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AnAnnotatedReproductionof

NAVFACDesignManual7.2
FoundationsandEarthStructures

PLEASENOTE
Thisisthesecondvolumeofanextraordinarydocument,publishedin1982,thatisnowconsiderably
outofdateandisnolongerasanctionedpublicationoftheUSGovernment.NAVFACDM7.2is
providedhereasareferencebecauseoftheincredibledensityofhighlypracticalgeotechnicaldesign
guidanceitcontains.Itisalsoofsignificanthistoricalinterest,andwhencombinedwithDM7.1,it
representsperhapsTHEprinciplecompendiumofgeotechnicalknowledgeusedbydesignersbetween
1982andaroundtheturnofthecentury.TheimportanceoftheFederallabs(particularlyFHWA,
BureauofReclamation,ArmyandNavylabs)inpushingthepracticeofgeotechnicalengineeringforward
between1930andaroundthetimeofthepublicationofthismanualcannotbeoverstated,andthis
manualisatestamenttothatheritage.Thus,youareholdinginyourhands(orinyourcomputer
memory)agreatreferenceforpreliminarydesignguidanceandaknowledgeartifactthatwillbe
recognizedbynearlyeveryseniorpracticinggeotechnicalengineer.
ThiscopyofNAVFACDM7.2(1982)hasbeenupdatedtocomplyinspiritwithNAVFACDM7.02(1986).
DM7.02wasactuallyaveryminorupdateofDM7.2mademostlytocorrectsomeoutofdatenumbers
thatreferencedrelativelyobscureFederalpublications.Thisreproductionhasconsiderableadvantages
overthewidelydistributedandmuchappreciatedPDFversionthathasbeenfloatingaroundthenet.
ThatversionwashostedatVulcanHammerssite(manythanks!)foryears.Theasterisksand
parenthesesthatweretheartifactofanearlyPDFconversionhavebeenreplacedinthisversionwith
thelinesoriginallyintended.Further,Greeksymbolsandthesizeofthefiguresareaspertheoriginal
paperpublicationof1982ratherthantheshrunkenversions.Theresultingfilesizeismuchbigger,of
course,butIbelievetheimprovedqualityisworthit.
Enjoythishistoricdocument,butpleaseuseitwithcaution.
JLedlieKlosky

ABSTRACT
Design guidance i s presented for use by experienced engineers. The c o n t e n t s
include: excavations; compaction, earthwork, and hydraulic f i l l s ; a n a l y s i s
of walls and retaining structures; shallow foundations; and deep foundations.

For sale by the Superintendent of Documents, U.S. Government Printing Of6e.e

Washington. D.C. 20402

FOREWORD
This design manual for Foundations and Earth Structures is one of a series
that has been developed from an extensive re-evaluation of the relevant
, Foundations, and Earth Structures, NAVFAC D W 7
portions of Soil ~echanics
of March 1971, from surveys of available new materials and construction
methods, and from selection of the best design practices of the Naval
Facilities Engineering Command, other Government agencies, and private
industry. This manual includes a modernization of the former criteria and
the maximum use of national professional society, association and institute
codes. Deviations from these criteria should not be ma$e without the prior
approval of the Naval Facilities Engineering Command Headquarters (NAVFAC
HQ)

Design cannot remain static any more than can the naval functions it serves,
or the technologies it uses. Accordingly, this design manual, Foundations
and Earth Structures, NAVFAC DM-7.2, along with the companion manuals, Soil
Mechanics NAVFAC DM-7.1 and Soil Dynamics, Deep Stabilization, and Special
Soil
Geotechnical Construction, NAVFAC DM-7.3, cancel and supersede Mechanics. Foundations. and Earth Structures. NAVFAC DM-7 of March 1971 in
its entirety, and all changes issued.

!;zot",~:A

CEC, U. S. Navy
'Commander \
Naval Facilities Engineering Command

This Page Intentionally Left Blank

PREFAC
This manual c o v e r s t h e a p p l i c a t i o n of b a s i c e n g i n e e r i n g p r i n c i p l e s of s o i l
mechanics i n t h e d e s i g n of f o u n d a t i o n s and e a r t h s t r u c t u r e s f o r naval s h o r e
f a c i l i t i e s . Companion manuals (NAVFAC DM-7.1 and DM-7.3) cover t h e p r i n c i p l e s of s o i l mechanics and s p e c i a l a s p e c t s of g e o t e c h n i c a l e n g i n e e r i n g . These
c r i t e r i a , t o g e t h e r w i t h t h e d e f i n i t i v e d e s i g n s and g u i d e l i n e s p e c i f i c a t i o n s
of t h e Naval F a c i l i t i e s Engineering Command, c o n s t i t u t e t h e Command's d e s i g n
guidance. These s t a n d a r d s a r e based on f u n c t i o n a l r e q u i r e m e n t s , e n g i n e e r i n g
judgment, knowledge of m a t e r i a l s and equipment, and t h e e x p e r i e n c e g a i n e d by
t h e Naval F a c i l i t i e s Engineering Command and o t h e r commands and bureaus of
t h e Navy i n t h e d e s i g n , c o n s t r u c t i o n , o p e r a t i o n , and maintenance of n a v a l
shore f a c i l i t i e s .
The d e s i g n manual s e r i e s p r e s e n t s c r i t e r i a t h a t s h a l l be used i n t h e d e s i g n
of f a c i l i t i e s under t h e cognizance of t h e Naval F a c i l i t i e s Engineering
Command. The d i r e c t i o n and s t a n d a r d s f o r procedures, methods, d i m e n s i o n s ,
m a t e r i a l s , l o a d s and s t r e s s e s w i l l be included. Design manuals a r e n o t t e x t books, but a r e f o r t h e use of experienced a r c h i t e c t s and e n g i n e e r s . Many
c r i t e r i a and s t a n d a r d s appearing i n t e c h n i c a l t e x t s i s s u e d by Government
a g e n c i e s , p r o f e s s i o n a l a r c h i t e c t u r a l and e n g i n e e r i n g groups, and t r a d e a n d
i n d u s t r y groups a r e s u i t a b l e f o r , and have been made i n t e g r a l p a r t s o f , t h i s
s e r i e s . The l a t e s t e d i t i o n of e a c h p u b l i c a t i o n s o u r c e s h a l l be used.
B i b l i o g r a p h i e s of p u b l i c a t i o n s c o n t a i n i n g background i n f o r m a t i o n and a d d i t i o n a l r e a d i n g on t h e v a r i o u s s u b j e c t s a r e i n c l u d e d i n t h e manuals. T h i s
m a t e r i a l , however, i s n o t a p a r t of t h e c r i t e r i a , nor i s a r e a d i n g of t h e s e
s o u r c e s n e c e s s a r y f o r t h e u s e of t h e c r i t e r i a p r e s e n t e d i n t h e manuals.
To avoid d u p l i c a t i o n and t o f a c i l i t a t e f u t u r e r e v i s i o n s , c r i t e r i a a r e p r e s e n t e d o n l y once i n t h i s s e r i e s a s f a r a s p o s s i b l e .
C r i t e r i a having g e n e r a l
a p p l i c a t i o n s appear i n t h e b a s i c manuals numbered DM-1 t h r o u g h DM-10 (numbers
DM-1 1 through DM-20 were unassigned i n t h e o r i g i n a l i s s u e s ) . Manuals numbered DM-21 and above c o n t a i n c r i t e r i a t h a t u s u a l l y a r e a p p l i c a b l e o n l y t o
t h e s p e c i f i c f a c i l i t y c l a s s covered by each manual. When c r i t e r i a f o r o n e
f a c i l i t y a l s o have an a p p l i c a t i o n i n a n o t h e r f a c i l i t y c l a s s , . t h e b a s i c r u l e
has been t o p r e s e n t s u c h c r i t e r i a i n t h e b a s i c , o r l o w e s t numbered, manual
and c i t e i t by r e f e r e n c e where r e q u i r e d i n l a t e r manuals.
The s p e c i f i c d e s i g n manuals (DM-21 and above), w i t h b u t t h r e e e x c e p t i o n s ,
l i s t d e s i g n c r i t e r i a f o r s p e c i f i c f a c i l i t i e s i n t h e o r d e r of t h e c a t e g o r y
codes. The e x c e p t i o n s a r e :

(1) Drydocking F a c i l i t i e s , NAVFAC DM-29,

Codes 213 and 223.

which i n c l u d e s both Category

( 2 ) C r i t e r i a f o r f a c i l i t y c l a s s 800, U t i l i t i e s and Ground Improvements,

which have been included i n t h e b a s i c manuals on mechanical,
e l e c t r i c a l , and c i v i l e n g i n e e r i n g .

( 3 ) Weight Handling Equipment and S e r v i c e C r a f t , NAVFAC DM-38,

which
i n c l u d e s t h e d e s i g n c r i t e r i a f o r t h e s e f a c i l i t i e s under t h e cognizance of t h e Naval F a c i l i t i e s Engineering Command t h a t a r e n o t c l a s s i f i e d a s r e a l property.
These i n c l u d e weight and l i n e h a n d l i n g
equipment, d r e d g e s , yard c r a f t , and p i l e d r i v i n g equipment.

F o r t h e e f f e c t i v e u s e of t h e s e c r i t e r i a , t h e d e s i g n e r must have a c c e s s t o :

(1) The b a s i c and s p e c i f i c d e s i g n manuals a p p l i c a b l e t o t h e p r o j e c t .

See l i s t on page ix.
( 2 ) Published c r i t e r i a sources.

( 3 ) Applicable d e f i n i t i v e d e s i g n s , D e f i n i t i v e Designs f o r Naval Shore

F a c i l i t i e s , NAVFAC P-272.

( 4 ) Command g u i d e l i n e s p e c i f i c a t i o n s .

LIST OF DESIGN MANUALS

BASIC MANUALS

UUL

of Date

Title

I
Number

NAVFAC DM-1
..................................................
NAVFAC DM-5
.............................................
NAVFAC DM-9
......................................
NAVFAC DM-10
...........................
DM-6
................................... NAVFAC
NAVFAC DM-4
........................................
NAVFAC DM-7.2
.............................. NAVFAC
DM-8
...................................
........................................ NAVFAC DM-3
NAVFAC DM-7.3
........................... NAVFAC
DM-7.1
................................................
........................................ NAVFAC DM-2

Architecture
Civil Engineering
Cold Regions Engineering
Cost Data for Military Construction
Drawings and Specifications
Electrical Engineering
Foundations and Earth Structures
Fire Protection Engineering
Mechanical Engineering
Soil Dynamics. Deep Stabilization and
Special Geotechnical Construction
Soil Mechanics
Structural Engineering

SPECIFIC MANUALS

..................................... NAVFAC
NAVFAC DM-3 4
............................................
DM-21
......
NAVFAC DM-23
..........................................
NAVFAC DM-37
.........................................
NAVFAC DM-29
................................................
NAVFAC DM-35
.................................
NAVFAC DM-26
...............................
NAVFAC DM-33
...................................
NAVFAC DM-24
......................
NAVFAC DM-22
........................................ NAVFAC
NAVFAC DM-28
.........................................
DM-30
....................
NAVFAC DM-31
.............................................
NAVFAC DM-32
...........................................
NAVFAC DM-27
.................................................
NAVFAC DM-36
.............................
NAVFAC DM-25
................... NAVFAC
DM-38

Administrative Facilities
Airfield Pavements
Communications. Navigational Aids. and Airfield Lighting
Community Facilities
Drydocking Facilities
Family Housing
Harbor and Coastal Facilities
Hospital and Medical Facilities
Land Operational Facilities
Liquid Fueling and Dispensing Facilities
Maintenance Facilities
Production Facilities
Research. Development. and Test Facilities
Supply Facilities
Training Facilities
Troop Housing
Waterfront Operational Facilities
Weight Handling Equipment and Service Craft
INDEX MANUAL

..........................................

Cumulative Index

NAVFAC DM-50

CONTENTS

CHAPTER 1
Section
Section
Section
Section
Section
Section
Section

...
..
.

1
2
3
4
5
6
7

Introduction........................................7.
Open Cuts...........................................7.
Trenching .........................................7.
Braced Excavations..................................7.
Rock Brcavation.....................................7.
Groundwater Control.................................7.
Excavation Stabilization. Monitoring. and Safety

CHAPTER 2
Section
Secfion
Section
Section
Section
Section

..

1
2
3

4
5
6

..
..

..
..
5.

1
2
3
4

COMPACTION. EARTHWORK. AND HYDRAULIC FILLS

...
4.
5.
6.
7.
8.
1
2
3

2-37
2-38
7. 2-45
2-50
2-52
-54

..............

ANALYSIS OF WALLS AND RETAINING STRUCTURES

Introduction.......................................7.
Computation of Wall Pressures
Rigid Retaining Walls
Design of Flexible Walls ............................7.
Cofferdams..........................................7.

.......................
...............................

CHAPTER 4
Section
Section
Section
Section
Section
Section
Section
Section

2-1
2-1
2-2
2-13
2-19
2-27
7. 2-27

....

Introduction. ......................................7.
Embankment Cross-Section Design.....................7.
Compaction Requirements and Procedures
Embankment Compaction Control.......................7.
Borrow Excavation...................................7.
Hydraulic and Underwater Fills ......................7.2

CHAPTER 3
Section
Section
Section
Section
Section

EXCAVATIONS

2-59

7. 2-59
7. 2-82

2-85
2-116

SHALLOW FOUNDATIONS
2-129
...........................
2-129
................
2-146
.................
2-150
...................... 2-159
2-159
......................

Introduction........................................7.
Bearing Capacity Analysis
Spread Footing Design Considerations
Mat and Continuous Beam Foundations
Foundations on Engineered Fill
Foundations on Expansive Soils
Foundation Waterproofing............................7.
. Uplift Resistance...................................7.

7.
7.
7.
7.
7.

2-163
2-169

Page

. DEEP FOUNDATIONS
I n t r o d u c t i o n ........................................7.2.177
Foundation Types and D e s i g n Criteria ................7 -2-178
Bearing Capacity and S e t t l e m e n t . . . . . . . . . . . . . . . . . . . . 7 .
2-191
P i l e I n s t a l l a t i o n and Load T e s t s .................... 7 0 2-213
D i s t r i b u t i o n o f Loads on P i l e Groups ................7 . 2-230
Deep Foundations o n Rock ............................7.2-232
L a t e r a l Load Capacity ...............................7 -2-234
CHAPTER 5

Section
Section
Section
Section
Section
Section
Section

1
2
3
4
5
6
7

...
..
.

..............BIBLIOGRAPHY
..............

.............................7.2- A-1
GLOSSARY*. ...........................................................
m7.2- G-1
SYMBOLS.*............~~.~~~.....
-7-2-s-1
..
1
APPENDIX A

- Listing

o f Computer Programs

..moo

INDEX***.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . o

....................ooe~.-.~

FIGURES
Figure

Title

Page

CHAPTER 1

..........................................
................................................
...........................................
.....................................................
..............................................
.............................
...............................
...
..........................

S l i d i n g Trench Shield
7. 2-7
Skeleton Shoring
7. 2-10
Close (Tight) Sheeting
7. 2-11
BOX Shoring
7. 2-12
Telescopic Shoring
7. 2-12
Support System - Walled Excavation
7. 2-15
General Guidance f o r Underpinning
7. 2-20
R i p p a b i l i t y of Subsurface M a t e r i a l s Related t o Longitudinal
Seismic Velocity f o r a Heavy Duty Ripper (Tractor-Mounted)
.7.2-22
Suggested Guide f o r Ease of Excavation
7. 2-23
Cube Root Scaling Versus Maximum P a r t i c l e Velocity ..............7.2-24
Guideline f o r Assessing P o t e n t i a l f o r Damage Induced by
B l a s t i n g Vibration t o R e s i d e n t i a l s t r u c t u r e Founded on
Dense S o i l o r ~ o c k
7. 2-25
Guide f o r P r e d i c t i n g Human Response t o Vibrations and
7. 2-26
Blasting Effects
Methods of Construction Dewatering
.7. 2-31
Limits of Dewatering Methods Applicable t o D i f f e r e n t S o i l s
7. 2-33

............................................
..............................................
............................ ......

CHAPTER 2
1

Resistance of E a r t h D m Bnbankment M a t e r i a l s t o Piping and

Cracking

......................................................

7. 2-42

CHAPTER 3

.......................
............................................. .
.............................................
................................................
.......................
....................
.........................
...............................
........................
.............
............
......................................

E f f e c t of W a l l Movement on Wall P r e s s u r e s
Computation of Simple Active and Passive P r e s s u r e s ..............7.
Active and Passive C o e f f i c i e n t s . Sloping B a c k f i l l
(Granular S o i l s )
P o s i t i o n of F a i l u r e Surface f o r Active and Passive Wedges
(Granular S o i l s )
Active and Passive C o e f f i c i e n t s with W a l l F r i c t i o n
(Sloping Wall)
Active and Passive C o e f f i c i e n t s with W a l l F r i c t i o n
( Sloping B a c k f i l l )
Computation of General Active P r e s s u r e s
C o e f f i c i e n t s KA and Kp f o r Walls with Sloping Wall and
F r i c t i o n . and Sloping B a c k f i l l
Computation of General Passive P r e s s u r e s
E f f e c t of Groundwater Conditions on Wall Pressures
Horizontal P r e s s u r e s on Rigid Wall from Surface Load
L a t e r a l P r e s s u r e on a n Unyielding Wall Due t o Uniform
Rectangular Surface Load

7. 2-60
2-62

- 7 2-64
.7. 2-65
7. 2-66

.7. 2-67
7. 2-68

7. 2-69
7. 2-71
.7. 2-72
7. 2-74
7. 2-75

Figure

Title

Page

CHAPTER 3 (continued)

.............
...............
....
......

Horizontal P r e s s u r e on Walls from Compaction E f f o r t

7. 2-77
Values of F f o r Determination of Dynamic L a t e r a l Pressure
Coefficients
..............................................7.
2-79
Example C a l c u l a t i o n s f o r Dynamic Loading on Walls
7. 2-80
Design C r i t e r i a f o r Rigid Retaining Walls .7
.
2-83
Design Loads f o r Low Retaining Walls ( S t r a i g h t Slope B a c k f i l l ) ..7. 2-86
Design Loads f o r Low Retaining Walls (Broken Slope B a c k f i l l )
7. 2-87
Design C r i t e r i a f o r Anchored Bulkhead ( F r e e E a r t h Support)
7. 2-88
Reduction i n Bending Moments i n Anchored Bulkhead from Wall
F l e x i b i l i t y ...................................................7.
2-89
Design C r i t e r i a f o r Deadman Anchorage
7.2-91
Example of Analysis of Anchored Bulkhead
.7........
2-93
Sand Dike Scheme f o r C o n t r o l l i n g Active P r e s s u r e
7. 2-94
Analysis f o r C a n t i l e v e r Wall ....................................7.
2-95
C a n t i l e v e r S t e e l Sheet P i l e Wall i n Homogeneous Granular S o i l
7. 2-97
C a n t i l e v e r S t e e l Sheet P i l e Wall i n Cohesive S o i l with
Granular B a c k f i l l .............................................7.
2-98
Pressure D i s t r i b u t i o n f o r Brace Loads i n I n t e r n a l l y Braced
F l e x i b l e Walls ................................................7.
2-100
Design C r i t e r i a f o r Braced F l e x i b l e Walls
7. 2-102
S t a b i l i t y of Base f o r Braced Cut ................7
.
2-104
P r e s s u r e D i s t r i b u t i o n f o r Tied-Back W a l l s
7. 2-105
Example of Analysis of P r e s s u r e s on F l e x i b l e Wall of Narrow
Cut i n Clay - Undrained Conditions ..............7.
2-107
Example of Excavation i n Stages .................................7.
2-108
Culmann Method f o r Determining Passive R e s i s t a n c e of Earth
Berm (Granular S o i l ) ..........................................7.
2-113
Passive Pressure D i s t r i b u t i o n f o r S o l d i e r P i l e s .................7. 2-114
Gabion Wall ...........................7.
2-115
Reinforced E a r t h ................................................7.
2-117
Design C r i t e r i a f o r Crib and Bin Walls ..........................7.
2-118
Design C r i t e r i a f o r C e l l u l a r Cofferdams .............
7.
2-119

....

...........................
................
...

.......................
.......................

CHAPTER 4
Ultimate Bearing Capacity of Shallow Footings w i t h Concentric
b a d s ............
7
2-131
Ultimate Bearing Capacity with Groundwater E f f e c t ...............7. 2-132
Ultimate Bearing Capacity of Continuous Footings w i t h I n c l i n e d
.
2-133
Load ............................7
E c c e n t r i c a l l y Loaded Footings
................7.
2-134
U l t i m a t e Bearing Capacity f o r Shallow Footing Placed on o r
Near a Slope .................
7
2-135
Bearing Capacity Factors f o r Shallow Footing Placed on o r
Near a Slope ..................................................7.
2-136
Ultimate Bearing Capacity of Two Layer Cohesive S o i l (@PO)
7. 2-137
Examples of Computation of Allowable Bearing Capacity Shallow
Footings on Cohesive.7....S
i.l..s...
...o....
2-139

...

......

Figure

Page

Title
CHAPTER 4 (continued)

....................................
.............................................
...
............................................
...................................................
...................................................
.....
.........................
...................
.......................
.........................................................
.................

Examples of Computation of Allowable Bearing Capacity Shallow

Footings on Granular S o i l s
Allowable Bearing P r e s s u r e f o r Sand from S t a t i c Cone
Penetration Tests
Example of Proportioning Footing S i z e t o Equalize Settlements
Computation of Shear. Moment. and Deflection. B e r m s on
E l a s t i c Foundation
Functions f o r Shear. Moment. and Deflection. Beams on Elastic
'Foundations
Functions f o r Shear. Moment. and Deflections. Mats on Elastic
Foundations
Limits of Compaction Beneath Square and Continuous Footings
Construction Details f o r Swelling S o i l s
Typical Foundation Drainage and Waterproofing
Capacity of Anchor Rods i n Fractured Rock
Resistance of Footings and Anchorages t o Combined T r a n s i e n t
Loads
Tower Guy Anchorage i n S o i l by Concrete Deadman

7. 2-140

7. 2-147
7. 2-148
7. 2-153

7. 2-154

7. 2-157
7. 2-160
7. 2-162
7. 2-167
7. 2-170
7. 2-171
7. 2-172

CHAPTER 5

.........
.........................................................
.......................................
.........................
................................
.................
..........
...................
.....................
.
........
.
...........................
..........

