion drilling consists of a derrick, a power unit and a winch carrying a

light steel cable which passes thorough a pulley. The unit can be towed by a
vehicle after the assembly is folded. The assembly drops a chisel on the ground
and strata being drilled

Rod

Chisel

Figure **** Schematic presentation of a drilling chisel

The excavation is effected by the drilling chisel. The drilling rods provide the
necessary weight for the penetration the strata. Further weight may be added
when need arises. The winch raises and lowers the chisel and its attachments

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 - 113- Site Investigation

Below the water table the loosened soil forms slurry. Above the water table
water is introduced to form the slurry. Periodically the slurry is bailed out by a
shell or a bailer to make progress into the soil. In boreholes which are liable to
collapse the borehole must be cased. In some cases the casings slide on their
own weight. On completion of the job, the casing is jacked out.
Percussion drilling is usually done in diameters of 150mm to 300mm. the
borehole depth investigated by this drilling method can be up to 50 to 60
metres. This method of drilling can be done on virtually all types of soils
including those with boulders and cobbles. The rig is versatile enough to place
mechanical augers and penetrating testing equipments at appropriate depths.

Power operated augers are usually on vehicles. Downward pressure is applied

by pressure or dead weight. The augurs are 75-300mm diameters. Augers are
usually used in self supporting soils. Casing is usually not needed since the
augers have to be removed before driving. In full flight augers the rod and the
helix cover the entire length being investigated. The augur is then brought up.
The soil is ejected by reverse rotation. The likely hood of soil from different
strata being mixed up is very high. In the short flight augur the auger is
advanced into the soil and then raised. The soil is also ejected by reverse
rotation.

Full flight augur Short flight augur

Figure *****full flight and short flight augurs

The continuous flight augurs are sometimes fitted with a hollow stem which is
plugged during the drilling operations. When samples are needed the plug and
the rods are removed and a sampler is introduced for the recovery of a sample.

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 - 114- Site Investigation

The sample may be undisturbed depending on the sampler utilized. The flight
augurs are not suitable for use in loose soils which are likely to collapse as the
augur is inserted and removed from the hole.

Hand and portable augers are usually operated by persons by turning the
handle of the augur. The hand augers are typically of 75 – 300mm diameters.
The soil is locked in the auger and frequent removal is needed to ensure that the
augur does not get stack in the soil. Undisturbed samples may be obtained by
introduction of small diameter tubes which are hammered into the strata under
investigation. This method is suitable for self supporting soils. It is not
possible to penetrate coarse granular soils.

Figure *** schematic representation of a hand augur

Wash boring is a method of boring where water is pumped through boring rods
and released through narrow holes in the chisel attached at eth lower ends of the
boring arrangement (Figure ****).

Water from pump

Tiller

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 - 115- Site Investigation

To sump

Drilling bit

Figure *** schematic representation of a hand augur

In this method the soil is loosened and broken by water jet. This is aided by the
up an down movements of the chisel. An attachment to the rods called a tiller
enable the rotation on the drilling bit. The drilling winch is able to raise and
lower the chisel and hence get the chopping action of the chisel.
This method is suitable for most soils but progress is slow if the particles
of coarse gravel larger particles are present. The accurate identification of the
soil types is difficult. The method cannot be used to recover soil samples for
testing. However tube samplers can be advanced into the borehole for obtaining
relatively undisturbed samples.

Rotary drilling is done by use of drilling bits that cuts and grinds the subsoil or
rock at the bottom of the borehole. Water is usually pumped down hollow rods
passing under pressure through to the drilling tools. This cools and lubricates
the bits. The fluid also provides support for the borehole where there is no
casing.
Two methods of rotary drilling are available. The first is open drilling
where the soils and rocks are broken within the diameter of the hole.
Subsequently the tubes are removed and tube samplers and testing continues
below the borehole. This advances the drilling. The second method is known
as core drilling and involves creation of an annular hole in the material and
intact rock enters the drilling core. This advances the drilling and enables
samples to be retrieved from the borehole. The sample is then subjected to
immediate field description and taken to the laboratory for various tests.
Typical core diameters range from 41mm to 165mm. The method is fast, but in

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large gravelly soils the speed is slowed by rotation of the bit without
advancement into the ground.