7. 2-193
Load Carrying Capacity of Single P i l e i n Granular S o i l s
U l t i m a t e h a d Capacity of S i n g l e P i l e o r P i e r i n Cohesive
Soils
7. 2-196
Bearing Capacity of P i l e Groups i n Cohesive S o i l s ............
2-206
..A
Settlement of P i l e Groups
7. 2-210
P r i n c i p l e s of Operation of P i l e Drivers
7. 2-222
I n t e r p r e t a t i o n of P i l e Load Test
7. 2-229
h a d Test Analysis Where Downdrag A c t s on P i l e s
7. 2-231
Example Problem
Batter P i l e Group a s Guy Anchorage
-7. 2-233
C o e f f i c i e n t of Variation of Subgrade Reaction
7. 2-236
Design Procedure f o r L a t e r a l l y Loaded P i l e s
7. 2-237
Influence Values f o r P i l e with Applied L a t e r a l Load and
F l e x i b l e Cap o r Hinged End Condition)
7. 2-238
Moment (Case I
Influence Values f o r L a t e r a l l y U a d e d P i l e (Case I1 Fixed
7. 2-239
Against R o t a t i o n a t Ground Surface)
Slope C o e f f i c i e n t f o r P i l e with L a t e r a l Load o r Moment
7. 2-240

TABLES
Table

Page

Title
CHAPTER 1

1
2
3
4
5

6
7

Factors Controlling Stability of Sloped Cut in Some

Problem Soils
Factors Controlling Excavation Stability
OSHA Requirements (Minimum) for Trench Shoring
Types of Walls ..................................................7.
Factors Involved in Choice of a Support System For a Deep
Excavation (> 20 feet)
Design Considerations for Braced and Tieback Walls
Methods of Groundwater Control

.................................................
........................
..................
........................................
..............
..................................

7 . 2-3
7.2-4
7.2-8
2-14

7 . 2-16
7 . 2-17
7 . 2-28

CHAPTER 2
1
2
3
4
5
6

...
2-39
................
7.2-40
.......................................
7 . 2-44
.......................................
..7. 2-46
.................................
............................7.2-48
7 . 2-55

Typical Properties of Compacted Soils

........................7.
Relative Desirability of Soils as Compacted Fill
Clay Dispersion Potential
Compaction Requirements
Compaction Equipment and Methods
Methods of Fill Placement Underwater
CHAPTER 3

Friction Factors and Adhesion for Dissimilar Materials

..........7 . 2-63

CHAPTER 4
1
2
3
4
5

Presumptive Values of Allowable Bearing Pressure for Spread

Foundations
Selection of Allowable Bearing Pressures for Spread
Foundations
Definitions and Procedures. Analysis of Beams on Elastic
Foundation
Definitions and Procedures. Mats on Elastic Foundations
Requirements for Foundation Waterproofing and Dampproofing

...................................................
...................................................
....................................................
.........
......

7 . 2-142
7 . 2-144

7 . 2-151
7 . 2-155
7.2-164

CHAPTER 5
1
2
3
4

Design Criteria for Bearing Piles...............................7.

Characteristics of Common ExcavatedIDrilled Foundations
Design Parameters for Side Friction for Drilled Piers in
Cohesive Soils
Application of Pile Driving Resistance Formulas

2-179
7 . 2-184

.........
................................................
.................

7 . 2-198
7 . 2-203

Table

Title

Page

CHAPTEK 5 ( c o n t i n u e d )
5

6
7
8
9
10

Typical Values of C o e f f i c i e n t Cp f o r E s t i m a t i n g S e t t l e m e n t
of a S i n g l e P i l e ..............................................7.
General Criteria f o r I n s t a l l a t i o n of P i l e Foundations
Supplementary Procedures and Appurtenances Used i n P i l e
Driving
Impact and V i b r a t o r y Pile-Driver Data
Treatment of F i e l d Problems Encountered During P i l e D r i v i n g
D r i l l e d P i e r s : C o n s t r u c t i o n Problems.

2-208
........... 7. 2-214
......................................................
7.2-218
...........................
7. 2-219
.....
7. 2-226
..........................7. 2-227

ACKNOWLEDGEMENTS
Acknowledgement

Figure or Table
Figure 13,
Chapter 1

Mazurkiewicz, D.K., Design and Construction of Dry Docks,

Trans Tech Publications, Rockport, MA., 1980.

Figure 1,
Chapter 2

Sherard, J.L., Influence of Soil Properties and

Construction Methods on the Performance of Homogeneous
Earth Dams, Technical Memorandum 645, U.S. Department of
the Interior, Bureau of Reclamation.
~~~~~

Figures 5, 6
7, Chapter 3

&

Caquot, A., and Kerisel, J., Tables for the Calculation of

Passive Pressure, Active Pressure and Bearing Capacity of
Foundations, Gauthier-Villars, Paris.

Figure 16 & 17
Chapter 3

Terzaghi, K. and Peck, R.B., Soil Mechanics in Engineering

Practice, John Wiley & Sons, Inc., New York, NY.

Figures 23, 24
& 25, Chapter 3

U.S. Steel, Sheet Piling Design Manual, July, 1975.

Figure 36,
Chapter 3

Portland Cement Association, Concrete Crib Retaining

Walls, Concrete Information No. St. 46, Chicago, IL., May,
1952.

Figures 10 &
11, Chapter 4

Hetenyi, M., Beams on Elastic Foundation, The University

of Michigan Press, Ann Arbor, MI.

Figure 14,
Chapter 4

Parcher, J.V., and Means, R.E., Soil Mechanics and

Foundations, Charles E. Merril Publishing Company,
Columbus, OH., 1968.

Figw-e 2,
C1' 3cl8.i?r
5
( d.;p f panel ,
rignt)

Skempton, A.W., The Bearing Capacity of Clays,

Proceedings, Building Research Congress, London, 1951.

This Page Intentionally Left Blank

CHAPTER 1.
S e c t i o n 1.

EXCAVATIONS
INTRODUCTION

SCOPE. This chapter covers t h e methods of e v a l u a t i n g t h e s t a b i l i t y of

1.
There a r e two b a s i c types of excavations: ( a )
shallow and deep excavations.
"open excavations" where s t a b i l i t y i s achieved by providing s t a b l e s i d e
slopes, and (b) "braced excavations" where v e r t i c a l o r sloped s i d e s a r e maint a i n e d w i t h p r o t e c t i v e s t r u c t u r a l systems t h a t can be r e s t r a i n e d l a t e r a l l y by
i n t e r n a l o r e x t e r n a l s t r u c t u r a l elements. Guidance on performance monitoring
i s given i n DM-7.1, Chapter 2.

2.
METHODOLOGY. I n s e l e c t i n g and designing t h e excavation system, t h e p r i mary c o n t r o l l i n g f a c t o r s w i l l include: ( a ) s o i l type and s o i l s t r e n g t h
parameters; (b) groundwater c o n d i t i o n s ; ( c ) s l o p e p r o t e c t i o n ; (d) s i d e and
bottom s t a b i l i t y ; and ( e ) v e r t i c a l and l a t e r a l movements of a d j a c e n t a r e a s ,
and e f f e c t s on e x i s t i n g s t r u c t u r e s .

3.
RELATED CRITERIA.
lowing source :

For a d d i t i o n a l c r i t e r i a on excavations, s e e t h e f o l -

Subject

Source

Dewatering and Groundwater Control of Deep Excavations....NAVFAC

S e c t i o n 2.

1.

P-418

OPEN CUTS

SLOPED CUTS.

a. General. The depth and slope of an excavation, and groundwater cond i t i o n s c o n t r o l t h e o v e r a l l s t a b i l i t y and movements of open excavations. I n
granular s o i l s , i n s t a b i l i t y u s u a l l y does not extend s i g n i f i c a n t l y below t h e
excavation provided seepage f o r c e s a r e c o n t r o l l e d .
I n rock, s t a b i l i t y i s
c o n t r o l l e d by depths and slopes of excavation, p a r t i c u l a r j o i n t p a t t e r n s , i n
s i t u s t r e s s e s , and groundwater conditions. I n cohesive s o i l s , i n s t a b i l i t y
t y p i c a l l y involves s i d e slopes but may a l s o i n c l u d e m a t e r i a l s w e l l below t h e
base of t h e excavation. I n s t a b i l i t y below t h e base of excavation, o f t e n
r e f e r r e d t o as bottom heave, i s a f f e c t e d by s o i l type and s t r e n g t h , d e p t h of
c u t , s i d e s l o p e and/or berm geometry, groundwater c o n d i t i o n s , and construct i o h procedures. Methods f o r c o n t r o l l i n g bottom heave a r e given i n DM-7.1,
Chapter 6.

b. Evaluation. Methods described i n DM-7.1, Chapter 7 may be used t o

evaluate t h e s t a b i l i t y of open excavations i n s o i l s where behavior of such
s o i l s can be reasonably determined by f i e l d i n v e s t i g a t i o n , l a b o r a t o r y testi n g , and a n a l y s i s . In c e r t a i n geologic formations ( s t i f f c l a y s , s h a l e s ,
s e n s i t i v e c l a y s , c l a y t i l l s , e t c . ) s t a b i l i t y i s c o n t r o l l e d by c o n s t r u c t i o n
procedures, s i d e e f f e c t s during and a f t e r excavation, and i n h e r e n t geologic
planes of weaknesses. Table 1 (modified from Reference 1, E f f e c t s of Cons t r u c t i o n on Geotechnical Engineering, by Clough and Davidson) p r e s e n t s a

summary of t h e primary f a c t o r s c o n t r o l l i n g e x c a v a t i o n s l o p e s i n some problem

s o i l s . Table 2 (modified from Reference 1 and Reference 2, S o i l s and
Geology, Procedures f o r Foundation Design of B u i l d i n g s and Other S t r u c t u r e s ,
Departments of Army and A i r Force) summarizes measures t h a t can be used f o r
e x c a v a t i o n p r o t e c t i o n f o r b o t h c o n v e n t i o n a l and problem s o i l s .
2.
VERTICAL CUTS. Many c u t s i n c l a y s w i l l s t a n d w i t h v e r t i c a l s l o p e s f o r a
period of time b e f o r e f a i l u r e occurs. However, changes i n t h e s h e a r s t r e n g t h
of t h e c l a y w i t h time and s t r e s s r e l e a s e r e s u l t i n g from t h e e x c a v a t i o n c a n
l e a d t o p r o g r e s s i v e d e t e r i o r a t i o n i n s t a b i l i t y . This p r o c e s s c a n be r a p i d i n
s t i f f , h i g h l y f i s s u r e d c l a y s , b u t r e l a t i v e l y slow i n s o f t e r c l a y s . (See
DM-7.1, Chapter 7 f o r c r i t i c a l h e i g h t s f o r v e r t i c a l c u t s i n c o h e s i v e s o i l s . )
For c u t s i n hard unweathered r o c k , s t a b i l i t y i s m o s t l y c o n t r o l l e d by s t r e n g t h
along bedding p l a n e s , groundwater c o n d i t i o n , and o t h e r f a c t o r s ( s e e DM-7.1,
Chapter 6 and Reference 3 , S t a b i l i t y of S t e e p S l o p e s on Hard Unweathered ~ o c k ,
by Terzaghi f o r d e t a i l e d d i s c u s s i o n on t h e e f f e c t s of r o c k d i s c o n t i n u i t i e s ) .
Cuts i n rock can s t a n d v e r t i c a l without b o l t i n g o r anchoring depending on r o c k
q u a l i t y and j o i n t p a t t e r n .

Section 3.

TRENCHING

1.
SITE EXPLORATION. I n d i v i d u a l t r e n c h i n g p r o j e c t s f r e q u e n t l y extend o v e r
long d i s t a n c e s . A n e x p l o r a t i o n program should be performed t o d e f i n e t h e s o i l
and groundwater c o n d i t i o n s over t h e f u l l e x t e n t of t h e p r o j e c t , so t h a t t h e
d e s i g n of t h e s h o r i n g system can be a d j u s t e d t o s a t i s f y t h e v a r y i n g s i t e cond it ions.

2.
TRENCH STABILITY. P r i n c i p a l f a c t o r s i n f l u e n c i n g t r e n c h s t a b i l i t y a r e t h e
l a t e r a l e a r t h p r e s s u r e s on t h e w a l l s u p p o r t system, bottom heave, and t h e
p r e s s u r e and e r o s i v e e f f e c t s of i n f i l t r a t i n g groundwater ( s e e Chapter 3 and
DM-7.1, Chapter 6 ) . E x t e r n a l f a c t o r s which i n f l u e n c e t r e n c h s t a b i l i t y
include :
a.
S u r f a c e Surcharge. The a p p l i c a t i o n of any a d d i t i o n a l l o a d between
t h e edge of t h e e x c a v a t i o n and t h e i n t e r s e c t i o n of t h e ground s u r f a c e w i t h t h e
p o s s i b l e f a i l u r e plane must be considered i n t h e s t a b i i i t y a n a l y s e s f o r t h e
excavation.
b. V i b r a t i o n Loads. The e f f e c t s of v i b r a t i n g machinery, b l a s t i n g o r
o t h e r dynamic l o a d s i n t h e v i c i n i t y of t h e e x c a v a t i o n must be considered.
The
e f f e c t s of v i b r a t i o n s a r e cumu1ati;e over p e r i o d s of time and can be p a r t i c u l a r l y dangerous i n b r i t t l e m a t e r i a l s such a s c l a y e y sand o r g r a v e l .
c. Groundwater Seepage.
Improperly dewatered t r e n c h e s i n g r a n u l a r s o i l s
c a n r e s u l t i n q u i c k c o n d i t i o n s and a complete l o s s of s o i l s t r e n g t h o r bottom
heave.
(See DM-7.1, Chapter 6.)
d. S u r f a c e Water Flow. T h i s c a n r e s u l t i n i n c r e a s e d l o a d s on t h e w a l l
s u p p o r t system and r e d u c t i o n of t h e s h e a r s t r e n g t h of t h e s o i l . S i t e d r a i n a g e
should be designed t o d i v e r t water away from trenches.

TABLE 1
Factors C o n t r o l l i n g S t a b i l i t y of Sloped Cut i n Some Problem S o i l s

SOIL TYPE

PRIMARY CONSIDERATIONS FOR SLOPE DESIGN

S t i f f - f i s s u r e d Clays
and Shales

F i e l d shear r e s i s t a n c e may be l e s s than suggested by

Slope f a i l u r e s may occur progresl a b o r a t o r y tests.
s i v e l y and s h e a r s t r e n g t h s reduced t o r e s i d u a l v a l u e s
compatible with r e l a t i v e l y l a r g e deformations.
Some
c a s e h i s t o r i e s suggest t h a t t h e long-term performance
i s c o n t r o l l e d by t h e r e s i d u a l f r i c t i o n a n g l e which f o r
The most r e l i a b l e
some s h a l e s may be a s low a s 12'.
design procedure would involve t h e use of l o c a l
experience and recorded observations.

Loess and Other

Collapsible S o i l s

Strong p o t e n t i a l f o r c o l l a p s e and e r o s i o n of r e l a t i v e l y d r y m a t e r i a l upon wetting.

Slopes i n l o e s s a r e
f r e q u e n t l y more s t a b l e when c u t v e r t i c a l t o p r e v e n t
i n f i l t r a t i o n . Benches a t i n t e r v a l s can be used t o
reduce e f f e c t i v e s l o p e angles.
Evaluate p o t e n t i a l f o r
c o l l a p s e a s described i n DM 7.1, Chapter 1. (See
DM-7.3, Chapter 3 f o r f u r t h e r guidance.)

Residual S o i l s

S i g n i f i c a n t l o c a l v a r i a t i o n s i n p r o p e r t i e s can be
expected depending on t h e w a t h e r i n g p r o f i l e from
p a r e n t rock.
Guidance based on recorded o b s e r v a t i o n
provides prudent b a s i s f o r design.

S e n s i t i v e Clays

Considerable l o s s of s t r e n g t h upon remolding g e n e r a t e d

by n a t u r a l o r man-made d i s t u r b a n c e . Use a n a l y s e s
based on unconsolidated undrained tests o r f i e l d vane
tests.

Talus

Talus i s c h a r a c t e r i z e d by l o o s e a g g r e g a t i o n of rock
t h a t accumulates a t t h e f o o t of rock c l i f f s .
Stable
s l o p e s a r e commonly between 1-114 t o 1-314 h o r i z o n t a l
t o 1 vertical.
I n s t a b i l i t y i s a s s o c i a t e d with abundance of water, mostly when snow i s melting.

Loose Sands

May s e t t l e under b l a s t i n g v i b r a t i o n , o r l i q u i f y ,
s e t t l e , and l o s e s t r e n g t h i f s a t u r a t e d . Also prone t o
e r o s i o n and piping.

TABLE 2
F a c t o r s C o n t r o l l i n g Excavation S t a b i l i t y

Construction Activity

Comments

Objectives

Dewatering

To prevent b o i l i n g , s o f t e n i n g ,
o r heave i n e x c a v a t i o n bottom,
reduce l a t e r a l p r e s s u r e s on
s h e e t i n g , reduce seepage press u r e s on f a c e of open c u t ,
e l i m i n a t e p i p i n g of f i n e s
through s h e e t i n g .

I n v e s t i g a t e s o i l c o m p r e s s i b i l i t y and
e f f e c t of dewatering on s e t t l e m e n t of
nearby s t r u c t u r e s ; c o n s i d e r r e c h a r g i n g
o r s l u r r y w a l l c u t o f f . Examine f o r
presence of lower a q u i f e r and need t o
dewater.
I n s t a l l piezometer i f needed.
Consider e f f e c t s of dewatering i n
c a v i t y - l a d e n l i m e s t o n e . Dewater i n
advance of excavation.

Excavation and Grading

Pipe t r e n c h i n g , basement
e x c a v a t i o n , s i t e grading.

Analyze s a f e s l o p e s ( s e e DM-7.1, Chapter

7 ) o r b r a c i n g requirement ( s e e Chapter
3 ) , e f f e c t s of s t r e s s r e d u c t i o n on overc o n s o l i d a t e d , s o f t o r s w e l l i n g s o i l s and
shales
Consider hor i zont a 1 and v e r t ic a l movements i n a d j a c e n t a r e a s due t o
e x c a v a t i o n and e f f e c t on nearby s t r u c t u r e s . Keep equipment and s t o c k p i l e s a
s a f e d i s t a n c e from t o p of excavation.

Excavation Wall C o n s t r u c t i o n

>

To s u p p o r t v e r t i c a l e x c a v a t i o n
walls, t o s t a b i l i z e trenching
i n l i m i t e d space.

See Chapter 3 f o r w a l l design. Reduce

e a r t h movements and b r a c i n g s t r e s s e s ,
where n e c e s s a r y , by i n s t a l l i n g l a g g i n g
on f r o n t f l a n g e of s o l d i e r p i l e .
Cons i d e r e f f e c t of v i b r a t i o n s due t o d r i v i n g s h e e t p i l e s o r s o l d i e r p i l e s . Cons i d e r dewatering r e q u i r e m e n t s a s w e l l a s
wall s t a b i l i t y i n calculating sheeting
depth. Movement monitoring may be
warranted.

TABLE 2 (continued)
Factors C o n t r o l l i n g Excavation S t a b i l i t y

Construction A c t i v i t y

Comments

Objectives

Blasting

To remove o r t o f a c i l i t a t e t h e
removal of rock i n the excavation.

Consider e f f e c t of v i b r a t i o n s on s e t t l e ment o r damage t o a d j a c e n t a r e a s . Design

and monitor o r r e q u i r e t h e c o n t r a c t o r t o
design and monitor b l a s t i n g i n c r i t i c a l
a r e a s ; r e q u i r e a pre-construction survey
of nearby s t r u c t u r e s .

Anchor o r S t r u t I n s t a l l a t i o n , Wedging of S t r u t s ,
Pre-stressing Ties

To o b t a i n support system
s t i f f n e s s and i n t e r a c t i o n .

Major excavations r e q u i r e c a r e f u l i n s t a l l a t i o n and monitoring, e.g., c a s e anchor

h o l e s i n c o l l a p s i b l e s o i l s ; measure
stress i n ties and s t r u t s ; wedging, e t c .

--

3.
SUPPORT SYSTEMS.
lows :

Excavation s u p p o r t systems commonly used a r e a s f o l -

a. Trench S h i e l d . A r i g i d p r e f a b r i c a t e d s t e e l u n i t used i n l i e u o f
s h o r i n g , which e x t e n d s from t h e bottom of t h e e x c a v a t i o n t o w i t h i n a few f e e t
of t h e t o p of t h e c u t .
Pipes a r e l a i d w i t h i n t h e s h i e l d , which i s p u l l e d
ahead, a s t r e n c h i n g proceeds, a s i l l u s t r a t e d i n F i g u r e 1 (from Reference 4 ,
Cave-In! by P e t e r s e n ) . T y p i c a l l y , t h i s system i s u s e f u l i n l o o s e g r a n u l a r o r
s o f t cohesive s o i l s where e x c a v a t i o n d e p t h does n o t exceed 1 2 f e e t . S p e c i a l
s h i e l d s have been used t o d e p t h s of 30 f e e t .
b. Trench Timber Shoring. Table 3 i l l u s t r a t e s t h e Occup&tional S a f e t y
and H e a l t h A c t ' s minimum requirements f o r t r e n c h shoring.
Braces and s h o r i n g
of t r e n c h a r e c a r r i e d a l o n g w i t h t h e excavation.. Braces and d i a g o n a l s h o r e s
of timber should n o t be s u b j e c t e d t o compressive s t r e s s e s i n e x c e s s o f :

where :

L = unsupported l e n g t h ( i n c h e s )
D = l e a s t s i d e of t h e timber ( i n c h e s )

S = a l l o w a b l e compressive s t r e s s i n pounds per s q u a r e

i n c h of c r o s s s e c t i o n
Maximum R a t i o

LID=

50

( 1 ) S k e l e t o n Shoring. Used i n s o i l s where cave-ins a r e expected.

A p p l i c a b l e t o most s o i l s t o d e p t h up t o 20 f e e t .
See F i g u r e 2 (from Refere n c e 4 ) f o r i l l u s t r a t i o n and guidance f o r s k e l e t o n shoring.
S t r u c t u r a l components should be designed t o s a f e l y w i t h s t a n d e a r t h p r e s s u r e s .

( 2 ) Close ( T i g h t ) Sheeting. Used i n g r a n u l a r o r o t h e r running

s o i l s , compared t o s k e l e t o n s h o r i n g , i t i s a p p l i c a b l e t o g r e a t e r depths. S e e
i l l u s t r a t i o n i n F i g u r e 3 (from Reference 4).
( 3 ) Box Shoring. Applicable t o t r e n c h i n g i n any s o i l .
Depth l i m i t ed by s t r u c t u r a l s t r e n g t h and s i z e of timber.
Usually l i m i t e d t o 40 f e e t .
See i l l u s t r a t i o n i n F i g u r e 4 (from Reference 4 ) .
( 4 ) T e l e s c o p i c Shoring. Used f o r e x c e s s i v e l y deep t r e n c h e s .
i l l u s t r a t i o n i n F i g u r e 5 (Reference 4).

See

c. S t e e l S h e e t i n g and Bracing. S t e e l s h e e t i n g and b r a c i n g can be used

i n l i e u of timber shoring.
S t r u c t u r a l members should s a f e l y w i t h s t a n d water
and l a t e r a l e a r t h
S t e e l s h e e t i n g w i t h timber wales and s t r u t s have
a l s o been used.

TABLE 3
C6HA Requirents (Minjmum) hr Trench Sbring
J

Size a d Spacirg of Menbers

cross &aces1

Stringers

Uprights

Maxinnm Spacing

Width of Trench
i
d or Condition f i i m u n
Depth of K
Dimmion
of Earth
Trench

Maxhuu
Minimun
Dimension Spacing

Inches

Feet

Inches

Feet

Hard, canpact

3x4 or 2x6

Likely to crack

3x4 or 2x6

4x6

Soft, s d y , or
filled

3x4 or 2xfj

Close

4 x 6

Hydrostatic
pressure

3x4 o r 2x6

Close
sheeting

3x4 or 2x6

Likely to crack
Soft , s a d y or
f illed

Feet

5 to 10

MPcirmm
Spcing

11 t o 15 Hard

Hydrostatic
pressure

IbriVertical zontal

Upto 4 t o 6 7 t o 9
feet
3 feet feet

lot012 13to15
feet
feet

Incks Inches I n c k s

Inches

Incks

Feet

Feet

......... ........ 2 x 6

4 x 4

4x6

6 x 5

6 x 8

2x6

4 x 4

4 x 6

6 x 6

6 x 8

4 x 4

4x6

6x6

6 x 8

8 x 8

6 x 8

4 x 4

4 x 6

6 x 6

6 x 8

8 x 8

4x6

4 x 4

4x6

6 x 6

6 x 8

8 x 8

3x4 or 2x6

4x 6

4 x 4

4x6

6 x 6

6 x 8

8 x 8

3x4 or 2x6

Close
skting

4 x 6

4x6

6 x 6

6 x 8

8 x 8

8x10

3x6

Close
sheeting

8 x 10

4 x 6

6 x 6

6 x 8

8 x 8

8x10

sktirlg

Trench jacks may be used i n lieu of, or i n canbination d t h , cross braces.

Where desirable, steel s k t piling a d bracirg of equal strength may be substituted for mod.

Requirements f o r S k e l e t o n S h o r i n g

TRENCH

UPRIGHTS

-s

s m

Size

brizontal
SPC~%

Size

Vert id
Spacis

Size

brizontal
Spacis

Up t o 42" 4' t o 10'

2" x 6"

3' cc

2" x 6"

(a)

2"x61'(b)

6'c-c

Over 42"

4' t o 10'

2" x 6"

3' c-c

4" x 6"

4' c-c

4" x 6"(b)

6' c c

Up t o 42"

10' t o 15'

2" x 6"

3' c-c

2" x 6"

(c)

2" x 6"(d)

6' crc

Up t o 42"

Over 15'

2" x 6"

(XEE

4"x12"

4"x12"

6' c c

Width

Ikpth

4'cc

NOlES:
CLOSE: Close u p r i g h t s up t i g h t .
Center-to-Center
c-c:
( a ) Minimum: Two s t r i n g e r s , one on top and one on bottom.
( b ) Minimum: Two s t r u t s t o 7' depth and t h r e e t o 10'.
( c ) Minimum: Three s t r i n g e r s , placed top, bottom and center.
(d) Minimum: Three s t r u t s t o 13' depth and four t o 15'.

FIGURE 2
Skeleton Shoring
7.2-10

Requirements f o r Close S h e e t i n g
r

Ibrizuntal

Width

Depth

Size

SIRUrS

sTmmRs

m
G
I
.
r
J
s

mENQI

s@%

size

Vertical
s@%

Ibrinmtal

Size

s@%

Up t o 42" 4' to 10'

2" x 6"

UDSE

4"x6"

(a)

4" x 6"

6' c-c

4' t o 10'

2" x 6"

UDSE

Vx6'

(a)

4" x 6"

6' cc

O\Rr 42"

Up t o 42" 10' t o 15' 2" x 6"

UX33

4"x6"

2" x 6"

UDSE

4"x12"

Up to 42"

Over 15'

(b)

4'-

Vx6"

6' c c

4"x12"

6' e c

N(7IES:
-

CLOSE: Close uprights up tight.

Center-toanter
c-c:
( a ) Minimum: Two s t r i n g e r s , one on top and one on bottom.
(b) Minimum: Two s t r u t s t o 7' depth and three t o 10'.
( c ) Minimum: Three stringers, placed top, bottom and center.
(d) Minimum: Three s t r u t s t o 13' depth and four t o 15'.

FIGURE 3
Close ( T i g h t ) Sheeting

FIGURE 4
Box Shoring

FIGURE 5
Telescopic Shoring

Section 4.
1.
WALL
selection
Figure 6.
Reference

BRACED EXCAVATIONS

TYPES. Commonly used wall types and l i m i t a t i o n s t o be c o n s i d e r e d i n

a r e given i n Table 4. Schematics of support systems a r e shoyn on
A d e s c r i p t i o n of w a l l types l i s t e d i n Table 4 is presented i n
5, L a t e r a l Support Systems and Underpinning, by Goldberg, e t al.

2.
SELECTION OF SUPPORT SYSTEM. F a c t o r s t o be considered i n s e l e c t i n g types
of support systems a r e given i n Table 5.
,

3.
EARTH PRESSURES. The tm l i m i t i n g pressures which may act on the w a l l
a r e t h e s t a t e s of a c t i v e pressure and passive pressure. D e f i n i t i o n s and
methods f o r computing e a r t h pressures a r e presented i n Chapter 3.
For most p r a c t i c a l c a s e s , c r i t e r i a f o r e a r t h p r e s s u r e s do not e x a c t l y conform
t o t h e s t a t e of a c t i v e , passive o r a t rest pressure. Actual e a r t h p r e s s u r e
depends on w a l l deformation and t h i s i n t u r n depends on s e v e r a l f a c t o r s .
Among t h e p r i n c i p a l f a c t o r s a r e : (1) s t i f f n e s s of w a l l and support systems;
(2) s t a b i l i t y of t h e excavation; and (3) depth of excavation and w a l l
deflection.
The e f f e c t s of w a l l d e f l e c t i o n on p r e s s u r e d i s t r i b u t i o n , and d i f f e r e n c e s between s t r u t l o a d s computed from a c t i v e e a r t h pressure theory and those a c t u a l l y measured f o r deep excavation i n s o f t c l a y , a r e i l l u s t r a t e d i n Reference 6 ,
s t a b i l i t y of ~ l e x i b l eS t r u c t u r e s by Bjerrum, e t a l . A s many d i f f e r e n t v a r i a b l e s a f f e c t p r e s s u r e s a c t i n g on w a l l s , many types of a n a l y s e s a r e a v a i l a b l e
f o r s p e c i a l s i t u a t i o n s . ( D e t a i l s concerning t h e s e a r e given i n Reference 7,
Braced Excavation by Lambe.) Examples of e a r t h p r e s s u r e computations are
given i n Chapter 3.
4.
OTHER DESIGN AND CONSTRUCTION CONSIDERATIONS. Several f a c t o r s o t h e r t h a n
e a r t h p r e s s u r e s a f f e c t t h e s e l e c t i o n , d e s i g n and t h e performance of braced
excavations.
See Table 6 f o r a summary of t h e s e f a c t o r s .