4.2.3 Sampling
Disturbed samples
Disturbed samples are recovered from trial pits and along drilling tools where
there is no attempt to retain the soil constituents. Disturbed samples should
however be collected carefully and placed in airtight tins or jars or in plastic
sampling bags. The samples should be labeled to give the borehole or trial pit
identification number, depth of recovery and field description should be done.
The disturbed samples are used for identification tests namely Field moisture
content, PI, grading, compaction and CBR.

Undisturbed sample – cohesive soils

Undisturbed samples are recovered from trial pits and along drilling tools where
there is an attempt to retain the soil constituents. Such a sample is taken in an
airtight container with wax at both ends to prevent moisture from escaping
during transportation to the laboratory.
In trial pits the samples can be obtained by pressing a sampler into the
ground at the appropriate depth. The sampler is typically 100mm diameter by
150mm long. In the hand augur a 38mm sampling tube with a length of 200mm
is fitted to the rod after the removal of the augur. The tube is pressed into the
soil and given half a turn to break the soil. The sampler is then removed and the
ends are waxed. In boring rigs a 105mm diameter sampler is introduced to the
borehole to recover a 100mm diameter sample. The sample is usually 381mm
long and is fitted with a cutting shoe of about 110mm diameter. The sample is
driven by a falling weight. Any entrapped air or water is expelled from the top
through a non return valve. For soft clays thin walled samplers are preferred to
minimize disturbance.
Inevitably there will be some disturbance in the process of retrieving soil
samples from the ground. The least disturbance is for shoes samples cut from
the floor of trial pits. Sample tubes, inserted by pressing, jacking or steady
hammering produce some form of disturbance depending on the thickness of the
sampler walls. The degree of disturbance is related to the area ratio of the
sampler tube as given by Equation ****** In general good samplers have and

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 - 117- Site Investigation

area ratio not exceeding 25%. Area ratios less than 10% are very good and are
used for very sensitive soils.

2 2
D e −Di
Area ratio= 2 x100%
Di

De

Di
De
Di

Sampler tubes Sampler tubes fitted with

a cutting shoe

Figure **** Typical sample tubes

Undisturbed sample – cohesionless soils

Various methods have been employed to obtain undisturbed sand samples.
These include freezing, chemical application, and use of compressed air (Smith
and Smith, 1998). Whatever method is employed eventual disturbance occurs
as the soil is transported to the laboratory for testing. In light of these
difficulties it is prudent to assess the engineering properties of cohesionless soils
through field testing such as penetration.

Quality class for soil sampling

Table ** below based on Rowe (1972) shows the quality classes for soil
samples obtained from various site investigation operations.

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Table **Quality class for soil sampling

Quality Method of sampling Use of sample
class
5 Material brought up by drilling tools an no attempt is
Rough sequence of
made to retain all the soil constituents strata
4 As for 5 but all soil constituents are retained as far as
Sequence of strata and
possible. Bulk an jar samples. Plastic bag samples remolded properties
3 Pressed or driven thin or thick walled samplers withAs above and
water balance in very permeable soils examination of soil
fabric
2 As for class 3 above but with water balance all the As 3 and γ, n, mv, cu,
time c’ θ’
1 Thin walled piston samplers with water balance As 2 and cv and k

Borehole logs
Borehole logs summarizes all the laboratory an field tests carried out on
samples representing the various strata encountered in the boring operations.
All ground conditions encountered at the site are also included. The log enables
a rapid accurate assessment of the soil profile on a vertical scale. The details of
the various strata encountered including all their geological formation details
which can be inferred are given. The details captured should include the depth
to which ground water was encountered. The description is based on particle
distribution and plasticity based visual inspection and feel. Soil color should
also be recorded.

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4.2.4 Scope of Site Investigation

Spacing of the trial pits and or boreholes
The scope of site investigation is dependent on the effect of the construction on
the ground. The scope should be commensurate with the needed geotechnical
parameters. Table *** shows the suggested minimum number of borings for the
various structures.