LATERAL MOVEMENTS. For w e l l constructed s t r u t t e d excavations i n d e n s e

5.
sands and till, maximum l a t e r a l w a l l movements a r e o f t e n less than 0.2% of
In
excavation depth. L a t e r a l movements a r e u s u a l l y less f o r t i e d back w a l l s .
s t i f f f i s s u r e d c l a y s , l a t e r a l movements may reach 0.5% o r higher depending on
q u a l i t y of c o n s t r u c t i o n . In s o f t c l a y s , a major p o r t i o n of movement o c c u r s
below excavation bottom. L a t e r a l movement may be i n t h e range of 0.5% t o 2%
of excavation depth, depending on the f a c t o r of s a f e t y a g a i n s t b o t t a n i n s t a b i l i t y . Higher movements a r e a s s o c i a t e d w i t h lesser f a c t o r s of s a f e t y .
SOIL SETTLEMENTS BEHIND WALLS. Reference 8, Deep Excavations and Tunnel6.
i n g i n S o f t Ground by Peck, provides guidance based on e m p i r i c a l o b s e r v a t i o n
of s e t t l e m e n t behind wall. Settlements up t o about 1%of t h e e x c a v a t i o n d e p t h
have been measured behind w e l l c o n s t r u c t e d w a l l s f o r c u t s i n sand and i n medium s t i f f c l a y s . In s o f t e r c l a y s , t h i s may be a s high a s 2% and c o n s i d e r a b l y
more i n very s o f t clays.
,

TABLE 4
Types of Walls

Name

Typical E I Values
P e r Foot ( k s f )
900

90,000

S o l d i e r P i l e and
Lagging

2,000

120,000

Cas t-in-place
o r Pre-cast Conc r e t e Slurry
Wall (diaphragm
w a l l s , s e e DM7.3, Chapter 3 )

288,000

2,300,000

(1)

S t e e l Sheeting

(2)

(3)

Comments

(4)

Cylinder P i l e
Wall

115,000

1,000,000

Can be impervious
Easy t o h a n d l e and c o n s t r u c t
Easy t o handle and c o n s t r u c t
Permits drainage
Can be d r i v e n o r augered
Can be impervious
Relatively high s t i f f n e s s
Can be p a r t of permanent
structure
Can be p r e s t r e s s e d
R e l a t i v e l y less l a t e r a l w a l l
movement pe mi t t ed compared
t o ( 1 ) and ( 2 )
High i n i t i a l c o s t
Specialty contractor
required t o construct
Very l a r g e and heavy w a l l
must be used f o r deep
systems
Permits y i e l d i n g of subs o i l s , but precast concrete
u s u a l l y shows l e s s y i e l d i n g
than s t e e l sheeting o r
s o l d i e r p i l e procedures.
Secant p i l e s impervious
Relatively high s t i f f n e s s
Highly s p e c i a l i z e d equipment
n o t needed f o r t a n g e n t p i l e s
S l u r r y n o t needed

A. CANTILEVER WALL

B. CROSS-LOT BRACED WALL

F;DUNDATION SLAB
C. RAKER SYSTEM

D. ANCHOR OR TIEBKK WALL

E. EARTH BERM SUPPORT

FIGURE 6
Support S y s t e m
Walled Excavation

TABLE 5
F a c t o r s Involved i n Choice of A Support System
For A Deep Excavation (> 20 f e e t )

Requirements

Lends I t s e l f t o Use Of

Comment s

1.

Open excavation
area

Tiebacks o r r a k e r s o r
c a n t i l e v e r w a l l s (shallow
excavation)

2.

Low i n i t i a l c o s t

Soldier p i l e o r s h e e t p i l e
walls; combined s o i l slope
with wall

3.

Use a s p a r t of
permanent
structure

Diaphragm ( s e e DM 7.3
Chapter 3 ) o r c y l i n d e r
p i l e walls

Diaphragm w a l l most
common a s permanent w a l l .

4.

Deep, s o f t c l a y
subsurface conditions

Strutted o r raker
supported diaphragm o r
cylinder p i l e walls

Tieback c a p a c i t y n o t
adequate i n s o f t c l a y s .

5.

Dense, g r a v e l l y
sand o r c l a y
subsoils

S o l d i e r p i l e , diaphragm
o r cylinder p i l e

6.

Deep, overconsolidated clays

S t r u t s , long t i e b a c k s o r
combination t i e b a c k s and
struts.

High i n s i t u l a t e r a l
stresses a r e relieved i n
overconsolidated s o i l s .
L a t e r a l movements may b e
l a r g e and extend deep i n t o
soil.

7.

Avoid dewatering

Diaphragm w a l l s , p o s s i b l y
sheetpile walls i n soft
subsoils

S o l d i e r p i l e wall i s
pervious.

8.

Minimize
movements

High preloads on s t i f f
s t r u t t e d o r tied-back w a l l

Analyze f o r s t a b i l i t y o f
bottom of excavation.

9.

Wide excavation
( g r e a t e r than
65 f e e t wide)

Tiebacks o r r a k e r s

Tiebacks p r e f e r a b l e except
i n very s o f t c l a y subsoils.

10.

Narrow excavat i o n ( l e s s than

65 f e e t wide)

Crosslot s t r u t s

S t r u t s more economical but

t i e b a c k s s t i l l may be
p r e f e r r e d t o keep excav a t i o n open.

S h e e t p i l e s may l o s e
i n t e r l o c k on hard d r i v i n g .

TABLE 6
Design C o n s i d e r a t i o n s f o r Braced and Tieback Walls

Design F a c t o r

Comments

1.

Water Loads

Often g r e a t e r t h a n e a r t h l o a d on impervious wall.

Recommended piezometers
d u r i n g c o n s t r u c t i o n t o monitor water l e v e l s . Should c o n s i d e r p o s s i b l e
lower water p r e s s u r e s a s a r e s u l t of seepage through o r under w a l l .
Dewatering can be used t o reduce water l o a d s .
Seepage under w a l l r e d u c e s
passive r e s i s t a n c e .

2.

Stability

Consider p o s s i b l e i n s t a b i l i t y i n any berm o r exposed slope.

S l i d i n g potent i a l beneath t h e w a l l o r behind t i e b a c k s should be e v a l u a t e d . Deep s e a t e d
b e a r i n g f a i l u r e under weight of s u p p o r t e d s o i l t o be checked i n weak s o i l s .
S t a b i l i t y should c o n s i d e r weight of s u r c h a r g e o r t h e weight of o t h e r
f a c i l i t i e s i n c l o s e proximity t o e x c a v a t i o n .

3.

Piping

Loss of ground caused by h i g h groundwater t a b l e and s i l t y and f i n e sand

s o i l s . D i f f i c u l t i e s occur due t o flow b e n e a t h w a l l , through bad j o i n t s i n
w a l l s , o r through unsealed s h e e t p i l e h a n d l i n g h o l e s .
Dewatering may b e
required.

4.

Movements

Movements can be minimized through use of s t i f f w a l l supported by preloaded

t i e b a c k o r braced system.

5.

Dewatering

6.

Surcharge

C o n s t r u c t i o n m a t e r i a l s u s u a l l y s t o r e d n e a r w a l l systems.
always be made f o r surcharge.

7.

P r e s t r e s s i n g of t i e
backs o r s t r u t s

Useful t o remove s l a c k from system and minimize s o i l movements.

recharge

Dewatering r e d u c e s l o a d s on w a l l systems and minimizes p o s s i b l e l o s s of

ground due t o piping. May cause s e t t l e m e n t s and w i l l t h e n need t o r e c h a r g e
o u t s i d e of s u p p o r t system.
Allowance should

TABLE 6 (continued)
Design Considerations f o r Braced and Tieback Walls

Comments

Design F a c t o r

8.

Construction Sequence

The amount of wall movement i s dependent on t h e depth of excavation. The

amount of load on t h e t i e backs i s dependent on t h e amount of w a l l movement
which occurs b e f o r e t h e y a r e i n s t a l l e d . Movements of wall should be
checked a t every major c o n s t r u c t i o n stage. Upper s t r u t s should be
i n s t a l l e d early.

9,

Temperature

S t r u t s s u b j e c t t o load f l u c t u a t i o n due t o temperature l o a d s ; may b e

important f o r long s t r u t s .

10.

Frost Penetration

I n very c o l d c l i m a t e s , f r o s t p e n e t r a t i o n can cause s i g n i f i c a n t loading on

wall system. Design of upper p o r t i o n of system should be conservative.
Anchors may have t o be heated. Freezing temperatures a l s o can cause
blockage of flow and t h u s unexpected buildup of water pressure.

11.

Earthquakes

Seismic l o a d s may be induted during earthquake,

12.

F a c t o r s of S a f e t y

See DM-7.3,

Chapter 1.

Suggested Minimum Design Factor of S a f e t y

f o r Overall S t a b i l i t y
I

Item

Permanent

Temporary

E a r t h Berms
Cut Slopes
Bottom heave above foundation level
General s t a b i l i t y
Bottan heave a t foundation
level

2.0
1.5
1.5

1.5
1.3
1.5

1.5
2.0

1.3
1.5

Note:

These v a l u e s a r e suggested g u i d e l i n e s only.

f a c t o r depends on p r o j e c t requirements.

Design s a f e t y

7.
PROTECTION OF ADJACENT STRUCTURES. E v a l u a t e t h e e f f e c t s of b r a c e d excav a t i o n s on a d j a c e n t s t r u c t u r e s t o determine whether e x i s t i n g b u i l d i n g foundat i o n s a r e t o be p r o t e c t e d .
See DM-7.3, Chapters 2 and 3 on s t a b i l i z i n g found a t i o n s o i l s and methods of underpinning.
F i g u r e 7 (modified from R e f e r e n c e
9, Damage t o B r i c k Bearing Wall ~ t r u c t u ; e s ~ a i s e dby Adjacent Braced C u t s and
Tunnels. bv O'Rourke. e t a l . ) i l l u s t r a t e s a r e a s behind a braced w a i l where
underpinning i s o r may be r e q u i r e d .
s

F a c t o r s i n f l u e n c i n g t h e type of b r a c i n g used and t h e need f o r u n d e r p i n n i n g

include :
( a ) L a t e r a l d i s t a n c e of e x i s t i n g s t r u c t u r e from t h e braced e x c a v a t i o n .
E m p i r i c a l o b s e r v a t i o n s on t h i s can be found i n Reference 8.
( b ) Lowering groundwater can cause s o i l c o n s o l i d a t i o n and s e t t l e m e n t of
structures.
( c ) Dewatering should be p r o p e r l y c o n t r o l l e d t o e n s u r e t h e r e i s n o
removal of f o u n d a t i o n s o i l s o u t s i d e t h e e x c a v a t i o n .
( d ) T o l e r a n c e of s t r u c t u r e s t o movement.
See DM-7.1, Chapter 5 f o r
e v a l u a t i o n of t o l e r a n c e of s t r u c t u r e t o v e r t i c a l movements.
V e r t i c a l and
l a t e r a l movements produce h o r i z o n t a l s t r a i n s i n s t r u c t u r e . Guidance o n
p e r m i s s i b l e h o r i z o n t a l s t r a i n s f o r s t r u c t u r e s i s g i v e n i n Reference 9.
S e c t i o n 5.

ROCK EXCAVATION

1.
OBJECTIVE. Primary o b j e c t i v e i s t o conduct work i n such a manner t h a t a
s t a b l e e x c a v a t i o n w i l l be maintained and t h a t rock o u t s i d e t h e e x c a v a t i o n
prism w i l l n o t be a d v e r s e l y d i s t u r b e d .
2.
PRELIMINARY CONSIDERATIONS. Rock e x c a v a t i o n planning must be b a s e d o n
d e t a i l e d g e o l o g i c a l d a t a a t t h e s i t e . To t h e e x t e n t p o s s i b l e , s t r u c t u r e s t o
be c o n s t r u c t e d i n rock should be o r i e n t e d f a v o r a b l y w i t h t h e g e o l o g i c a l s e t ting.
For example, t u n n e l s should be a l i g n e d w i t h a x i s p e r p e n d i c u l a r t o t h e
s t r i k e of f a u l t s o r major f r a c t u r e s . Downslope d i p of d i s c o n t i n u i t i e s i n t o a n
open c u t should be avoided.
I n g e n e r a l , f a c t o r s t h a t must be c o n s i d e r e d i n p l a n n i n g , d e s i g n i n g and cons t r u c t i n g a r o c k e x c a v a t i o n a r e a s follows: ( 1 ) presence of s t r i k e , d i p o f
f a u l t s , f o l d s , f r a c t u r e s , and o t h e r d i s c o n t i n u i t i e s ; ( 2 ) i n s i t u stresses; ( 3 )
groundwater c o n d i t i o n s ; ( 4 ) n a t u r e of m a t e r i a l f i l l i n g j o i n t s ; (5) d e p t h and
s l o p e of c u t ; ( 6 ) s t r e s s e s and d i r e c t i o n of p o t e n t i a l s l i d i n g s u r f a c e s ; ( 7 )
dynamic l o a d i n g , i f any; ( 8 ) d e s i g n l i f e of c u t a s compared t o w e a t h e r i n g o r
d e t e r i o r a t i o n r a t e of r o c k f a c e ; ( 9 ) r i p p a b i l i t y a n d / o r t h e need f o r b l a s t i n g ;
and (10) e f f e c t of e x c a v a t i o n a n d / o r b l a s t i n g on a d j a c e n t s t r u c t u r e s .
The i n f l u e n c e of most of t h e s e f a c t o r s on e x c a v a t i o n s i n rock i s similar t o
t h a t of e x c a v a t i o n s i n s o i l , s e e DM-7.1, Chapter 7.

TIGHTLY BRACED/ T I E
EXCAVATION WALL

BASE OF STABLE AND DEWATORED

EXCAVATION

ZONE A:
FOUNDATIONS WITHIN T H I S ZONE GENERALLY REQUIRE UNDERPINNING.

ZONE B:
FOUNDATIONS WITHIN T H I S ZONE GENERALLY MAY NOT REQUIRE UNDERPINNING
DEPENDING ON TYPE OF STRUCTURE AND LOADING CONDITIONS.
ZONE C:
UNDERPINNING I F USED MUST BE FOUNDED I N T H I S ZONE TO APPROPRIATE DEPTHS
ESTABLISHED BY EXPLORATION AND ANALYSIS.
Note:

A d d i t i o n a l d e t a i l s on underpinning m a y be found i n DM-7.3,

FIGURE 7
G e n e r a l G u i d a n c e for U n d e r p i n n i n g

C h a p t e r 3.

3.
RIPPABILITY. Excavation e a s e o r r i p p a b i l i t y can be a s s e s s e d a p p r o x i m a t e l y from f i e l d o b s e r v a t i o n i n s i m i l a r m a t e r i a l s o r by u s i n g s e i s m i c v e l o c i t y ,
f r a c t u r e s p a c i n g , o r p o i n t l o a d s t r e n g t h index. F i g u r e 8 (from R e f e r e n c e 10,
Handbook of Ripping, by C a t e r p i l l a r T r a c t o r Co.) shows an example of charts
f o r heavy d u t y r i p p e r performance ( r i p p e r mounted on t r a c k e d b u l l d o z e r ) as
r e l a t e d t o s e i s m i c wave v e l o c i t y .
Charts s i m i l a r t o Figure 8 a r e a v a i l a b l e
from v a r i o u s equipment manufacturers. F i g u r e 8 i s f o r guidance and r e s t r i c t e d
i n a p p l i c a b i l i t y t o l a r g e t r a c t o r s h e a v i e r t h a n 50 t o n s w i t h engine h o r s e p o w e r
g r e a t e r than 350 Hp. Ripper performance i s a l s o r e l a t e d t o c o n f i g u r a t i o n of
r i p p e r t e e t h , equipment c o n d i t i o n and s i z e , and f r a c t u r e o r i e n t a t i o n .
Another t e c h n i q u e of r e l a t i n g p h y s i c a l p r o p e r t i e s of r o c k t o e x c a v a t i o n e a s e
i s shown on F i g u r e 9 (from Reference 11, Logging t h e Mechanical C h a r a c t e r of
Rock, by F r a n k l i n , e t a l . ) where f r a c t u r e frequency ( o r s p a c i n g ) i s p l o t t e d
a g a i n s t t h e p o i n t l o a d s t r e n g t h index c o r r e c t e d t o a r e f e r e n c e d i a m e t e r of 50
mm.
(See Reference 12, The Point-Load S t r e n g t h T e s t , by Broch and F r a n k l i n . )
A t h i r d and u s e f u l technique i s e x p l o r a t i o n t r e n c h i n g i n which t h e d e p t h o f
u n r i p p a b l e r o c k can be e s t a b l i s h e d by d i g g i n g t e s t t r e n c h e s i n rock u s i n g
r i p p e r s ( o r o t h e r e x c a v a t i o n equipment) a n t i c i p a t e d t o be used f o r t h e project.
The s i z e and shape of t h e a r e a t o be excavated i s a s i g n i f i c a n t f a c t o r
i n determining t h e need f o r b l a s t i n g , o r t h e equipment needed t o remove t h e
rock.

4.

BLASTING. Of major concern i s t h e i n f l u e n c e of t h e b l a s t i n g on a d j a c e n t

s t r u c t u r e s . The maximum p a r t i c l e v e l o c i t y ( t h e l o n g i t u d i n a l v e l o c i t y o f a
p a r t i c l e i n t h e d i r e c t i o n of t h e wave t h a t i s g e n e r a t e d by t h e b l a s t ) i s
accepted a s a c r i t e r i o n f o r e v a l u a t i n g t h e p o t e n t i a l f o r s t r u c t u r a l damage
induced by b l a s t i n g v i b r a t i o n . The c r i t i c a l l e v e l of t h e p a r t i c l e v e l o c i t y
depends on t h e frequency c h a r a c t e r i s t i c s of t h e s t r u c t u r e , frequency of ground
and rock motion, n a t u r e of t h e overburden, and c a p a b i l i t y of t h e s t r u c t u r e t o
withstand dynamic s t r e s s . F i g u r e 10 can be used f o r e s t i m a t i n g t h e maximum
p a r t i c l e v e l o c i t y , which can then be used i n F i g u r e 11 (from R e f e r e n c e 1 3 ,
B l a s t i n g V i b r a t i o n s and T h e i r E f f e c t s on S t r u c t u r e s , by Bureau of M i n e s ) t o
e s t i m a t e p o t e n t i a l damage t o r e s i d e n t i a l s t r u c t u r e s . Guidance f o r human
response t o b l a s t i n g v i b r a t i o n s i s g i v e n i n Figure 12 (from Reference 1 4 ,
~ n g i n e d r i n gof Rock B l a s t i n g on C i v i l P r o j e c t s , by Hendron).
Once i t has been determined t h a t b l a s t i n g i s r e q u i r e d , a p r e - b l a s t i n g s u r v e y
should be performed. As a minimum, t h i s should i n c l u d e : ( a ) e x a m i n a t i o n of
t h e s i t e ; ( b ) d e t a i l e d examination and perhaps photographic r e c o r d s o f a d j a c e n t s t r u c t u r e s ; and ( c ) e s t a b l i s h m e n t of h o r i z o n t a l and v e r t i c a l s u r v e y cont r o l points.
I n a d d i t i o n , t h e p o s s i b i l i t y of v i b r a t i o n monitoring s h o u l d b e
c o n s i d e r e d , and monitoring s t a t i o n s and s c h e d u l e s should be e s t a b l i s h e d .
During c o n s t r u c t i o n , d e t a i l e d r e c o r d s should be k e p t o f : ( a ) charge w e i g h t ,
( b ) l o c a t i o n of b l a s t p o i n t and d i s t a n c e from e x i s t i n g s t r u c t u r e s , ( c ) d e l a y s ,
and ( d ) r e s p o n s e a s i n d i c a t e d by v i b r a t i o n monitoring. For s a f e t y , s m a l l
c h a r g e s should be used i n i t i a l l y t o e s t a b l i s h a s i t e s p e c i f i c r e l a t i o n s h i p
between c h a r g e weight, d i s t a n c e , and response.

TOPS01L
CLAY
GLACIAL TILL
IGNEOUS ROCKS

--.---a

--.-- .

a*

SEDl MENTARY ROCKS

CONGWMERATE

METAMORPHIC ROCKS

RIPPABLE
MARGINAL
NON-RIPPABLE

--------

2 3

7 8 9

1011 1 2 1 3 1 4 1 5 1 6

LONGITUDINAL VELOCITY IN FT. PER SEC.

(THOUSANDS)

FIGURE 8
Rippability of Subsurface Materials Related to Longitudinal
Seismic Velocity for a Heavy Duty Ripper (Tractor-Mounted)

LL

POINT LOAD STRENGTH 1, (50)TONSIFT

POINT LOAD STRENGTH CORRECTED TO A REFERENCE DIAMETER OF 5 0 MM.

FIGURE 9
suggested Guide for Ease of Excavation

0
2 0 3 0 5070100
R/(w)I)S, FT./LR@

200

SCALED RANGE

EXAMPLE :

Weight of Explosive Charge = 8 l b s . = W

Distance from Blast Point = 100 f t. = R

~ / ( w i 1 / 3 = 50
Peak Vr = 0.5 i n / s e c from chart
L

FIGURE 10
Cube Root Scaling Versus Maximum P a r t i c l e Velocity

10.0

9.0-

--

MAJOR DAMAGE
(FALL OF PLASTER,
8.0 SERIOUS CRACKING)

cj
W

q
z
1

>
k
0

>
W
J

7.0-

MINOR DAMAGE
(FINE PLASTER
5.0- CRACKS,OPENING
OF OLD CRACKS)
6.0

4.03.0

CAUTION

5 '"1
1 .O

SAFE

FIGURE 11
Guideline f o r Assessing P o t e n t i a l f o r Damage Induced by
B l a s t i n g V i b r a t i o n t o R e s i d e n t i a l S t r u c t u r e Founded on
Dense S o i l o r Rock

10.0 b

10.0
DAMAGE

DAMAGE
4.0

4O
.

CAUTION

CAUTION

2.o

2.0
SEVERE

1.2
1.0

1.0

DISTURBING

-I

SEVERE.

COMPLAINTS
LIKELY

04

3W

>
0.2

k
0

0.1

0.1

NOT ICEABLE

0.06

NOT lCEAeCE
COMPLAINTS
POSSlBLE
0.02

0.01

TRANSIENT MOTION.
NO SOWD EFFECTS.
lMPARTIAL OBSERVER.

.
A

0.01
BLAST1NG VIBRATIONS
ACOOMe#NIED BY SOUND
EFFECTS.
B lASEO OBSERVER.

FIGURE 12
Guide for Predicting Human Response t o Vibrations and Blasting E f f e c t s

S e c t i o n 6.

GROUNDWATER CONTROL

1.
APPLICATION. Excavations below t h e groundwater t a b l e r e q u i r e groundw a t e r c o n t r o l t o permit c o n s t r u c t i o n i n t h e d r y and m a i n t a i n t h e s t a b i l i t y of
e x c a v a t i o n base and s i d e s . T h i s i s accomplished by c o n t r o l l i n g s e e p a g e i n t o
t h e e x c a v a t i o n and c o n t r o l l i n g a r t e s i a n water p r e s s u r e s below t h e b o t t o m of
t h e excavation.
2.
METHOD. See Table 7 (modified from Reference 15, C o n t r o l of Groundwater
by Water Lowering, by Cashman and H a r r i s ) f o r methods of c o n t r o l l i n g groundw a t e r , t h e i r a p p l i c a b i l i t y- ,- and l i m i t a t i o n s . W e l l p o i n t s , deep w e l l s , a n d
sumps a r e most- commonly used. F i g u r e s 13(A) (from- ~ e f e r e n c e and 1 3 ( ~ )
(from Reference 16, Design and C o n s t r u c t i o n of Dry Docks, by Mazurkiewbcz)
show a dewatering system u s i n g deep w e l l s , and a two s t a g e w e l l p o i n t system.
F i g u r e s 13(C) and 13(D) (from Reference 16) shows d e t a i l s of a w e l l p o i n t
system, and a deep w e l l w i t h e l e c t r i c submersible pump. See F i g u r e 1 4 (from
Reference 2 ) f o r a p p l i c a b l e limits of dewatering methods.

i)

3.
DESIGN PROCEDURE. See DM-7.1, Chapter 6 f o r d e s c r i p t i o n of d e s i g n . p r o c e d u r e s f o r groundwater c o n t r o l . For a d d i t i o n a l guidance on groundwater c o n t r o l
s e e NAVFAC P-418.
S e c t i o n 7.

EXCAVATION STABILIZATION, MONITORING, AND SAFETY

1.
STABILIZATION. During t h e planning and d e s i g n s t a g e , i f a n a l y s e s i n d i c a t e p o t e n t i a l s l o p e i n s t a b i l i t y , means f o r s l o p e s t a b i l i z a t i o n o r r e t e n t i o n
should be c o n s i d e r e d . Some methods f o r c o n s i d e r a t i o n are g i v e n i n C h a p t e r 3.
On o c c a s i o n , t h e complexity of a s i t u a t i o n may d i c t a t e u s i n g v e r y s p e c i a l i z e d
s t a b i l i z a t i o n methods. These may i n c l u d e g r o u t i n g and i n j e c t i o n , g r o u n d
f r e e z i n g , deep d r a i n a g e and s t a b i l i z a t i o n , such as vacuum w e l l s o r e l e c t r o osmosis ( s e e DM-7.3, Chapter 2 ) , and diaphragm w a l l s ( s e e DM-7.3, C h a p t e r 3 ) .

2.
MONITORING. During e x c a v a t i o n , p o t e n t i a l bottom heave, l a t e r a l w a l l o r
s l o p e movement, and s e t t l e m e n t of a r e a s behind t h e w a l l o r s l o p e s h o u l d b e
i n s p e c t e d c a r e f u l l y and monitored i f c r i t i c a l . Monitoring can be a c c o m p l i s h e d
by c o n v e n t i o n a l s u r v e y t e c h n i q u e s , o r by more s o p h i s t i c a t e d means s u c h as
heave p o i n t s , s e t t l e m e n t p l a t e s , extensometers o r i n c l i n o m e t e r s , and a v a r i e t y
of o t h e r d e v i c e s .
See DM-7.1, Chapter 2.
3.
SAFETY. D e t a i l e d s a f e t y requirements vary from p r o j e c t t o p r o j e c t .
As a
g u i d e , s a f e t y requirements a r e s p e c i f i e d by OSHA, see Reference 17, P u b l i c Law
91-596.
A summary of t h e 1980 requirements follows:
a.

OSHA Rules.

( 1 ) Banks more t h a n 4 f e e t high s h a l l be shored o r sloped t o t h e

a n g l e of r e p o s e where a danger of s l i d e s o r cave-ins e x i s t s a s a r e s u l t of
excavation.

::

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TABLE 7 ( c o n t i n u e d )
Methods of Groundwater C o n t r o l

Method

5.

Sheet p i l i n g c u t off

Soils Suitable
For Treatment
A l l t y p e s of s o i l
( e x c e p t b o u l d e r beds).
Tongue and groove wood
sheeting u t i l i z e d f o r
shallow excavations i n
s o f t and medium s o i l s .

Uses
P r a c t i c a 1l y unr es t r i c t e d use.

Comments
Well-understood method u s i n g
readily available plant.
Rapid i n s t a l l a t i o n .
Steel
can be i n c o r p o r a t e d i n perman e n t works o r r e c o v e r e d .
Sump pumping may be r e q u i r e d .
E s t i m a t e seepage flow based
on 0.01 gpmlsq f t of w a l l per
f o o t of d i f f e r e n t i a l head.
Decrease i n t e r l o c k l e a k a g e by
f i l l i n g i n t e r l o c k w i t h sawd u s t , b e n t o n i t e , cement
grout, o r similar materials.

6.

Slurry trench cuto f f ( s e e DM-7.3,

Chapter 3 and
DM-7.1, Chapter 6 )

7.

Freezing ( s e e
DM-7.3, Chapter 2 )
a.

Ammonium/brine
refrigerator

S i l t s , sands, gravels,
and c o b b l e s .

P r a c t i c a l l y unres t r i c t e d . Extensive
c u r t a i n w a l l s around
open e x c a v a t i o n s .

Rapidly i n s t a l l e d .
Can b e
keyed i n t o impermeable s t r a t a
such a s c l a y s o r s o f t shales.
May be i m p r a c t i c a l t o key int o h a r d o r i r r e g u l a r bedrock
s u r f a c e s , o r i n open g r a v e l s .

A l l t y p e s of s a t u r a t e d
s o i l s and rock.

Formation of i c e i n
the voids stops
water.

Treatment e f f e c t i v e from
working s u r f a c e outwards.
Better f o r l a r g e a p p l i c a t i o n s

of long d u r a t i o n .

Treatment

takes longer t i m e t o
develops.

TABLE 7 (continued)
Methods of Groundwater Control

Method
b.

8.

Liquid n i t r o gen r e f r i g e r ant

Soils Suitable
For Treatment

Uses

Comments

A l l types of s a t u r a t e d
s o i l s and rock.

Formation of ice i n
the voids stops
water.

B e t t e r f o r small a p p l i c a t i o n s
of s h o r t d u r a t i o n where quick
Liquid
f r e e z i n g i s required.
n i t r o g e n i s expensive.
Requires s t r i c t s i t e c o n t r o l .
Some ground heave occurs.

A l l s o i l types including those c o n t a i n i n g

boulders.

Deep basements,
underground construction, shafts.

Can be designed t o form p a r t

of a permanent foundation.
Particularly efficient for
c i r c u l a r excavations. Can be
keyed i n t o rock. Minimum
v i b r a t i o n and noise.
Can be
used i n r e s t r i c t e d space.
Can be put down v e r y c l o s e t o
e x i s t i n g foundation.

A l l s o i l types but
p e n e t r a t i o n through
b o u l d e r s may be
d i f f i c u l t and c o s t l y

Deep basements,
underground construction, shafts.

A r a p i d l y i n s t a l l e d , form of
diaphragm wall. Can be keyed
i n t o impermeable s t r a t a such
a s clays o r s o f t shales.

Diaphragm
structural walls
a.

Diaphragm
walls (struct u r a l conc r e t e ) (see
DM-7.3, C h a p
ter 3 )

b. Contiguous
bored p i l e
walls o r
impervious w a l l
of mixed i n
place p i l e s

FIRST STAGE
GROUND

__---FINE SILTY SAND

------__

------------. . .

NOTE: PUMPING FROM FIRST- STAGE SYSTEM LOWERS WATER TABLE APPROXIMATELY 15 FEET WHICH WILL
PERMIT EXCAVATION FOR INSTALLATIONOFSECOND-STACiE SYSTEM.
DEWATERING USING TWO STAGE WELLPOINT SYSTEM WATER LEVEL AFTER FIRST S T A G E @ m M OFEXCAVATION
@WATER LEVEL AFTER SECOND STAGE

TWO STAGE -WELLPOINT SYSTEM

+ 22

22

4. CLAY
5. DEEP WELLS
6. ARTESIAN WATER PRESSURE REDUCED
TO -36 FEET (HORIZONTAL SCALE/VERTlCAL
SCALE = 2/51
7 DOWNWARD PRESSURE (TCTAL WEIGHT OFSOIL)
DEWATERING SYSTEM OF A DRY DOCK PIT

I. PI EZOMETER
2. GROUNDWATER LEVEL
3. SAND

@ COMBlNE WELLPOINT AND DEEPWELL SYSTEM

FIGURE 13
Methods of Construction Dewatering

WATER TABLE

GRAVEL FILTER

JETTING HOLES
(C) DETAILS OF W E W T !WSfW

I. PERFORATED WELL LINER

2. DELIVERY PIPE
3 FILTER MEMA
4. ELECTRIC SUBMERSIBLE PUMP
(Dl DETAILS OF DEEP WELL WITH SUBMERSIBLE PUMP

FIGURE 13 (continued)
Methods of Construction Dewatering

( 2 ) S i d e s of t r e n c h e s i n u n s t a b l e o r s o f t m a t e r i a l , 4 f e e t o r more
i n d e p t h , s h a l l be s h o r e d , s h e e t e d , b r a c e d , s l o p e d , o r o t h e r w i s e s u p p o r t e d by
ineans of sufficient s t r e n g t h t o p r o t e c t t h e employee working w i t h i n them.
( 3 ) S i d e s of t r e n c h e s i n hard o r compact s o i l , i n c l u d i n g embankments, s h a l l be shored o r o t h e r w i s e s u p p o r t e d when t h e t r e n c h i s more t h a n 4
f e e t i n d e p t h and 8 f e e t o r more i n l e n g t h .
I n l i e u of s h o r i n g , t h e s i d e s of
t h e t r e n c h above t h e & f o o t l e v e l may be sloped t o p r e c l u d e c o l l a p s e , b u t
s h a l l n o t be s t e e p e r than a 1-foot r i s e t o each 112-foot h o r i z o n t a l . When t h e
o u t s i d e diameter of a pipe i s g r e a t e r t h a n 6 f e e t , a bench of 4-foot minimum
s h a l l be provided a t t h e t o e of t h e sloped p o r t i o n .
( 4 ) M a t e r i a l s used f o r s h e e t i n g and s h e e t p i l i n g , b r a c i n g , s h o r i n g ,
and underpinning s h a l l be i n good s e r v i c e a b l e c o n d i t i o n . Timbers used s h a l l
be sound and f r e e from l a r g e o r l o o s e k n o t s , and s h a l l be designed and
i n s t a l l e d so a s t o be e f f e c t i v e t o t h e bottom of t h e e x c a v a t i o n .
( 5 ) A d d i t i o n a l p r e c a u t i o n s by way of s h o r i n g and b r a c i n g s h a l l . b e
t a k e n t o p r e v e n t s l i d e s o r cave-ins when ( a ) e x c a v a t i o n s o r t r e n c h e s a r e made
i n l o c a t i o n s a d j a c e n t t o b a c k f i l l e d e x c a v a t i o n s ; o r ( b ) where e x c a v a t i o n s a r e
s u b j e c t e d t o v i b r a t i o n s from r a i l r o a d o r highway t r a f f i c , o p e r a t i o n of
machinery, o r any o t h e r source.

( 6 ) Employees e n t e r i n g bell-bottom p i e r h o l e s s h a l l be p r o t e c t e d by
t h e i n s t a l l a t i o n of a removable-type c a s i n g of s u f f i c i e n t s t r e n g t h t o r e s i s t
s h i f t i n g of t h e surrounding e a r t h .
Such temporary p r o t e c t i o n s h a l l be provided f o r t h e f u l l d e p t h of t h a t p a r t of each p i e r h o l e which i s above t h e b e l l .
A l i f e l i n e , s u i t a b l e f o r i n s t a n t r e s c u e and s e c u r e l y f a s t e n e d t o t h e s h a f t s ,
s h a l l be provided.
This l i f e l i n e s h a l l be i n d i v i d u a l l y manned and s e p a r a t e
from any l i n e used t o remove m a t e r i a l s excavated from t h e b e l l f o o t i n g .
( 7 ) Minimum requirements f o r t r e n c h t i m b e r i n g s h a l l be i n a c c o r d a n c e
w i t h Table 3.

(8) Where employees a r e r e q u i r e d t o be i n t r e n c h e s 3 f e e t deep o r

more, l a d d e r s s h a l l be provided which extend from t h e f l o o r of t h e t r e n c h
e x c a v a t i o n t o a t l e a s t 3 f e e t above t h e t o p of t h e e x c a v a t i o n . They s h a l l be
l o c a t e d t o provide means of e x i t without more t h a n 2 5 f e e t of l a t e r a l t r a v e l .
(9)
excavation.

Bracing o r shoring of t r e n c h e s s h a l l be c a r r i e d a l o n g w i t h t h e

( 1 0 ) Cross b r a c e s o r t r e n c h jacks s h a l l be placed i n t r u e h o r i z o n t a l

p o s i t i o n , spaced v e r t i c a l l y , and secured t o prevent s l i d i n g , f a l l i n g , o r k i c k outs.
( 1 1 ) P o r t a b l e t r e n c h boxes o r s l i d i n g t r e n c h s h i e l d s may be used f o r
t h e p r o t e c t i o n of employees only. Trench boxes o r s h i e l d s s h a l l be d e s i g n e d ,
c o n s t r u c t e d , and maintained t o meet a c c e p t a b l e e n g i n e e r i n g s t a n d a r d s .
( 1 2 ) B a c k f i l l i n g and removal of t r e n c h s u p p o r t s s h a l l p r o g r e s s
t o g e t h e r from t h e bottom of t h e trench.
J a c k s o r b r a c e s s h a l l be r e l e a s e d
s l o w l y , and i n u n s t a b l e s o i l , r o p e s s h a l l be used t o p u l l o u t t h e j a c k s o r
b r a c e s from above a f t e r employees have c l e a r e d t h e t r e n c h .

REFERENCES

1.

Clough, G.W. and Davidson, R.R.,

E f f e c t s of Construction on
Geotechnical Engineering, S p e c i a l t y Session No. 3, R e l a t i o n s h i p Between
Design and Construction i n S o i l Engineering, Ninth I n t e r n a t i o n a l
Conference on S o i l Mechanics and Foundation Engineering, Tokyo, 1977.

2.

Departments of t h e Army and the Air Force, S o i l s and Geology,

Procedures f o r Foundation Design of Buildings and Other S t r u c t u r e s
(Except Hydraulic S t r u c t u r e s ) , TM 5/818-1/AFM 88-3, Chapter 7,
1979.
Washington, D.C.,

3.

Terzaghi, K., S t a b i l i t y of Steep Slopes on Hard Unweathered Rock,

Norwegian Geotechnical I n s t i t u t e , P u b l i c a t i o n No. 50, 1963.

4.

Cave-In!, Roads and Engineering Construction, November

Petersen, E.V.,
1963, December 1963, January 1964.

5.

L a t e r a l Support
Goldberg, D.T., Jaworkski, W.E., and Gordon, M.D.,
Systems and Underpinning, Vol. 11, Design Fundamentals, Vol. 111.
Construction Methods, Federal Highway Administration, Report Nos.
FWA-RD-75-129,
130, 1976.

S t a b i l i t y of F l e x i b l e
6. Bjerrum, L., Clausen, J.F. and Duncan, J.M.,
S t r u c t u r e s , General Report, Proceedings, F i f t h I n t e r n a t i o n a l European
Conference on S o i l Mechanics and Foundation Engineering, Vol. 11, 1977'.
7.

Lambe, T.W., Braced Excavation, 1970 S p e c i a l t y Conference, L a t e r a l

S t r e s s e s i n t h e Ground and Design of Earth R e t a i n i n g S t r u c t u r e s , J u n e
22-24, Cornell University, ASCE, 1971.

8.

Deep Excavations and Tunneling i n S o f t Ground, Proceedings,

Peck, R.B.,
Seventh I n t e r n a t i o n a l Conference on S o i l Mechanics and Foundation Engin e e r i n g , State-of-the-Art Vol. 1, 1969.

9.

O'Rourke, T.P., Cording, E.J. and Boscardin, M., Damage t o Brick

Bearing Wall S t r u c t u r e s Caused by Adjacent Braced Cuts and Tunnels,
Large Ground Movements, John Wiley & Sons, 1977.

10.

C a t e r p i l l a r T r a c t o r Co., Handbook of Ripping, F i f t h E d i t i o n , P e o r i a ,

IL., 1975.

11.

F r a n k l i n , J.A.,
Broch, E. and Walton, G., Logging t h e Mechanical
Character of Rock, Transactions, I n s t i t u t i o n of Mining and Metallurgy,
January 1971.

12.

Broch, E. and Franklin, J.A.,

The Point-load S t r e n g t h T e s t , I n t e r n a t i o n a l J o u r n a l Rock Mechanics and Mining Science, Vol. 9 , 1972.

13.

Bureau of Mines, B l a s t i n g Vibrations and Their E f f e c t on S t r u c t u r e s ,

United S t a t e s Department of t h e I n t e r i o r , 1971.

14.

Hendron, A.J., Engineering of Rock Blasting on Civil Projects, Rock

Excavation Seminar Lectures, ASCE, New York, October, 1976.

15.

Cashman, P.M. and Harris, E.T., Control of Groundwater by Water

Lowering, Conference on Ground Engineering, Institute of Civil
Engineers, London, 1970.

16.

Mazurkiewicz, B.K., Design and Construction of Dry Docks, Trans Tech

Publications, Rockport, MA, 1980.

17.

Public Law 91-596 (Williams-Steiger Act), Occupational Safety and

Health Act (OSHA) of 1970, Dec. 29, 1970.

18

Naval Facilities Command P-Publication, P-418, Dewatering

and Groundwater Control.

CHAPTER 2.

COMPACTION, EARTHWORK, AND HYDRAULIC FILLS

S e c t i o n 1.

INTRODUCTION

1.
SCOPE. T h i s c h a p t e r concerns d e s i g n and c o n s t r u c t i o n of compacted f i l l s
and performance of compacted m a t e r i a l s . Compaction r e q u i r e m e n t s a r e g i v e n f o r
v a r i o u s a p p l i c a t i o n s and equipment. Earthwork c o n t r o l procedures and a n a l y s i s
of c o n t r o l t e s t d a t a a r e d i s c u s s e d . Guidance on h y d r a u l i c f i l l s i s a l s o
included.
2.
RELATED CRITERIA. For a d d i t i o n a l c r i t e r i a concerned w i t h compaction and
earthwork o p e r a t i o n s , c o n s u l t t h e following s o u r c e s :
Subject

Pavements...............................................NAVFAC
S o i l Conservation.......................................NAVFAC
F l e x i b l e Pavement Design f o r Airfield...................NAVFAC
Dredging
Types of Dredging Equipment.............................NA

...............................................F

Source
DM-5.4
DM-5.11
DM-21.3
A DM-26
DM-38

PURPOSE OF COMPACTION.
(1)
(2)
(3)
(4)
(5)

Reduce m a t e r i a l c o m p r e s s i b i l i t y .
Increase material strength.
Reduce p e r m e a b i l i t y .
C o n t r o l expansion.
Control f r o s t s u s c e p t i b i l i t y .

4.
APPLICATIONS. The p r i n c i p a l u s e s of compacted f i l l i n c l u d e s u p p o r t o f
s t r u c t u r e s o r pavements, embankments f o r water r e t e n t i o n o r f o r l i n i n g r e s e r v o i r s and c a n a l s , and b a c k f i l l surrounding s t r u c t u r e s o r b u r i e d u t i l i t i e s .
TYPES OF FILL.
a.
C o n t r o l l e d Compacted F i l l s .
P r o p e r l y placed compacted f i l l w i l l b e
more r i g i d and uniform and have g r e a t e r s t r e n g t h t h a n most n a t u r a l s o i l s .
b. H y d r a u l i c F i l l s . Hydraulic f i l l s cannot be compacted d u r i n g placement and t h e r e f o r e i t i s important t h a t t h e s o u r c e m a t e r i a l s be s e l e c t e d c a r e fully.
c. U n c o n t r o l l e d F i l l s .
These c o n s i s t of s o i l s o r i n d u s t r i a l and domest i c wastes, s u c h a s a s h e s , s l a g , chemical w a s t e s , b u i l d i n g r u b b l e , and r e f u s e .
Use of a s h , s l a g , and chemical waste i s s t r i n g e n t l y c o n t r o l l e d and c u r r e n t
Environmental P r o t e c t i o n Agency o r o t h e r a p p r o p r i a t e r e g u l a t i o n s must be considered.

Section 2.

EMBANKMENT CROSS-SECTION DESIGN

1.
INFLUENCE OF MATERIAL TYPE. Table 1 lists some typical properties of
compacted soils which may be used for preliminary analysis. For final analysis engineering property tests are necessary.
a. Utilization. See Table 2 for relative desirability of various soil
types in earth fill dams, canals, roadways and foundations. Although practically any nonorganic insoluble soil may be incorporated in an embankment when
modern compaction equipment and control standards are employed, the following
soils may be difficult to use economically:
( 1 ) Fine-grained soils may have insufficient shear strength or excessive compressibility.

(2) Clays of medium to high plasticity may expand if placed under

low confining pressures and/or at low moisture contents. See DM-7.1, Chapter
1 for identification of soils susceptible to volume expansion.
(3) Plastic soils with high natural moisture are difficult to process for proper moisture for compaction.
(4)

Stratified soils may require extensive mixing of borrow.

2.
EMBANKMENTS ON STABLE FOUNDATION. The side slopes of fills not subjected
to seepage forces ordinarily vary between 1 on 1-1/2 and 1 on 3. The geometry
of the slope and berms are governed by requirements for erosion control and
maintenance. See DM-7.1, Chapter 7 for procedures to calculate stability of
embankments.

3.
EMBANKMENTS ON WEAK FOUNDATIONS. Weak foundation soils may require partial or complete removal, flattening of embankment slopes, or densification.
Analyze cross-section stability by methods of DM-7.1, Chapter 7. See DM-7.3,
Chapter 2 for methods of deep stabilization, and Chapter 3 for special problem soils.
4.

EMBANKMENT SETTLEMENT.
Settlement of an embankment is caused by foundation consolidation, consolidation of the embankment material itself, and
secondary compression in the embankment after its completion.
a. Foundation Settlement. See DM-7.1, Chapter 5 for procedures to
decrease foundation settlement or to accelerate consolidation. See DM-7.3,
Chapter 1 for guidance on settlement potential under seismic conditions.
b. Embankment Consolidation. Significant excess pore pressures can
develop during construction of fills exceeding about 80 feet in height or for
lower fills of plastic materials placed wet of optimum moisture. ~issi~ation
of these excess pore pressures after construction results in settlement. For
earth dams and other high fills where settlement is critical, construction
pore pressures should be monitored by the methods of DM-7.1, Chapter 2.

LABIZ 1
Typical P r o p e r t i e s of Compacted S o i l s
Typical Value of
Compresaion

croup
Symbol

S o i l Type

Ranpe of
Maximu
Dry Unit
Weight,
pcf

Range of
Optimum
PIolature,
Parcant

At 1.4
tmf
(20 p s i )

At 3.6
taf
(50 pmi)

Typical StrenRth Characterimtics

Cohesion
(an c w
patted)
paf

Cohesion
(maturated)
paf

0
( I f f a c t iva
Streaa
Envelop.
Dcgreaa)

Tao 9

Typical
Coefficient
of P e r m e r
billty '
ft./min.

Range of
CBR Valuam

Range of
Subgr.de
Hodulum
k
l b l c u in.

Percent of Original
Height

CU

Well graded clean gravelm.

gravel-nand mixtures.

125

CP

Poorly graded clean

gravels. gravel-sand mix

115

CH

S i l t y gravels, poorly
graded gravel-sand-silt.

CC

Clayey gravela. poorly

graded gravel-aand-clay.

SU

Well graded clean aands,

gravelly aands.

SP

Poorly graded clean mandm.

sand-gravel mlx.

SH

S i l t y sands. poorly graded

sand-silt mix.

110

Sand~iltclaymixuith
a l i g h t l y p l a s t i c fines.

110-130

SC

Clayey aandm, poorly

graded sand-clay-mix.

105

HI.

Inorganic a i l t a and clayey

ailts.

SH-SC

PIL-CL

Mixture of inorganic a i l t
and clay.

CL

Inorganic claya of la, t o

medium p l a s t i c i t y .

OL

Organic s i l t a and m i l t claya. l w plasticity.

Inorganic clayey s i l t s .
elastic silts.

Cll

Inorganic clays of high

plasticity

OH

Organic clays and s i l t y

clays

135

- 125
120 - 135
115 - 130
110 - 130
100 - 120
-

125

- 125
95 - 120
100 - 120
95 - 120
80 - 100
70 - 95
75 - 105
65 - 100

-8
14 - 11
12

-8

0.5

1.1

14

-9

0.7

1.6

.....
.....

16

-9

0.6

1.2

38

0.79

>lo-3

21

12

0.8

1.4

37

0.74

>lo-3

16

- I1

0.8

1.6

1050

420

34

0.67

5 x >lO-5

15-11

0.8

1.4

I050

300

33

0.66

2 x >lo-(

- 80
30 - 60
20 - 60
20 - 40
20 - 40
10 - 40
10 - 40
5 - 30

5x>10-7

5-20

11

0.3

0.6

>38

>0.79

0.4

0.9

>37

>0.74

10-1

.....
.....

>34

>0.67

>lo-(

>31

>0.60

>lo-?

19

- 11

1.1

2.2

1550

2 30

31

0.60

24

12

0.9

1.7

1400

190

32

0.62

22

12

1.0

2.2

1350

460

32

0.62

1.3

2.5

1800

270

28

0.54

- 12
33 - 21
40 - 24

.....

...............

2.0

3.8

1500

4 20

25

0.47

36

2.6

3.9

2150

230

19

0.35

45

- 21 .....

24

19

.....

..........

.....
.....

5 x

>10-5
5 x >LO-7
>lo-7

..........
5 x >lo-7
>10-7

..........

40

15 o r lema

A l l propertiea a r e For condition of "Standard Proctor" mximun

15 o r lea.
5 or less
10 o r lemm
15 o r Isam
5 o r leas

3.

Compresaion values a r e f o r v e r t i c a l loading with complete

l a t e r a l coninement.

4.

0)indicate.

deosity, except v r l w a of k and CBR which a r e f o r "modified

Proctor. maximum dmsity.
2.

Typical mtength characteriaticm a r e f o r e f f e c t i v e atrength

envelopes and a r e obtained from USBR data.

100-300
100

- 200

.....

Notes:
1.

- 500
250 - 400
100 - 400
100 - 300
200 - 300
200 - 300
100 - 300
100 - 300
300

t h a t typical property i s greater than the value

mhovn.
(..)i n d i c a t e s insufficient data available f o r an estimate.

- 200
50 - 100
50 - 100
50 - 150
25 - 100
50

TABLE 2
R e l a t i v e D e s i r a b i l i t y of S o i l s a s Compacted F i l l

--

-- - ---

RELATIVE DESIRABILITY FOR VARIOUS USES

(No. 1 i s Considered t h e Best. No. 14 Least D e s i r a b l e )

Rolled E a r t h F i l l Dams

Canal S e c t i o n s

Foundations

Roadways
Fills

Group
Symbol

S o i l Type

2
e
85

0
c U

rl
,-,

.,

w c

:2

c
m
0 u

Url

U
c
U m
m
m u
u

ms
n
u

I:
LI w

mO :

U4 . . 10
o

x u

* U
wDL

u
C

%5
I 0r 1
O

,2

r(

WU
x r l

4 3

.A

*m

El

GW

Well graded g r a v e l s , gravelsand m i x t u r e s , l i t t l e o r no

fines

GP

Poorly-graded g r a v e l s ,
gravel-sand mixtures, l i t t l e
o r no f i n e s

GM

S i l t y g r a v e l s , poorly graded
g r a v e l - s a n d - s i l t mixtures

CC

Clayey g r a v e l s , poorly graded

gravel-sand-clay mixtures

SW

Well-graded sands, g r a v e l l y
s a n d s , l i t t l e o r no f i n e s

SP

Poorly-graded sands, g r a v e l l y
s a n d s , l i t t l e o r no f i n e s

10

6
erosion
critical

10

11

10

11

11

12

12

12

13

13

13

10

14

14

14

St4

3
if
gravelly
4
if
gravelly

if
gravelly

S i l t y sands, poorly graded

s a n d - s i l t mixtures

Clayey sands, poorly graded

sand-clay mixtures

Organic S i l t s and o r g a n i c
s i l t - c l a y s of low p l a s t i c i t y

MN

Inorganic s i l t s , micaceous o r
diatomaceous f ~ n esandy o r
s i l t y soils, elastic s i l t s

CH

I n o r g a n i c c l a y s of high
plasticity, f a t clays

10

OH

Organic c l a y s of medium high

plasticity

10

10

8-vol
change
critical

SC

ML

CL

OL

Inorganic s i l t s and very f i n e

sands, rock f l o u r , s i l t y o r
clayey f i n e sands with s l i g h t
plasticity
I n o r g a n i c c l a y s of low t o
medium p l a s t i c i t y , g r a v e l l y
c l a y s , sandy c l a y s , s i l t y
clays, lean c l a y s

8
if
gravelly

erosion
critical

erosion
critical