Table ****
Project Type of soil/Distance between borings Minimum no
Uniform Average Erratic
Multistory 45 30 15 4
1 to 2 storeys 60 30 15 3
Bridge piers and 30 30 15 1 – 2 per unit
abutments

For Highways and runways during preliminary design the subgrade soils along
the proposed alignment should be sampled at 1000metres and the samples
should be tested to establish the in-situ CBR, grading and plasticity of the
materials. At this stage the material site should be investigated at 60 meter
intervals. In the detailed stage the subgrade is sampled at 500meters while the
material sites are sampled at 30metres.

Depth of investigation
The depth should be such as to capture the geotechnical information needed for
the design of the facility. Equally important is to capture the information
needed in the quantification of the bill of quantities to ensure an accurate
specification of the works is carried out. The recommended depths below the
formation of investigation for the various civil engineering schemes is shown on
table ** based on Figure *** below.

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Project Depth In rock Parameters to be estaablished

Column foundations 1.5B-3B 1.5-3m C, θ, N, RQD,TCR
Raft foundations 1.5B 1.5-3m C, θ, N. RQD,TCR
Bridge piers and 1.5B-3B 1.5-3m C, θ, N, RQD,TCR
abutments
Earthworks in fill 0.5L 0.50m PI, CBR for fill material
for highways Strength of support
Earthworks in cut 0.5H 0.50m Establish the type of excavated
highways material and strength of support
Pipe works D 0 Investigate type of excavated
material and strength of support

Column Raft foundations Piled foundations

foundations
B B

B
H
Retaining walls

a) Structural foundations

L L
In cut H
In fill

b) Highway earthworks

c) Pipe works

Figure ***** Scope of foundation investigations

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4.2.5 Site Investigation Reports

List of suitable headings

Title page
Gives the title of the project at a glance

Abstract
The abstract should be approximately 200 words. It is a very important element
of the project and should be prepared with care. It must convey the essence of
the site investigation and all the important findings without ambiguity.

List of contents
Guides the reader to the various chapters

Field work
A brief and complete description of what was done in the field. Boreholes, and
trial pits performed, field testing etc. Actual procedures of standard tests need
not be repeated. A mention of the tests performed is sufficient. New procedures
and peculiar fieldwork should be explained.

Laboratory work
A brief and complete description of what was done in the laboratory work
carried out . as in the case of field testing actual procedures of standard tests
need not be repeated. A mention of the tests performed is sufficient. New
procedures and peculiar laboratory equipment and procedures should however
be explained

Site description and geology

An engineering summary of the nature of the site an its geology, including
aspects such excavated areas and what was found, stability of natural slopes,
drainage etc

Engineering properties of soils an rocks

A summary of the results of field and laboratory tests and other observations
made at the site

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Discussion
A reasoned discussion of what design and construction problems are likely to be
encountered in relation to the site and its geological situations.

Recommendations and conclusions

A brief but clear statement of the recommended geotechnical parameters
investigated. The treatment of the various aspects of design should come out
clearly and without doubt. Values of use in design and construction should be
summarized viz, allowable bearing capacity, estimated settlement, suitable types
of foundations, construction requirements namely grouting, compaction etc

References
A list of the books, papers, referred to in the work

Appendices
Appendix A – should contain site plan, borehole logs, photographs, etc
Appendix B – should contain tables of results of field and laboratory test those
not included in Appendix A
Appendix C – Any special or unusual test procedures adopted in the
investigation

References:

Craig FR, 1987, Soil mechanics, Van Nostrand Reinhold (International) London
Bowles JE , 1982, Foundation Engineering, McGraw-Hill international book
company, Tokyo.
Tomlinson MJ and Boorman R (1986), Foundation and construction, Longman
scientific and technical, England
Franklin JA and Dussealt MB (1989) Rock Engineering, McGraw-Hill
international editions, London
Chen FH (1975) Foundations on expansive soils, Elsevier scientific Publishing
Company

University of Nairobi –FCE 511 Geotechnical Engineering IV