Not a p p r o p r l a c e f o r t h i s type of use.

c. Secondary Compression. Even f o r well-compacted embankments, seconda r y compression and s h e a r s t r a i n c a n cause s l i g h t s e t t l e m e n t s a f t e r complet i o n . Normally t h i s i s o n l y of s i g n i f i c a n c e i n h i g h embankments, and c a n
amount t o between 0.1 and 0.2 p e r c e n t of f i l l h e i g h t i n t h r e e t o f o u r y e a r s o r
between 0.3 and 0.6 p e r c e n t i n 15 t o 20 y e a r s . The l a r g e r v a l u e s a r e f o r
fine-grained p l a s t i c s o i l s .

5.
EARTH DAM EMBANKMENTS. E v a l u a t e s t a b i l i t y a t t h r e e c r i t i c a l stages; t h e
end of c o n s t r u c t i o n s t a g e , s t e a d y s t a t e seepage s t a g e , and r a p i d drawdown
s t a g e . See DM-7.1, Chapter 7 f o r pore p r e s s u r e d i s t r i b u t i o n a t t h e s e s t a g e s .
Seismic f o r c e s must be included i n t h e e v a l u a t i o n . Requirements f o r s e e p a g e
c u t o f f . and s t a b i l i t y d i c t a t e d e s i g n of c r o s s s e c t i o n and u t i l i z a t i o n o f borrow
materials.
a. Seepage Control. Normally t h e earthwork of an e a r t h dam i s zoned
w i t h t h e l e a s t p e r v i o u s , f i n e - g r a i n e d s o i l s i n t h e c e n t r a l zone and c o a r s e s t ,
most s t a b l e m a t e r i a l i n t h e s h e l l . Analyze seepage by t h e methods of DM-7.1,
Chapter 6.
( 1 ) Cutoff Trench. Consider t h e p r a c t i c a b i l i t y of a p o s i t i v e c u t o f f t r e n c h e x t e n d i n g t o impervious s t r a t a b e n e a t h t h e embankment and i n t o t h e
abutments.
( 2 ) I n t e r c e p t i n g Seepage. For a p r o p e r l y designed and c o n s t r u c t e d
zoned e a r t h dam, t h e r e i s l i t t l e danger from seepage through t h e embankment.
Drainage d e s i g n g e n e r a l l y i s d i c t a t e d by n e c e s s i t y f o r i n t e r c e p t i n g s e e p a g e
through t h e f o u n d a t i o n o r abutments. Downstream seepage c o n d i t i o n s a r e more
c r i t i c a l f o r homogeneous f i l l s . See DM-7.1, Chapter 6 f o r d r a i n a g e a n d f i l t e r requirements.
b. P i p i n g and Cracking.
A g r e a t danger t o e a r t h dams, p a r t i c u l a r l y
t h o s e of zoned c o n s t r u c t i o n , i s t h e t h r e a t of c r a c k i n g and piping.
Serious
c r a c k i n g may r e s u l t from t e n s i o n zones caused by d i f f e r e n c e s i n s t r e s s - s t r a i n
p r o p e r t i e s of zoned m a t e r i a l .
See F i g u r e 1 (Reference 1, I n f l u e n c e of S o i l
P r o p e r t i e s and C o n s t r u c t i o n Methods on t h e Performance of Homogeneous E a r t h
Dams, by S h e r a r d ) f o r c l a s s i f i c a t i o n of m a t e r i a l s a c c o r d i n g t o r e s i s t a n c e t o
p i p i n g o r c r a c k i n g . Analyze t h e embankment s e c t i o n f o r p o t e n t i a l t e n s i o n zone
development. P l a c e an i n t e r n a l d r a i n a g e l a y e r immediately downstream o f t h e
c o r e t o c o n t r o l seepage from p o s s i b l e c r a c k i n g i f f o u n d a t i o n s e t t l e m e n t s a r e
expected t o be high.
c. D i s p e r s i v e S o i l . D i s p e r s i v e c l a y s should n o t be used i n dam embankments. Determine t h e d i s p e r s i o n p o t e n t i a l u s i n g Table 3 o r t h e method o u t l i n ed i n Reference 2, P i n h o l e T e s t f o r I d e n t i f y i n g D i s p e r s i v e S o i l s , by S h e r a r d ,
e t a l . A h o l e through a d i s p e r s i v e c l a y w i l l i n c r e a s e i n s i z e as water f l o w s
t h r o u g h (due t o t h e breakdown of t h e s o i l s t r u c t u r e ) , whereas t h e s i z e of a
h o l e i n a non-dispersive c l a y would remain e s s e n t i a l l y c o n s t a n t . T h e r e f o r e ,
dams c o n s t r u c t e d w i t h d i s p e r s i v e c l a y s a r e extremely s u s c e p t i b l e t o p i p i n g .

.
US STANDARD SIEVE NUMBERS2

an n

83898

GRAIN SIZE MILLIMETERS

COARSE
FINE
COeeLES
GRAVEL
CATEGORY

-1

MEDIUM
SAND

MATERIAL

HYDROMETER ANALYSIS

s I L T r n a * I ( ~ m c o ~NON-MK:)

CHARACTERISTICS

PIPING RESISTANCE:

CL AND CH WITH PI ) IS, WELL

GRADED SC WITH PI ) 15.

CL AND ML WlTH PI( 15, WELL

GRADED sc AND GC w r r ~
15 ) PI )7.

SP AND UNIFORM SM AND ML

WITH PI ( 7.

GRENEST RESISTANCE TO PIPING,SMALL AND MEDIUM CONCENTRATED LEAKS W l U HEALTHEMSELVES.EMBANKMENT

MAY Fi4lL AS A RESULT OF SLOWLY PROGRESSIVE PIPING
CAUSED BY LEAK OF ABOUT V2 CFS.
INTERMEDINE RESISTANCE TO PIPING. SMLY RESISTS
SATURATION OF LOWER PWION OF DOWNSTREAM SLOPE
INDEFINITELY MAY M I L EVENTUALLY AS A RESULT OF
EROSION CAUSED BYA SMALL CWCENTRATED LEAK OR BY
PROGRESSIVE SLOUGHING. IF A LARGE LEAK DEVELOPS,
PIPING CAUSES MIWRE IN A SHORT TIME.
LEAST RESISTANCE TO PIPING.USUAUY FAILS IN A FEW YEARS
AFTER FIRST RESERVOlR FILLING IF S E E M ISABLE TO
BREAK OUT ON DOWNSTREAM S I D E . SMALL CONCENTRATED
LEAK ON DOWNSTREAM SWPE CAN CWSE FAILURE IN A
SHORT PERIOD OF TIME. HIGH DENSITY FROM COMPACTION INCREASES RESISTANCE SIGNIFICANTLY.

FIGURE 1
Resistance of Earth Dam Embankment Materials To Piping and Cracking

CATBGORY

MATERIAL

CHARACTERlSllCS

CRACKING RESISTC\NCE

CH WITH &(OXnMM
PI )M

GC, SC,SM, SP WITH

osO) 01.5 MM

CL, ML AND SM WITH PI< 20,

0.15 MM ) D 5 )~0.02 MM.

AND

HIGH POSTCONSTRUCTlON SETTLEMENT, PARTICULARLY IF

COMWCTED DRY. HAS SUFFICIENT DEFORMABILITY
TO UNDERGO LARGE SHEAR STRAINS FROM DIFFERENTIAL
SETTLEMENT WITHOUT -KING.
SMALL POSTCWSTRUCTlON SETTLEMENT. LITTLE
CHANCE FOR CRACKING UNLESS POORtY COMP#CTED
AND LARGE SETTLEMENT IS IMPOSED ON EMBANKMENT BY GONSOLlDATlON OF W E FOUNDATION.
MEDIUM TO HIGH POSTCONSTRUCTION SETTLEMENT
AND VULNERABLE TO CRCICKING. SHOULD BE
COMPACTED AS WET AS POSSIBLE CONSISTENT WITH
STRENGTH REWIREMENTS.

FIGURE 1 (continued)
Resistance of Earth Dam Embankment Materials To Piping and Cracking

TABLE 3
Clay Dispersion P o t e n t i a l

*Percent Dispersion

D i s p e r s i v e Tendency

Over 40'

Highly D i s p e r s i v e (do not u s e )

15 t o 40
0 t o 15

Moderately D i s p e r s i v e
Resistant t o Dispersion

*The r a t i o between t h e f r a c t i o n f i n e r t h a n 0.005 mm i n a soil-water suspension

t h a t has been subjected t o a minimum of mechanical a g i t a t i o n , and t h e t o t a l
f r a c t i o n f i n e r t h a n 0.005 mm determined from a r e g u l a r hydrometer t e s t x 100.

S e c t i o n 3.

1.

COMPACTION REQUIREMENTS AND PROCEDURES

COMPACTION REQUIREMENTS.

a. Summary. See Table 4 f o r a summary of compaction requirements o f

f i l l s f o r v a r i o u s purposes. Modify t h e s e t o meet c o n d i t i o n s and m a t e r i a l s f o r
s p e c i f i c projects.
b. S p e c i f i c a t i o n Provisions.
Specify t h e d e s i r e d compaction r e s u l t .
S t a t e t h e r e q u i r e d d e n s i t y , moisture l i m i t s , and maximum l i f t t h i c k n e s s ,
allowing t h e - c o n t r a c t o r freedom i n s e l e c t i o n of compaction methods and e q u i p ment. Specify s p e c i a l equipment t o be used i f l o c a l experience and a v a i l a b l e
m a t e r i a l s so d i c t a t e .
2.
COMPACTION METHODS AND EQUIPMENT. Table 5 l i s t s commonly used c o m p a c t i o n
equipment with t y p i c a l s i z e s and weights and guidance on use and a p p l i c a b i l i ty
3.

INFLUENCE OF MATERIAL TYPE.

a. S o i l s ~ n s e n s i t i v et o Compaction Moisture.
Coarse-grained, g r a n u l a r
well-graded s o i l s w i t h less than 4 p e r c e n t passing No. 200 s i e v e (8 p e r c e n t
f o r s o i l of uniform g r a d a t i o n ) a r e i n s e n s i t i v e t o compaction moisture.
(These
s o i l s have a p e r m e a b i l i t y g r e a t e r than about 2 x 10-3 fpm.) P l a c e t h e s e
m a t e r i a l s a t t h e h i g h e s t p r a c t i c a l moisture c o n t e n t , p r e f e r a b l y s a t u r a t e d .
Vibratory compaction g e n e r a l l y i s t h e most e f f e c t i v e procedure. I n t h e s e
m a t e r i a l s , 70 t o 75 percent r e l a t i v e d e n s i t y can be obtained by proper compact i o n procedures.
I f t h i s i s s u b s t a n t i a l l y higher than Standard P r o c t o r maximum d e n s i t y , u s e r e l a t i v e d e n s i t y f o r c o n t r o l . Gravel, cobbles and b o u l d e r s
a r e i n s e n s i t i v e t o compaction moisture. Compaction w i t h smooth wheel v i b r a t ing r o l l e r s i s t h e most e f f e c t i v e procedure. Use l a r g e s c a l e tests, a s o u t l i n e d i n Reference 3, Control of E a r t h R o c k f i l l f o r O r o v i l l e Dam, by Gordon
and Miller.
b. S o i l s S e n s i t i v e t o Compaction Moisture.
S i l t s and some s i l t y s a n d s
have s t e e ~moisture-density curves, and f i e l d moisture must be c o n t r o l l e d
within nairow limits f o r e i f e c t i v e -compaction. Clays a r e s e n s i t i v e t o moist u r e i n that i f they a r e too w e t they a r e d i f f i c u l t t o d r y t o optimum m o i s ture, and i f t h e y a r e d r y i t i s d i f f i c u l t t o m i x t h e water i n uniformly.
S e n s i t i v e c l a y s do not respond t o compaction because they l o s e s t r e n g t h upon
remolding o r manipulation.
c. E f f e c t of Oversize. Oversize r e f e r s t o p a r t i c l e s l a r g e r than t h e
maximum s i z e allowed using a given mold (i.e. No. 4 f o r 4-inch mold, 3 / 4 i n c h
f o r 6-inch mold, 2-inch f o r a-12-inch mold).
Large s i z e p a r t i c l e s i n t e r f e r e
w i t h compaction of t h e f i n e r s o i l f r a c t i o n . For normal embankment c o m p a c t i o n
t h e maximum s i z e cobble should not exceed 3 inches o r 50 percent of t h e compacted l a y e r thickness. Where economic borrow s o u r c e s c o n t a i n l a r g e r s i z e s ,
compaction trials should be run before approval.

TABLE 4
Compaction Requirements

F i l l Utilized
for:

Required Density,
Percentof
Modified Proctor

Tolerable Range
of Moisture
AboutOptimum,
Percent

Maximum
Permissible L i f t
Thickness,
Compacted in.

Special Requirements
F i l l should be uniform. Blending o r processing of borrow may be
required. For p l a s t i c c l a y s , i n v e s t i g a t e expansion under s a t u r a t i o n
f o r v a r i o u s compaction moisture and d e n s i t i e s a t l o a d s equal t o those
applied by s t r u c t u r e , t o determine c o n d i t i o n t o minimize expansion.
Clays t h a t show expansive tendencies g e n e r a l l y should be compacted a t
o r above optimum moisture t o a d e n s i t y c o n s i s t e n t with s t r e n g t h
and i n c o m p r e s s i b i l i t y required of the f i l l .

Support of
structure

95

-2 t o +2

12

Lining f o r
canal o r small
reservoir

90

-2 t o +2

Earth dam
g r e a t e r than 50
f t . high

95

-1 t o +2

12 (+I

U t i l i z e l e a s t pervious m a t e r i a l s a s c e n t r a l core and c o a r e s t m a t e r i a l s

i n o u t e r s h e l l s . Core should be f r e e of l e n s e s , pockets, o r l a y e r s of
pervious m a t e r i a l and successive l i f t s well bonded t o each o t h e r .
Amounts of o v e r s i z e exceeding 1 percent of t o t a l m a t e r i a l should be
removed from t h e borrow p r i o r t o a r r i v a l on t h e embankment.

Earth dam l e s s
than 50 f t .
high

92

-1 t o +3

12(+)

In small dams t h a t lack e l a b o r a t e zoning, m a t e r i a l s t h a t a r e t h e most

vulnerable t o cracking and piping should be compacted t o 98 percent
d e n s i t y a t moisture content from optimum t o 3 percent i n excess of
optimum.

Support of
pavements:
Highways.....

See NAVFAC DM-5

-2.t o +2

a(+)

Airfields....

See NAVFAC DM-21

-2 t o +2

90

-2 t o +2

a(+)
a(+)

Backfill
surrounding
structure

For t h i c k l i n i n g s , GW-GC, GC, SC a r e p r e f e r a b l e f o r s t a b i l i t y and t o

r e s i s t e r o s i v e forces. Single s i z e s i l t y sands with PI l e s s than f i v e
g e n e r a l l y a r e not s u i t a b l e . Remove fragments l a r g e r than 6 inches
before compaction.

Place c o a r e s t borrow m a t e r i a l s a t top of f i l l . I n v e s t i g a t e expansion

of p l a s t i c c l a y s placed near pavement subgrade t o determine compaction
moisture and d e n s i t y t h a t w i l l minimize expansion and provide required
soaked CBR values.
Where b a c k f i l l i s t o be drained, provide pervious coarse-grained
s o i l s . For low w a l l s , do not permit heavy r o l l i n g compaction
equipment t o o p e r a t e c l o s e r t o t h e wall than a d i s t a n c e equal t o about
213 t h e unbalanced height of f i l l a t any time. For highwalls or w a l l s
of s p e c i a l design, e v a l u a t e the surcharge produced by heavy compaction
equipment by t h e methods of Chapter 3 and s p e c i f y s a f e d i s t a n c e s back
of the wall f o r i t s operations.

TABLE 4 (continued)
Compaction Requirements

F i l l Utilized
for:

Required Density,
Percent of
Hodif l e d Proctor

Tolerable Range
of Moisture
About Optimum,
Percent

Backfill i n
pipe or u t i l i t y
trenchbs

90

Drainage
blanket or
filter

90

Thoroughly
wetted

Subgrade of
excavation f o r
structure

95

-2 t o +2

Rock f i l l

-2 t o +2

----

Ihxipum
Permissible L i f t
Thickness,
Compacted in.

a(+)

--

Special Requirements
Material excavated from trench generally is s u i t a b l e f o r b a c k f i l l i f
If backfill is fine
grained, a cradle f o r the pipe is formed i n natural s o i l and b a c k f i l l
placed by tamping to provide the proper bedding. Where f r e e draining
sand and gravel i s u t i l i z e d , the trench bottom may be finished f l a t
and the granular material placed saturated under and around the pipe
and compacted by vibration.

i t does not contain organic matter o r refuse.

Thoroughly
wetted

2 to 3 ft.

Ordinarily vibratory compaction e q u i h e n t i s u t i l i z e d . Blending of

materials may be required for homogeneity. Segregation must be prevented i n placing and compaction. For compaction adjacent t o and
above drainage pipe, use hand tamping or l i g h t t r a v e l l i n g vibrators.
For rmifoxm bearing o r to break up pockets of f r o s t sueceptible mater i a l , s c a r i f y the upper 8 t o 12 in. of the subgrade, dry or moisten a s
necessary and recompact. Certain materiaps, such a s heavily preconsolidated clays which w i l l not benefit by compaction, o r saturated
silts and s i l t y f i n e sands that become quick during compaction, should
be blanketed with a working mat of lean concrete or coarse grained
material to prevent disturbance or softening. Depending on foundation
conditions revealed i n exploration, a substantial thickness of loose
s o i l s may have to be removed below subgrade and recompacted, o r
compacted i n place by vibration, o r p i l e driving.
For f i l l containing s i z e s no l a r g e r than ft., place i n layers not
exceeding 24 in., thoroughly wetted and compacted by t r a v e l or heavy
crawler t r a c t o r s i n spreading. Material with s i z e s up t o 2 f t . may be
placed i n 3 f t l i f t s . Placing should be such t h a t the maximun s i z e of
rock increases toward the outer slopes. Bocks l a r g e r than 1 cu yd i n
volume should be embedded on the slope.

Notes:

1. Density and moisture content refer to "Modified

Proctor" test values (ASTM D 1557)
2.

Generally, a f i l l compacted dry of OMC w i l l have higher

strength and a lower compreesibility even a f t e r saturation.

3.

Cornpaction of "Coarse-grained, granular s o i l " i s not sensit i v e to moisture content so long a s bulking moisture i s
avoided. Where practicable, they should be placed saturated
and compacted by vibratory methods.

TABLE 5
Compaction Equipment and Methods
s

Requirements f o r Compaction of 95 t o 100 P e r c e n t Standard P r o c t o r

Maximum Density
Equipment
Type

Sheepsfoot
Rollers

Applicability

For f i n e - g r a i n e d s o i l s o r
d i r t y coarse-grained s o i l s
with more t h a n 20 p e r c e n t
p a s s i n g No. 200 s i e v e .
Not
s u i t a b l e f o r c l e a n coarsegrained soils.
Particularly
a p p r o p r i a t e f o r compaction of
impervious zone f o r e a r t h dam
o r l i n i n g s where bonding of
l i f t s i s important.

Compacted
Lift
~ h i ~
in.

Passes o r
k coverages
~ ~ ~ ~

Foot
Contact
Area
sq. f t .

Do.......

Smooth Wheel
Rollers

Do....

For c l e a n , coarse-grained
s o i l s with 4 t o 8 percent
p a s s i n g t h e No. 200 s i e v e .

Foot
Contact
Pressures
psi

S o i l Type

4 t o 6 passes
f o r finegrained s o i l .
6 t o 8 passes
f o r coarsegrained s o i l .

Rubber T i r e
Roller

,Dimensions and Weight of Equipment

10

For f i n e - g r a i n e d s o i l s o r w e l l
graded, d i r t y coarse-grained
s o i l s w i t h more t h a n 8
p e r c e n t p a s s i n g t h e No. 200
sieve.

6 to 8

Appropriate f o r subgrade o r
base c o u r s e compaction of
we1 1-graded sand-gr a v e l
mixtures.
May be used f o r f i n e - g r a i n e d
s o i l s o t h e r than i n e a r t h
dams.
Not s u i t a b l e f o r
c l e a n well-graded sands o r
s i l t y uniform sands.

8 t o 12

3 to 5
coverages

4 to 6
coverages

4 coverages
1

6 to 8

6 coverages

Fine-grained
5 t o 12
250 t o 500
s o i l P1>30
Fine-grained
7 t o 14
200 t o 400
s o i l PI<30
Coarse-grained
10 t o 14
150 t o 250
soil
E f f i c i e n t compaction of s o i l s wet of
optimum r e q u i r e s l e s s c o n t a c t press u r e t h a n t h e same s o i l s a t lower
moisture contents.

Possible Variations i n
Equipment

For e a r t h dam, highway and

a i r f i e l d work, a r t i c u l a t e d
s e l f propelled r o l l e r s a r e
commonly used.
For s m a l l e r
p r o j e c t s , towed 40 t o 60
i n c h drums a r e used.
Foot
c o n t a c t p r e s s u r e should be
r e g u l a t e d s o a s t o avoid
s h e a r i n g t h e s o i l on t h e
t h i r d o r f o u r t h pass.

T i r e i n f l a t i o n p r e s s u r e s of 35 t o 130
p s i f o r clean granular material o r
base c o u r s e and subgrade compact i o n . Wheel l o a d 18,000 t o 25,000
lbs.
T i r e i n f l a t i o n p r e s s u r e s i n excess of
65 p s i , f o r fine-grained s o i l s of
high p l a s t i c i t y .
For uniform c l e a n
sands o r s i l t y f i n e s a n d s , u s e
l a r g e s i z e t i r e s w i t h p r e s s u r e s of
40 t o 50 p s i .

Wide v a r i e t y of rubber t i r e
compaction equipment i s
available.
For c o h e s i v e
s o i l s , light-wheel l o a d s ,
such a s provided by wobblewheel equipment, may be
s u b s t i t u t e d f o r heavy-wheel
load i f l i f t t h i c k n e s s i s
decreased.
For g r a n u l a r
s o i l s , large-size t i r e s a r e
d e s i r a b l e t o avoid s h e a r
and r u t t i n g .

Tandem t y p e r o l l e r s f o r base c o u r s e
o r subgrade compaction 10 t o 15 t o n
weight, 300 t o 500 l b s per l i n e a l
in. of width of r e a r r o l l e r .
3-wheel r o l l e r f o r compaction of
fine-grained s o i l ; w e i g h t s from 5
t o 6 t o n s f o r m a t e r i a l s of low
p l a s t i c i t y t o 10 t o n s f o r m a t e r i a l s
of h i g h p l a s t i c i t y .

3-wheel r o l l e r s o b t a i n a b l e
i n wide range of s i z e s .
2-wheel tandem r o l l e r s a r e
a v a i l a b e i n t h e range of 1
t o 20 ton weight.
3-Axle
tandem r o l l e r s a r e genera l l y used i n t h e range of
10 t o 20 t o n s weight. Very
heavy r o l l e r s a r e used f o r
proof r o l l i n g of subgrade
o r base course.

TABLE 5 (continued)
Compaction Equipment and Methods
Requirements f o r Compaction of 95 t o 100 P e r c e n t Standard P r o c t o r
Maximum D e n s i t y
Equipment
TYpe

Applicability

Vibrating
Sheetsfoot
Rollers

For coarse-grained s o i l s
sand-gravel m i x t u r e s

Vibrating
Smooth Drum
Rollers

For coarse-grained s o i l s
sand-gravel m i x t u r e s
rock
fills

Compacted
Lift
Thickness,
in.

Passes o r

coverages

8 t o 12

3 to 5

6 t o 12
(soil)
to
36 ( r o c k )

3 to 5

Vibrating
Baseplate
Compactors

For coarse-grained s o i l s w i t h
l e s s t h a n about 12 p e r c e n t
p a s s i n g No. 200 s i e v e . Best
s u i t e d f o r materials with 4 t o
8 p e r c e n t p a s s i n g No.200 sieve,
placed thoroughly wet.

8 t o 10

Crawler
Tractor

Best s u i t e d f o r coarse-grained
s o i l s with l e s s t h a n 4 t o 8
p e r c e n t p a s s i n g No. 200 s i e v e ,
placed thoroughly wet.

6 t o 10

Power Tamper
o r Rammer

For d i f f i c u l t a c c e s s , t r e n c h
backfill.
Suitable f o r a l l
inorganic soils.

4 t o 6 in.
for silt
o r clay, 6
in. f o r
coarsegrained
~0118.

4 to 6
3 coverages

3 to 4
coverages

2 coverages

Dimensions and Weight of Equipment

1 t o 20 t o n s b a l l a s t e d weight.
Dynamic f o r c e up t o 20 tons.

- do -

Possible Variations i n
Equipment

May have e i t h e r f i x e d o r
v a r i a b l e c y c l i c frequency.

- do -

S i n g l e pads o r p l a t e s should weigh

no l e s s t h a n 200 l b s . May be used i n
tandem where working space is a v a i l able. For c l e a n coarse-grained s o i l ,
v i b r a t i o n frequency should be no less
t h a n 1,600 c y c l e s per minute.

V i b r a t i n g pads o r p l a t e s
a r e a v a i l a b l e , handpropelled, single or i n
gangs, with width of coverage from 1-112 t o 15 f t .
Various t y p e s of v i b r a t i n g drum equipment should be
c o n s i d e r e d f o r compaction
i n l a r g e areas.

Vehicle w i t h "Standard" t r a c k s having

c o n t a c t p r e s s u r e n o t l e s s t h a n 10
psi.

Tractor weight up to 85 tons

30-lb minimum weight.

Considerable
range i s t o l e r a b l e , depending on
m a t e r i a l s and c o n d i t i o n s .

Weights up t o 250 l b s . ,
f o o t diameter 4 t o 10 in.

Adjust l a b o r a t o r y maximum s t a n d a r d d e n s i t y (from moisture-density

r e l a t i o n s t e s t , see DM-7.1, Chapter 3 ) t o provide a r e f e r e n c e d e n s i t y t o which
f i e l d d e n s i t y test r e s u l t s (with o v e r s i z e ) can be compared. U s e t h e f o l l o w i n g
equations t o a d j u s t t h e l a b o r a t o r y maximum d r y d e n s i t y and optimum moisture
content t o v a l u e s t o which f i e l d test d a t a (with o v e r s i z e p a r t i c l e s ) may be
compared.

where :

ymax = a d j u s t e d maximum dry d e n s i t y pcf

= l a b o r a t o r y maximum dry d e n s i t y without

o v e r s i z e , pcf

F = f r a c t i o n of o v e r s i z e p a r t i c l e s by weight
(from f i e l d d e n s i t y t e s t )

where :

w j = a d j u s t e d optimum mositure content

wg = moisture content of o v e r s i z e (from f i e l d d a t a )

wo = l a b o r a t o r y optimum moisture content without o v e r s i z e
The d e n s i t y of o v e r s i z e material is assumed a s 162 p c f , obtained from
bulk s p e c i f i c g r a v i t y 2.60, m u l t i p l i e d by 62.4.
This method i s considered s u i t a b l e when t h e weight of o v e r s i z e i s
less than 60% by weight, f o r well-graded m a t e r i a l s . For poorly graded mater i a l s , f u r t h e r adjustment may be appropriate. This method i s modified a f t e r
t h a t described i n Reference 4, Suggested Method f o r Correcting Maxim1Im Densit y and Optimum Moisture Content of Compacted S o i l s f o r Oversize P a r t i c l e s , by
McLeod; a l s o s e e Reference 5, Scalping and Replacement E f f e c t s on t h e Compact i o n C h a r a c t e r i s t i c s of Earth-Rock Mixtures, by Donaghe and Townsend.
Section 4.

EMBANKMENT COMPACTION CONTROL

GROUND PREPARATION

( 1 ) S t r i p a l l organics and any o t h e r d e t r i m e n t a l m a t e r i a l from t h e s u r face. In p r a i r i e s o i l s t h i s may amount t o removal of 2 o r 3 i n c h e s of tops o i l , and i n f o r e s t covered land between 2 and 5 o r more f e e t . Only t h e heavy
r o o t m a t and t h e stumps need be removed, not t h e h a i r - l i k e r o o t s .
( 2 ) Remove subsurface s t r u c t u r e s o r d e b r i s which w i l l i n t e r f e r e w i t h t h e
compaction o r t h e s p e c i f i e d a r e a use.
(3)

S c a r i f y t h e s o i l , and bring i t t o optimum moisture c o n t e n t .

7.2-50

(4)

Compact t h e s c a r i f i e d s o i l t o t h e s p e c i f i e d d e n s i t y .

2.
FIELD TEST SECTION. By t r i a l , develop a d e f i n i t e compaction p r o c e d u r e
(equipment, l i f t t h i c k n e s s , m o i s t u r e a p p l i c a t i o n , and number of p a s s e s ) which
w i l l produce t h e s p e c i f i e d d e n s i t y . Compaction cannot be c o n t r o l l e d a d e q u a t e l y by s p o t t e s t i n g u n l e s s a w e l l d e f i n e d procedure i s followed.
3.
REQUIREMENTS FOR CONTROL TESTS.
Perform i n - p l a c e f i e l d d e n s i t y t e s t s
p l u s s u f f i c i e n t l a b o r a t o r y m o i s t u r e - d e n s i t y t e s t s t o e v a l u a t e compaction.
For
h i g h embankments i n v o l v i n g seepage, s e t t l e m e n t o r s t a b i l i t y , per form p e r i o d i c
t e s t s f o r e n g i n e e r i n g p r o p e r t i e s of d e n s i t y t e s t samples, e.g., p e r m e a b i l i t y
t e s t s , shear s t r e n g t h t e s t s .
See DM-7.1, Chapter 3 f o r l a b o r a t o r y m o i s t u r e
d e n s i t y t e s t procedures and DM-7.1, Chapter 2 f o r f i e l d d e n s i t y t e s t methods.

a. Number of F i e l d D e n s i t y T e s t s .
schedule :

S p e c i f y t h e f o l l o w i n g minimum t e s t

( 1 ) One t e s t f o r e v e r y 500 cu yd of m a t e r i a l placed f o r embankment

construction.
( 2 ) One t e s t f o r every 500 t o 1,000 c u yd of m a t e r i a l f o r c a n a l o r
reservoir linings o r other r e l a t i v e l y t h i n f i l l sections.
( 3 ) One t e s t f o r every 100 t o 200 cu yd of b a c k f i l l i n t r e n c h e s o r
around s t r u c t u r e s , depending upon t o t a l q u a n t i t y of m a t e r i a l involved.
( 4 ) A t l e a s t one t e s t f o r e v e r y f u l l s h i f t of compaction o p e r a t i o n s
on mass earthwork.

(5) One t e s t whenever t h e r e i s a d e f i n i t e s u s p i c i o n of a c h a n g e i n

t h e q u a l i t y of m o i s t u r e c o n t r o l o r e f f e c t i v e n e s s of compaction.
b. F i e l d D e n s i t y T e s t Methods.
t e s t methods.

See DM-7.1,

Chapter 2, f o r f i e l d d e n s i t y

Proofrolling ( s p o t t i n g s o f t s p o t s with a rubber-tired r o l l e r o r any

loaded earth-moving equipment) may be used i n c o n j u n c t i o n w i t h d e n s i t y testi n g , but i s p r a c t i c a l o n l y f o r e x t e n s i v e earthwork o r pavement c o u r s e s .
c. L a b o r a t o r y Compaction Tests. P r i o r t o important earthwork o p e r a t i o n s , o b t a i n a f a m i l y of compaction c u r v e s r e p r e s e n t i n g t y p i c a l m a t e r i a l s .
I d e a l l y , t h i s f a m i l y w i l l form a group of p a r a l l e l c u r v e s and e a c h f i e l d
d e n s i t y t e s t w i l l correspond t o a s p e c i f i c compaction curve.
During c o n s t r u c t i o n o b t a i n supplementary compaction c u r v e s on f i e l d
d e n s i t y t e s t samples, approximately one f o r e v e r y 10 o r 20 f i e l d t e s t s ,
depending on t h e v a r i a b i l i t y of m a t e r i a l s .
4.
ANALYSIS OF CONTROL TEST DATA. Compare each f i e l d d e t e r m i n a t i o n of moist m e and d e n s i t y with a p p r o p r i a t e compaction curve t o e v a l u a t e conformance t o
requirements.

a. S t a t i s t i c a l Study. Overall a n a l y s i s of c o n t r o l t e s t d a t a w i l l r e v e a l
g e n e r a l t r e n d s i n compaction and n e c e s s i t y f o r a l t e r i n g methods.
Inevitably,
a c e r t a i n number of f i e l d determinations w i l l f a l l below s p e c i f i e d d e n s i t y o r
o u t s i d e s p e c i f i e d moisture range.
Tabulate f i e l d tests, n o t i n g t h e percentage
d i f f e r e n c e between f i e l d d e n s i t y and l a b o r a t o r y maximum d e n s i t y and between
f i e l d moisture and optimum.
b. Moisture Control. Close moisture c o n t r o l is evidenced i f two-thirds
of a l l f i e l d v a l u e s f a l l i n a range f. 1 p e r c e n t about t h e median moisture
c o n t e n t s p e c i f i e d . E r r a t i c moisture c o n t r o l i s evidenced i f approximately
two-thirds of a l l f i e l d values f a l l i n a range f. 3 percent about t h e median
moisture c o n t e n t s p e c i f i e d . To improve moisture c o n t r o l , blend m a t e r i a l s from
w e t and dry s e c t i o n s of borrow area.
c. Compactive E f f o r t . S u i t a b l e compaction methods a r e being u t i l i z e d i f
approximately two-thirds of a l l f i e l d d e n s i t i e s f a l l i n a range of 5 3
p e r c e n t about t h e percent maximum d e n s i t y required.
~ n s u f f i c i e n to r e r r a t i c
compaction i s evidenced i f approximately two-thirds of a l l f i e l d v a l u e s f a l l
i n a range of f. 5 percent about t h e percent maximum d e n s i t y required. To
improve compaction, consider methods f o r more uniform moisture c o n t r o l , a l t e r
t h e number of coverages, weights, o r p r e s s u r e s of compaction equipment.
d. Overcompaction. A given compactive e f f o r t y i e l d s a maximum d r y
d e n s i t y and a corresponding optimum moisture content. I f t h e compactive e f f o r t i s i n c r e a s e d , t h e maximum dry d e n s i t y i n c r e a s e s but t h e corresponding
optimum moisture c o n t e n t decreases. Thus, i f t h e compactive e f f o r t used i n
t h e f i e l d i s higher than t h a t used i n t h e l a b o r a t o r y f o r e s t a b l i s h i n g t h e
moisture d e n s i t y r e l a t i o n s h i p , t h e s o i l i n t h e f i e l d may be compacted above
i t s optimum moisture c o n t e n t , and t h e s t r e n g t h of t h e s o i l may be lower even
though i t has been compacted t o h i g h e r density. This i s of p a r t i c u l a r concern
f o r high embankments and e a r t h dams. For f u r t h e r guidance see Reference 6,
S t a b i l i z a t i o n of M a t e r i a l s by Compaction, by Turnbull and F o s t e r .
5.
INDIRECT EVALUATION OF COMPACTION I N DEEP FILLS. The e x t e n t of compact i o n accomplished is determined by comparing t h e r e s u l t s from s t a n d a r d penet r a t i o n t e s t s and cone p e n e t r a t i o n tests b e f o r e and a f t e r t r e a t m e n t (DM-7.1,
Chapter 2).
PROBLEM SOILS. The compaction of high volume change s o i l s r e q u i r e s
6.
s p e c i a l treatment.
See DM-7.3, Chapter 3.
S e c t i o n 5.

1.

BORROW EXCAVATION

BORROW PIT EXPLORATION

a. Extent. The number and spacing of borings o r test p i t s f o r borrow

e x p l o r a t i o n must be s u f f i c i e n t t o determine t h e approximate q u a n t i t y and
q u a l i t y of c o n s t r u c t i o n m a t e r i a l s w i t h i n a n economical haul d i s t a n c e from t h e
p r o j e c t . For mass earthwork, i n i t i a l e x p l o r a t i o n should be on a 200-foot
g r i d . I f v a r i a b l e c o n d i t i o n s a r e found during t h e i n i t i a l e x p l o r a t i o n s ,
i n t e r m e d i a t e borings o r test p i t s should be done. Explorations should develop
t h e following information:

( 1 ) A reasonably a c c u r a t e s u b s u r f a c e p r o f i l e t o t h e a n t i c i p a t e d
depth of excavation.
(2)

Engineering p r o p e r t i e s of each m a t e r i a l c o n s i d e r e d f o r u s e .

(3)

Approximate volume of each m a t e r i a l considered f o r use.

(4)

Water l e v e l .

(5)

Presence of s a l t s , gypsums, o r u n d e s i r a b l e m i n e r a l s .

( 6 ) Extent of o r g a n i c o r contaminated s o i l s , i f encountered.

2.

EXCAVATION METHODS.

a. Equipment.
Design and e f f i c i e n c y of excavation equipment improves
each year.
Check v a r i o u s c o n s t r u c t i o n i n d u s t r y p u b l i c a t i o n s f o r s p e c i f i c a t ions.
b. Ripping and Blasting. Determine r i p p a b i l i t y of s o i l o r rock by bori n g s (RQD and c o r e recovery, s e e DM-7.1, Chapters 1 and 2), g e o p h y s i c a l
e x p l o r a t i o n , and/or t r i a l excavation.
3.
UTILIZATION OF EXCAVATED MATERIALS.
I n t h e process of earthmoving t h e r e
may be a r e d u c t i o n of the volume ("shrinkage") because of waste and d e n s i f i c a t i o n , o r an i n c r e a s e of volume ("swell") i n t h e c a s e of rock o r dense s o i l s ,
because t h e f i n a l d e n s i t y i s l e s s than i t s o r i g i n a l d e n s i t y .
a. Borrow Volume.
pacted f i l l a s follows:

Determine t o t a l borrow volume, VB r e q u i r e d f o r com-

VB =

where:

YF
(%

vF)

WL
g

Should be Gamma Sub B

YF = d r y u n i t weight of f i l l
YB

= d r y u n i t weight of borrow

VF = r e q u i r e d f i l l volume
WL = weight l o s t i n s t r i p p i n g , waste, o v e r s i z e and t r a n s p o r t a t i o n

( 1 ) Compacted Volume. The volume of borrow s o i l r e q u i r e d s h o u l d be

i n c r e a s e d according t o t h e volume change i n d i c a t e d above. A "shrinkage" f a c t o r of 10 t o 15 p e r c e n t may be used f o r e s t i m a t i n g purposes.
( 2 ) Exclusions.
A l a r g e percentage of cobble s i z e m a t e r i a l w i l l
i n c r e a s e t h e waste, because s i z e s l a r g e r than 3 inches a r e g e n e r a l l y e x c l u d e d
from compacted f i l l .
b.

Rock F i l l .

(1) Maximum Expansion. Maximum expansion ( " s w e l l " ) from i n s i t u

c o n d i t i o n s t o f i l l occurs i n dense, hard rock with f i n e f r a c t u r e systems t h a t

b r e a k s i n t o uniform s i z e s . Unit volume i n a q u a r r y w i l l produce approximately 1.5 volumes i n f i l l .

( 2 ) Minimum Expansion. Minimum expansion o c c u r s i n porous, f r i a b l e
r o c k t h a t breaks i n t o b r o a d l y graded s i z e s w i t h numerous s p a l l s and f i n e s .
Unit volume i n quarry w i l l produce a p p r o x i m a t e l y 1.1 volumes i n f i l l .
Section 6 .

HYDRAULIC AND UNDERWATER FILLS

1.
GENERAL. Where l a r g e q u a n t i t i e s of s o i l must be t r a n s p o r t e d and ample
w a t e r i s a v a i l a b l e , h y d r a u l i c methods a r e economical. The c h o i c e of methods
f o r p l a c i n g h y d r a u l i c f i l l i s governed by t h e type of equipment a v a i l a b l e ,
a c c e s s i b i l i t y of borrow, and environmental r e g u l a t i o n s ; s e e Table 6 (Reference 7, C o n t r o l f o r Underwater C o n s t r u c t i o n , by Johnson, e t a l . ) .
Removal o r
placement of s o i l by h y d r a u l i c methods must conform t o a p p l i c a b l e water
pollution control regulations.
2.
PLACEMENT METHODS. Placement, e i t h e r under water o r on l a n d , should b e
done i n a manner t h a t produces a u s a b l e a r e a w i t h minimum environmental impact

a. Deep Water Placement ( o v e r 75 f e e t ) . Most deep water placement i s by

bottom dump scows and i s unconfined, w i t h no c o n t r o l on t u r b i d i t y , e x c e p t by
t h e r a t e of dumping.
b.
Shallow Water Placement. Placement by ~ i ~ e l i n by
e , mechanical equipment, o r by s i d e dumping from deck scows a r e t h e most common methods i n s h a l low water.
Sheet p i l e containment, s i l t " c u r t a i n s " , o r d i k e s a r e r e q u i r e d t o
minimize l a t e r a l spreading and environmental impact. Where l a t e r a l s p r e a d i n g
i s n o t d e s i r e d and s t e e p e r s i d e s l o p e s a r e needed, c o n t r o l t h e method o f
placement o r use a mixed sand and g r a v e l f i l l m a t e r i a l . With borrow c o n t a i n i n g about e q u a l amounts of sand and g r a v e l , underwater s l o p e s a s s t e e p a s 1:3
o r 1:2-314 may be achieved by c a r e f u l placement. To c o n f i n e t h e f i l l , p r o v i d e
berms o r d i k e s of t h e c o a r s e s t a v a i l a b l e m a t e r i a l o r s t o n e on t h e f i l l perimet e r . Where r o c k i s placed underwater, s l u i c e v o i d s w i t h sand t o reduce comp r e s s i b i l i t y and p o s s i b l e l o s s of m a t e r i a l i n t o t h e rock.
c. Land Placement.
On l a n d , h y d r a u l i c f i l l s a r e commonly placed by
Dikes
p i p e l i n e o r by mechanical procedures ( i . e . clam s h e l l , d r a g l i n e , e t c . ) .
with a d j u s t a b l e weirs o r drop i n l e t s t o c o n t r o l t h e q u a l i t y of r e t u r n water
a r e used f o r containment.

3.

PERFORMANCE OF HYDRAULIC FILLS.

a . Coarse-Grained F i l l s . The most s a t i s f a c t o r y h y d r a u l i c a l l y placed

f i l l s a r e t h o s e having l e s s t h a n 15 p e r c e n t n o n - p l a s t i c f.ines o r 1 0 p e r c e n t
p l a s t i c f i n e s because they cause t h e l e a s t t u r b i d i t y d u r i n g placement, d r a i n
f a s t e r , and a r e more s u i t a b l e f o r s t r u c t u r a l s u p p o r t t h a n f i n e - g r a i n e d mater i a l . R e l a t i v e d e n s i t i e s of 50 t o 60 p e r c e n t can be o b t a i n e d w i t h o u t compaction.
Bearing v a l u e s a r e i n t h e range of 500 t o 2000 pounds per s q u a r e f o o t
depending on t h e l e v e l of p e r m i s s i b l e s e t t l e m e n t . Density, b e a r i n g and

TABLE 6
Methods of F i l l Placement Underwater
Characteristics

Methods

Bot t om-dump scows

Deck scows

Dumping a t land edge of

f i l l and pushing material i n t o water by
bulldozer

1.

Limited t o minimum d e p t h s of about 15 f t.

because of scow and tug d r a f t s .

2.

Rapid; q u i c k d i s c h a r g e e n t r a p s a i r and minimizes s e g r e g a t i o n .

1.

Usable i n shallow water.

2.

Unloading i s slow, by d o z e r , c l a m s h e l l , o r
hydraulic jets.

3.

I n s p e c t i o n of m a t e r i a l being placed may b e

difficult.

1.

F i n e s i n m a t e r i a l placed below water t e n d t o

s e p a r a t e and accumulate i n f r o n t of a d v a n c i n g
fill.

2.

Work arrangement should r e s u l t i n c e n t r a l

p o r t i o n being i n advance of s i d e p o r t i o n s t o
d i s p l a c e sideways any s o f t bottom m a t e r i a l s .

3.

I n shallow w a t e r , b u l l d o z e r blade can s h o v e

m a t e r i a l s downward t o a s s i s t d i s p l a c e m e n t of
s o f t materials.

r e s i s t a n c e t o s e i s m i c l i q u e f a c t i o n may be i n c r e a s e d s u b s t a n t i a l l y by v i b r o probe methods. See DM-7.3, Chapter 2.

b. Fine-Grained F i l l s . H y d r a u l i c a l l y placed, bottom s i l t s and c l a y s
such as produced by maintenance dredging w i l l i n i t i a l l y be a t v e r y h i g h w a t e r
contents.
Depending on measures taken t o induce s u r f a c e d r a i n a g e , i t w i l l
t a k e approximately 2 y e a r s b e f o r e a c r u s t s u f f i c i e n t t o s u p p o r t l i g h t equipment i s formed and t h e water c o n t e n t of t h e u n d e r l y i n g m a t e r i a l s approaches
P l a c i n g 1 t o 3 f e e t of a d d i t i o n a l g r a n u l a r borrow w i l l
the liquid l i m i t .
improve t h e s e a r e a s r a p i d l y so t h a t t h e y can s u p p o r t s u r c h a r g e f i l l s , w i t h o r
w i t h o u t v e r t i c a l sand d r a i n s t o a c c e l e r a t e c o n s o l i d a t i o n .
Care must b e exerc i s e d i n applying t h e s u r c h a r g e so t h a t t h e s h e a r s t r e n g t h of t h e s o i l i s n o t
exceeded.

4.
CONSOLIDATION OF HYDRAULIC FILLS.
I f t h e c o e f f i c i e n t of p e r m e a b i l i t y of
a h y d r a u l i c f i l l i s l e s s t h a n 0.002 f e e t per minute, t h e c o n s o l i d a t i o n t i m e
f o r t h e f i l l w i l l be long and p r e d i c t i o n of t h e b e h a v i o r of t h e completed f i l l
w i l l be d i f f i c u l t . For coarse-grained m a t e r i a l s , f i l l c o n s o l i d a t i o n and
s t r e n g t h build-up w i l l be r a p i d and r e a s o n a b l e s t r e n g t h e s t i m a t e s can be made.
Where f i l l and/or foundation s o i l s a r e f i n e - g r a i n e d , i t may be d e s i r a b l e t o
monitor s e t t l e m e n t and pore water p r e s s u r e d i s s i p a t i o n i f s t r u c t u r e s a r e
planned.
S e t t l e m e n t p l a t e s may be placed b o t h on t h e u n d e r l y i n g s o i l and
w i t h i n t h e f i l l t o observe s e t t l e m e n t r a t e s and amounts.

REFERENCES

1.

Sherard, J.L., I n f l u e n c e of S o i l P r o p e r t i e s and C o n s t r u c t i o n Methods on

t h e Performance of Homogeneous E a r t h Dams, T e c h n i c a l Memorandum 6 4 5 ,
U.S. Department of t h e I n t e r i o r , Bureau of Reclamation.

2.

Sherard, J.L., Dunnigan, L. P., Becker, R. S., and S t e e l e , E. S., P i n h o l e

T e s t f o r I d e n t i f y i n g D i s p e r s i v e S o i l s , J o u r n a l of t h e G e o t e c h n i c a l
Engineering D i v i s i o n , ASCE, Vol. 102, No. GT1, 1976.

3.

Gordon, B.B.,
M i l l e r , R.K.,
C o n t r o l of E a r t h and R o c k f i l l f o r O r o v i l l e
Dam, J o u r n a l of t h e Geotechnical Engineering D i v i s i o n , ASCE, Vol. 9 2 , No.
SM3, 1966.

4.

McLeod, N.W.,
Suggested Method f o r C o r r e c t i n g Maximum Density and
Optimum Moisture Content of Compacted S o i l s f o r O v e r s i z e P a r t i c l e s ,
S p e c i a l Procedures f o r T e s t i n g S o i l and Rock f o r Engineering P u r p o s e s ,
ASTM STP 479, ASTM, 1970.

5.

Donaghe, R.T. , and Townsend, F.C. , S c a l p i n g and Replacement E f f e c t s on

t h e C o m ~-a c t i o nC h a r a c t e r i s t i c s of Earth-Rock Mixtures. S o i l S ~ e c i m e n
P r e p a r a t i o n f o r Laboratory T e s t i n g , ASTM STP 599, AS^, 1976.-

6.

T u r n b u l l , W.J. and F o s t e r , C.R. S t a b i l i z a t i o n of M a t e r i a l s by Compaction,

J o u r n a l of t h e S o i l Mechanics and Foundation D i v i s i o n , ASCE, Vol. 8 2 ,
No. SM2, 1956.

7.

Johnson, S. J., Compton, J. R., and Ling, S. C., C o n t r o l f o r Underwater

C o n s t r u c t i o n , Underwater Sampling, T e s t i n g , and C o n s t r u c t i o n C o n t r o l ,
ASTM STP 501, ASTM, 1972.

CHAPTER 3.

ANALYSIS OF WALLS AND RETAINING STRUCTURES

S e c t i o n 1.

INTRODUCTION

1.
SCOPE. Methods of determining e a r t h p r e s s u r e s a c t i n g on w a l l s a n d
r e t a i n i n g s t r u c t u r e s a r e summarized i n t h i s c h a p t e r .
Types of w a l l s
c o n s i d e r e d i n c l u d e c o n c r e t e r e t a i n i n g w a l l s and g r a v i t y w a l l s t h a t move
r i g i d l y a s a u n i t , braced o r t i e d bulkheads of t h i n s h e e t i n g t h a t d e f l e c t
a c c o r d i n g t o t h e b r a c i n g arrangement, and double-wall cofferdams of t h i n
s h e e t i n g t o c o n f i n e e a r t h o r rock f i l l .
2.
RELATED CRITERIA. A d d i t i o n a l c r i t e r i a r e l a t i n g t o t h e d e s i g n a n d
u t i l i z a t i o n of w a l l s appear i n t h e f o l l o w i n g s o u r c e s :
Source

Subject
A p p l i c a t i o n of Bulkheads and Cofferdams t o
Waterfront Construction............................NAVFAC

DM-?';

S t r u c t u r a l Design of R e t a i n i n g Walls...................NAVFAC

DM-2

S e c t i o n 2.

COMPUTATION OF WALL PRESSURES

1.
CONDITIONS. The p r e s s u r e on r e t a i n i n g w a l l s , bulkheads, o r b u r i e d
anchorages i s a f u n c t i o n of t h e r e l a t i v e movement between t h e s t r u c t u r e and
t h e surrounding s o i l .
a. A c t i v e S t a t e .
Active e a r t h p r e s s u r e o c c u r s when t h e w a l l moves away
from t h e s o i l and t h e s o i l mass s t r e t c h e s h o r i z o n t a l l y s u f f i c i e n t t o m o b i l i z e
i t s s h e a r s t r e n g t h f u l l y , and a c o n d i t i o n of p l a s t i c e q u i l i b r i u m i s r e a c h e d .
(See F i g u r e 1 from Reference 1 , Excavations and R e t a i n i n g S t r u c t u r e s , by t h e
Canadian G e o t e c h n i c a l S o c i e t y . )
The r a t i o of t h e h o r i z o n t a l component o r
a c t i v e p r e s s u r e t o t h e v e r t i c a l stress caused by t h e weight of s o i l i s t h e
The a c t i v e p r e s s u r e c o e f f i c i e n t a s
a c t i v e p r e s s u r e c o e f f i c i e n t (K,).
d e f i n e d above a p p l i e s o n l y t o c o h e s i o n l e s s s o i l s .
b. P a s s i v e S t a t e . P a s s i v e e a r t h p r e s s u r e o c c u r s when a s o i l mass i s
compressed h o r i z o n t a l l y , m o b i l i z i n g i t s s h e a r r e s i s t a n c e f u l l y ( s e e F i g u r e 1).
The r a t i o of t h e h o r i z o n t a l component of p a s s i v e p r e s s u r e t o t h e v e r t i c a l
s t r e s s caused by t h e weight of t h e s o i l i s t h e p a s s i v e p r e s s u r e c o e f f i c i e n t
The p a s s i v e c o e f f i c i e n t , a s d e f i n e d h e r e , a p p l i e s o n l y t o c o h e s i o n (Kp).
l e s s s o i l . A s o i l mass t h a t i s n e i t h e r s t r e t c h e d n o r compressed i s s a i d t o b e
i n an a t - r e s t s t a t e . The r a t i o of l a t e r a l s t r e s s t o v e r t i c a l s t r e s s i s c a l l e d
t h e a t - r e s t c o e f f i c i e n t (KO).

6
5

w 1.0J

-I

0.8

ry

g 0.6 g 0.5 0.4 2

K~

KA

IL

y ~ 2

0.3

\-

;
6 Os2

,,,

S
0.1
0.06

0.04

MEDIUM SAND

0.02
WALL ROTATION, Y/H

MMNITUDES OF WALL RUTATION TO REACH WILURE

ROTATION Y/H*

SOIL TYPE
AND CONDITION

ACTIVE

DENSE COHESIONLESS
LOOSE COHESIONLESS
STIFF COHESIVE
SOFT COHESIVE
Y
H

.oOO5
.002
.O 1
.02

WSIVE
.002
-006
.02
.04

= HORIZONTAL DISPLACEMENT
= HEIGHT OF THE WALL

FIGURE 1
Effect of Wall Movement on Wall Pressures

0.002

OD04

2.
COMPUTATION OF ACTIVE AND PASSIVE PRESSURES. See F i g u r e 2' f o r f o r m u l a s
f o r a c t i v e and p a s s i v e p r e s s u r e s f o r t h e s i m p l e c a s e on a f r i c t i o n l e s s v e r t i c a l f a c e with h o r i z o n t a l ground s u r f a c e . Three b a s i c c o n d i t i o n s r e q u i r e d f o r
v a l i d i t y of t h e formulas a r e l i s t e d i n F i g u r e 2.
Under t h e s e c o n d i t i o n s t h e
f a i l u r e s u r f a c e i s a p l a n e and t h e formulas r e p r e s e n t p r e s s u r e s r e q u i r e d f o r
e q u i l i b r i u m of t h e wedge shaped f a i l u r e mass.
The i n t e n s i t y of p r e s s u r e s a p p l i e d depends on w a l l movements, as t h e s e con(See
t r o l t h e degree of s h e a r s t r e n g t h m o b i l i z a t i o n i n s u r r o u n d i n g s o i l .
Figure 1 f o r t h e magnitude of t h e movement n e c e s s a r y f o r a c t i v e c o n d i t i o n t o
e x i s t . ) Wall f r i c t i o n and w a l l v e r t i c a l movements a l s o a f f e c t t h e p a s s i v e and
a c t i v e pressures.
The e f f e c t of w a l l f r i c t i o n on a c t i v e p r e s s u r e s i s small and o r d i n a r i l y i s
d i s r e g a r d e d e x c e p t i n c a s e of a s e t t l i n g w a l l where i t c a n be very s i g n i f i c a n t . The e f f e c t of w a l l f r i c t i o n on p a s s i v e p r e s s u r e s i s l a r g e , b u t d e f i n i t e movement i s n e c e s s a r y f o r m o b i l i z a t i o n of w a l l f r i c t i o n .
(See T a b l e 1
f o r t y p i c a l u l t i m a t e f r i c t i o n f a c t o r s and adhesion between w a l l and b a c k f i l l . )
I n t h e absence of s p e c i f i c t e s t d a t a , u s e t h e s e v a l u e s i n c o m p u t a t i o n s t h a t
i n c l u d e e f f e c t s of w a l l f r i c t i o n .
Unless a w a l l i s s e t t l i n g , f r i c t i o n on i t s back a c t s upward on t h e a c t i v e
wedge ( a n g l e 6 i s p o s i t i v e , s e e F i g u r e 5 ) , r e d u c i n g a c t i v e p r e s s u r e s .
Generally, w a l l f r i c t i o n a c t s downward a g a i n s t t h e p a s s i v e wedge ( a n g l e 6 i s
n e g a t i v e ) , r e s i s t i n g i t s upward movement and i n c r e a s i n g p a s s i v e p r e s s u r e s .

a. Uniform B a c k f i l l , No Groundwater.
s u r e s by methods from F i g u r e 2.

Compute a c - t i v e and p a s s i v e p r e s -

b.
S l o p i n g B a c k f i l l , No Groundwater, G r a n u l a r S o i l , Smooth Wall.
Comp u t e a c t i v e and p a s s i v e p r e s s u r e s by methods from F i g u r e 3. Use F i g u r e 4 t o
determine t h e p o s i t i o n of f a i l u r e s u r f a c e f o r a c t i v e and p a s s i v e wedge.
c.
S l o p i n g Wall, Granular S o i l With Wall F r i c t i o n . Use F i g u r e 5 ( R e f e r ence 2, T a b l e s f o r t h e C a l u l a t i o n of t h e P a s s i v e P r e s s u r e , A c t i v e P r e s s u r e
and Bearing C a p a c i t y of Foundations, by Caquot and K e r i s e l ) t o compute a c t i v e
and p a s s i v e e a r t h p r e s s u r e c o e f f i c i e n t s .
d. S l o p i n g B a c k f i l l , Granular S o i l w i t h Wall F r i c t i o n . Use F i g u r e 6
(Reference 2 ) t o compute a c t i v e and p a s s i v e e a r t h p r e s s u r e c o e f f i c i e n t .
e. Uniform B a c k f i l l , S t a t i c Groundwater.
p r e s s u r e s by formulas i n Figure 7.

Compute a c t i v e e a r t h and w a t e r

f . General Formula f o r C o e f f i c i e n t s of P a s s i v e and A c t i v e E a r t h P r e s sure. Use F i g u r e 8 f o r s l o p i n g w a l l w i t h f r i c t i o n and s l o p i n g b a c k f i l l .

g.
S t r a t i f i e d B a c k f i l l , Sloping Groundwater Level.
When c o n d i t i o n s
i n c l u d e l a y e r e d s o i l , i r r e g u l a r s u r c h a r g e , w a l l f r i c t i o n , and s l o p i n g groundwater l e v e l , determine a c t i v e p r e s s u r e s by t r i a l f a i l u r e wedge.
(See F i g u r e
7.) T r i a l wedge i s bounded by a s t r a i g h t f a i l u r e p l a n e o r a s e r i e s of
s t r a i g h t segments a t d i f f e r e n t i n c l i n a t i o n i n each stratum.
Commence t h e
a n a l y s i s w i t h f a i l u r e p l a n e o r i e n t e d a t t h e a n g l e shown i n F i g u r e 4.

PASSIVEWEDGE

I. MATERIALS ARE HOMOGENEOUS.

2. SUFFlClENT MOVEWENT HAS OCCURRED SO SHEAR STRENGTH ON RUPTURE SURFACE IS (MPLETELY MOBILIZED.
3. WALL IS VERTICAL.NO SHEAR FORCES ARE PRESENT ON BACK OF WALL.RESULTANT FORCES ARE HORIZONTAL.

FIGURE 2
Computation of Simple Active and P a s s i v e P r e s s u r e s

TABLE 1
Ultimate F r i c t i o n F a c t o r s and Adhesion f o r D i s s i m i l a r M a t e r i a l s

Interface Materials
Mass c o n c r e t e on t h e f o l l o w i n g f o u n d a t i o n m a t e r i a l s :
Clean sound rock..................................
Clean g r a v e l , gravel-sand m i x t u r e s , c o a r s e sand...
Clean f i n e t o medium s a n d , s i l t y medium t o c o a r s e
s a n d , s i l t y o r c l a y e y gravel....................
Clean f i n e s a n d , s i l t y o r c l a y e y f i n e t o medium
sand..........................................
Fine sandy s i l t , n o n p l a s t i c silt..................
Very s t i f f and hard r e s i d u a l o r p r e c o n s o l i d a t e d
clay.........................................
Medium s t i f f and s t i f f c l a y and s i l t y clay........
(Masonry on f o u n d a t i o n m a t e r i a l s h a s same f r i c t i o n
factors.)
S t e e l sheet p i l e s a g a i n s t the following s o i l s :
Clean g r a v e l , gravel-sand m i x t u r e s , well-graded
rock f i l l w i t h s p a l l s . . . . . . . . . . . . . . . . . . . . . . . . . . .
Clean sand, s i l t y sand-gravel m i x t u r e , s i n g l e s i z e
hard rock fill..................................
S i l t y sand, g r a v e l o r sand mixed w i t h s i l t o r c l a y
Fine sandy s i l t , n o n p l a s t i c silt..................
Formed c o n c r e t e o r c o n c r e t e s h e e t p i l i n g a g a i n s t t h e
following s o i l s :
Clean g r a v e l , gravel-sand m i x t u r e , well-graded
rock f i l l w i t h s p a l l s . . . . . . . . . . . . . . . . . . . . . . . . . . .
Clean sand, s i l t y sand-gravel m i x t u r e , s i n g l e s i z e
hard r o c k fill..................................
S i l t y sand, g r a v e l o r sand mixed w i t h s i l t o r c l a y
F i n e sandy s i l t , n o n p l a s t i c silt..................
Various s t r u c t u r a l m a t e r i a l s :
Masonry o n masonry, igneous and metamorphic r o c k s :
Dressed s o f t rock on d r e s s e d s o f t rock..........
Dressed h a r d rock on d r e s s e d s o f t rock..........
Dressed h a r d rock on d r e s s e d hard rock..........
Masonry on wood ( c r o s s grain).....................
S t e e l on s t e e l a t s h e e t p i l e interlocks...........

I n t e r f a c e M a t e r i a l s (Cohesion)
Very s o f t c o h e s i v e s o i l ( 0 - 250 p s f )
S o f t c o h e s i v e s o i l (250 - 500 p s f )
Medium s t i f f c o h e s i v e s o i l (500 - 1000 p s f )
S t i f f c o h e s i v e s o i l (1000 - 2000 p s f )
Very s t i f f c o h e s i v e s o i l (2000 - 4000 p s f )

Friction
factor,
tan 8

Friction
angle, 8
degrees

0.70
0.55 t o 0.60

35
29 t o 3 1

0.45 t o 0.55

24 t o 29

0.35 t o 0.45
0.30 t o 0.35

19 t o 24
17 t o 1 9

0.40 t o 0.50
0.30 t o 0.35

22 t o 26
17 t o 19

0.40

22

0.30
0.25
0.20

17
14
11

0.40 t o 0.50

22 t o 26

0.30 t o 0.40
0.30
0.25

17 t o 22
17
14

0.70
0.65
0.55
0.50
0.30

35
33
29
26
17

Adhesion Ca ( p s f )
0
250
500
750
950

- 250
- 500
- 750
- 950
- 1,300

20

22

24

26

28

30

32

34

36

38

40

42

44

ANGLE OF INTERNAL FRICTION, 4, DEGREES

Pp=K

XT

F~

3
PASSIVE PRESSURE

<

ACTIVE PRESSURE

KA8 Kp=COEFFICIENTS FOR COULOMB'S EQUATION FOR RRTIVE AND

PASSIVE EARTH PRESSURE (NO SHEAR STRESS ON
VERTICAL PLANES).
PA = ACTIVE RESULTANT
4 =ANGLE OF INTERNAL FRICTION
Pp =PASSIVE RESULTANT
i3 =SLOPE ANGLE
Y = UNIT WEIGHT OF SOIL
H = HEIGHT OF WALL

FIGURE 3
A c t i v e and P a s s i v e C o e f f i c i e n t s , Sloping B a c k f i l l
(Granular S o i l s )

ANGLE OF INTERNAL FRICTION, 4 ,DEGREES

TAN
COTap=-~~~++fi+~~N2+-

a ~a 8
p =ANGLE BETWEEN CRITICAL FAILURE PLANE AND VERTICAL
FA1LURE
PLANE
ACTIVE PRESSURE
PASSIVE PRESSURE

=ANGLE OF INTERNAL FRICTION

= SLOPE ANGLE
THE ANGLES SHOWN CORRESPOND TO THE COEFFICIENTS
OF ACTIVE AND PASSIVE PRESSURE GIVEN IN FIGURE 3.

FIGURE 4
P o s i t i o n of F a i l u r e S u r f a c e f o r A c t i v e and P a s s i v e Wedges
(Granular S o i l s )

A c t i v e and P a s s i v e C o e f f i c i e n t s with Wall F r i c t i o n

(Sloping Wall)

7.2-66

FIGURE 6
Active and Passive C o e f f i c i e n t s with Wall F r i c t i o n
(Sloping B a c k f i l l )
-7.2-%7

HORIZONTALBACKFILL
UNIFORM SURCHARGE
WALL FRICTION NEGLIGIBLE

ACTIVE EARTH

PREssURE AT ANY HEIGHT =(EFFECTIVE uZ)X F A N ~ ~ S - ~ / ~ ~ - ~ (45-4/21

CTAN

NEGATIVE PRESSURE BE

BROKEN SLOPE BACKFILL

IRREGULAR SURCHARGE
WALL FRICTION lNCWDED
SLOPING GROUND WATER LEVEL

RE ON FiL\ILURE

FIGURE 7
Computation of General Active Pressures

7.2-68

PA = y
!
&

KA = c o ~ ~ ( g - 8 )

K~

KA

cos2 B a s ( @ - 8 ) [ I ~ I ~ * + ~ ) S ~ N ( C P + B ~ ~ -

cos ( 8 - 8 )

cos(8-B)

K~ VALUES ARE SATISFACTORY FOR 8 4 +/3

THEREFORE SHOULD NOf BE USED.

BUT ARE UNCONSERVATIVE RM

8 ) +/3 AND

FIGURE 8
C o e f f i c i e n t s KA and Kp for Walls with Sloping Wall and
Friction, and Sloping B a c k f i l l

Compute r e s u l t a n t p a s s i v e f o r c e by t r i a l f a i l u r e wedge a n a l y s i s .
(See F i g u r e 9). When w a l l f r i c t i o n i s i n c l u d e d , compute p r e s s u r e s from a
f a i l i n g mass bounded by a c i r c u l a r a r c and s t r a i g h t plane. Determine l o c a t i o n
of p a s s i v e r e s u l t a n t by summing moments about t o e of w a l l of a l l f o r c e s on
t h a t p o r t i o n of t h e f a i l i n g mass above t h e c i r c u l a r a r c . Depending on comp l e x i t y of c r o s s s e c t i o n , d i s t r i b u t e p a s s i v e p r e s s u r e s t o conform t o l o c a t i o n
of r e s u l t a n t , o r analyze t r i a l f a i l u r e s u r f a c e s a t i n t e r m e d i a t e h e i g h t s i n t h e
p a s s i v e zone. When wall f r i c t i o n i s n e g l e c t e d , t h e t r i a l f a i l u r e s u r f a c e i s a
s t r a i g h t plane. See Figure 2.
( 1 ) Simple Cross Section. For a simple c r o s s s e c t i o n behind a w a l l ,
analyze t h e t r i a l f a i l u r e plane extending upward from t h e lowest p o i n t of t h e
a c t i v e zone on t h e wall. Determine t h e l o c a t i o n of t h e a c t i v e r e s u l t a n t by
summing moments of a l l f o r c e s on t h e wedge about t o e of wedge. D i s t r i b u t e
a c t i v e p r e s s u r e s t o conform t o t h e l o c a t i o n of r e s u l t a n t .

( 2 ) Complicated Cross Section. For complicated c r o s s s e c t i o n s ,

analyze t r i a l wedges a t i n t e r m e d i a t e h e i g h t s above t h e base of t h e a c t i v e zone
t o determine p r e s s u r e d i s t r i b u t i o n i n more d e t a i l . Force a c t i n g on an
increment of wall h e i g h t equals d i f f e r e n c e i n r e s u l t a n t f o r c e s f o r wedges'
taken from t h e top and bottom of t h a t increment.
3.
EFFECT OF GROUNDWATER CONDITIONS. Include i n p r e s s u r e computations t h e
e f f e c t of t h e g r e a t e s t unbalanced water head a n t i c i p a t e d t o a c t a c r o s s t h e
wall.
a. General Conditions. For a major s t r u c t u r e , analyze seepage and
d r a i n a g e e f f e c t by flow n e t procedures. U p l i f t p r e s s u r e s i n f l u e n c i n g w a l l
f o r c e s a r e those a c t i n g on f a i l u r e s u r f a c e of a c t i v e o r p a s s i v e wedge.
R e s u l t a n t u p l i f t f o r c e on f a i l u r e s u r f a c e determined from flow n e t i s a p p l i e d
i n f o r c e diagram of t h e f a i l u r e wedge.
See v e c t o r U , t h e r e s u l t a n t water
f o r c e , i n Figures 7 and 9.
b.
S t a t i c D i f f e r e n t i a l Head.
i n t o p panel of Figure 10.

Compute water p r e s s u r e s on w a l l s a s shown

c. R a i n f a l l on Drained Walls. For c o h e s i o n l e s s m a t e r i a l s , s u s t a i n e d

r a i n f a l l i n c r e a s e s l a t e r a l f o r c e on w a l l 20 t o 40 percent over d r y b a c k f i l l ,
depending on b a c k f i l l f r i c t i o n angle. The c e n t e r panel of F i g u r e 10 (Reference 3, C o n t r i b u t i o n t o t h e Analysis of Seepage E f f e c t s i n B a c k f i l l s , by Gray)
shows flow n e t s e t up by r a i n f a l l behind a w a l l w i t h v e r t i c a l d r a i n . This
panel g i v e s t h e magnitude of r e s u l t a n t u p l i f t f o r c e on f a i l u r e wedge f o r
v a r i o u s i n c l i n a t i o n s of f a i l u r e plane t o be used i n a n a l y s i s of t h e a c t i v e
wedge

d. Seepage Beneath Wall. See bottom panel of F i g u r e 10 (Reference 4 ,

The E f f e c t of Seepage on t h e S t a b i l i t y of Sea Walls, by R i c h a r t and Schmertmann) f o r c o r r e c t i o n t o be applied t o a c t i v e and passive p r e s s u r e s i n cohes i o n l e s s m a t e r i a l f o r s t e a d y seepage beneath a wall.

4.
SURCHARGE LOADING.
and 9.

For t h e e f f e c t s of surcharge l o a d i n g , see F i g u r e s 7

VECTOR DIAGRAMS :

FIGURE 9
Computation of General Passive Pressures

NO F W . A%,APp ARE
CORRECTIONS FOR SEE-.

FIGURE 10
E f f e c t of Groundwater Conditions on Wall Pressures

a. P o i n t Load and Live Load. Use F i g u r e 11 ( R e f e r e n c e 5, Anchored Bulkheads, based on t h e work by T e r z a g h i ) t o compute l a t e r a l p r e s s u r e on w a l l due
t o p o i n t l o a d and l i n e l o a d s ; t h i s assumes an u n y i e l d i n g r i g i d w a l l a n d t h e
l a t e r a l p r e s s u r e s a r e approximately double t h e v a l u e s o b t a i n e d by e l a s t i c
equations. The assumption of a n u n y i e l d i n g r i g i d w a l l i s c o n s e r v a t i v e and i t s
a p p l i c a b i l i t y should be e v a l u a t e d f o r e a c h s p e c i f i c w a l l .
b.
Uniform Loading Area.
For uniform s u r c h a r g e l o a d i n g l a t e r a l stress
can be computed by t r e a t i n g t h e s u r c h a r g e a s i f i t were b a c k f i l l and m u l t i p l y ing t h e v e r t i c a l s t r e s s a t - a n y depth by-the appropriate e a r t h p r e s s u r e coef-f icient.
c. Uniform Rectangular Surcharge Loading. For t h e e f f e c t of t h i s loadi n g s e e Figure 12 ( s e e Reference 6, L a t e r a l Support Systems and U n d e r p i n n i n g ,
I f the
Volume 1, Design and C o n s t r u c t i o n (Summary), by Goldberg, e t a l . ) .
c o n s t r u c t i o n procedures a r e s u c h t h a t t h e w a l l w i l l move d u r i n g t h e a p p l i c a t i o n of l i v e l o a d s , t h e n t h e p r e s s u r e c a l c u l a t e d from F i g u r e 12 w i l l b e
conservative.
d. P r a c t i c a l Considerations.
For d e s i g n p u r p o s e s , i t i s common t o cons i d e r a d i s t r i b u t e d s u r f a c e l o a d s u r c h a r g e on t h e o r d e r of 300 p s f t o a c c o u n t
f o r s t o r a g e of c o n s t r u c t i o n m a t e r i a l s and equipment. T h i s s u r c h a r g e i s u s u a l l y a p p l i e d w i t h i n a r a t h e r l i m i t e d work a r e a of about 20 f e e t t o 30 f e e t from
t h e w a l l and i s a l s o intended t o account f o r c o n c e n t r a t e d l o a d s from h e a v y
equipment ( c o n c r e t e t r u c k s , c r a n e s , e t c . ) l o c a t e d more t h a n about 20 f e e t
away.
I f such equipment i s a n t i c i p a t e d w i t h i n a few f e e t of t h e w a l l , i t must
b e accounted f o r s e p a r a t e l y .
5.
WALL MOVEMENT. For t h e e f f e c t of w a l l movement on t h e e a r t h p r e s s u r e
c o e f f i c i e n t s , s e e F i g u r e 1.

a. Wall R o t a t i o n . When t h e a c t u a l e s t i m a t e d w a l l r o t a t i o n i s less t h a n

the value required t o f u l l y mobilize a c t i v e o r passive conditions, a d i u s t t h e
e a r t h p r e s s u r e c o e f f i c i e n t s by u s i n g t h e diagram on t h e upper r i g h t hand c o r n e r of Figure 1. R e l a t i v e l y l a r g e movements a r e r e q u i r e d t o m o b i l i z e t h e
passive resistance.
A s a f e t y f a c t o r must be a p p l i e d t o t h e u l t i m a t e p a s s i v e
r e s i s t a n c e i n o r d e r t o l i m i t movements.
b. Wall T r a n s l a t i o n . Wall uniform t r a n s l a t i o n r e q u i r e d t o m o b i l i z e
u l t i m a t e p a s s i v e r e s i s t a n c e o r a c t i v e p r e s s u r e i s approximately e q u i v a l e n t t o
movement of t o p of w a l l based on r o t a t i o n c r i t e r i a g i v e n i n F i g u r e 1.
c . I n t e r n a l l y Braced F l e x i b l e Wall.
Sheeting on c u t s r i g i d l y b r a c e d a t
t h e t o p undergoes i n s u f f i c i e n t movement t o produce f u l l y a c t i v e c o n d i t i o n s .
H o r i z o n t a l p r e s s u r e s a r e assumed t o be d i s t r i b u t e d i n a- t r a p e z o i d a l diagram.
(See S e c t i o n 4.)
The r e s u l t a n t f o r c e i s h i g h e r t h a n t h e o r e t i c a l a c t i v e f o r c e .
For c l a y s , t h e i n t e n s i t y and d i s t r i b u t i o n of h o r i z o n t a l p r e s s u r e s depend on
t h e s t a b i l i t y number No = Y H/c.
(See S e c t i o n 4.)
d. Tied Back Walls.
S o i l movement a s s o c i a t e d w i t h p r e s t r e s s e d t i e d b a c k
w a l l s i s u s u a l l y l e s s than w i t h i n t e r n a l l y braced f l e x i b l e w a l l s , and d e s i g n
pressures a r e higher.
(See S e c t i o n 4.)

VALUE OF

UH

(g)

VAWE OF

FOR

PRESSURES FROM LINE LOAD QL

(BOUSSINESQ EQUATlOFl MODIFIED BY EXPERIMENT)

UH

(-1 H2

>0.4:

SECTON A-A
PRESSURES FROM POlNT WAD Qp
(BWSSINESQ EQUATION
MODIFIED BY EXPERIMENT)

FIGURE 11
H o r i z o n t a l P r e s s u r e s on Rigid Wall from Sur-face Load

p = 0.5
q =SURCHARGE

L = LENGTH RPRALLELTDWALL
m=-B
Z

'

B = LENGTH PERPENDICULAR
TO WALL

n = -Lp = q x I p

2
n

L -----=-

FIGURE 12
Lateral Pressure on an Unyielding Wall due to
Uniform Rectangular Surface Load

5.8

e. R e s t r a i n e d Walls.
I f a w a l l i s prevented from even s l i g h t movement,
t h e n t h e e a r t h remains a t o r n e a r t h e v a l u e of at-rest c o n d i t i o n s . The c o e f f i c i e n t of e a r t h p r e s s u r e a t - r e s t , KO, f o r normally c o n s o l i d a t e d c o h e s i v e o r
g r a n u l a r s o i l s i s approximately:

where :

9'

= e f f e c t i v e f r i c t i o n angle

Thus f o r 8' = 30, KO = 0.5.

For over-consolidated s o i l s and compacted s o i l s t h e r a n g e of KO may
b e on t h e o r d e r of 1.0.
In cohesionless s o i l s , f u l l a t - r e s t pressure w i l l
occur o n l y w i t h t h e most r i g i d l y s u p p o r t e d wall.
In highly p l a s t i c c l a y s ,
s o i l may c r e e p , and i f w a l l movement i s p r e v e n t e d , a t - r e s t c o n d i t i o n s may
redevelop even a f t e r a c t i v e p r e s s u r e s a r e e s t a b l i s h e d .
f.
Basement and Other Below Grade Walls.
P r e s s u r e on w a l l s below g r a d e
may be computed based on r e s t r a i n i n g c o n d i t i o n s t h a t p r e v a i l , t y p e of backf i l l , and t h e amount of compaction.

6.

EFFECT OF CONSTRUCTION PROCEDURES.

a.
Staged Construction. A s e a r t h p r e s s u r e s a r e i n f l u e n c e d by w a l l movement, i t i s important t o c o n s i d e r each s t a g e of c o n s t r u c t i o n , e s p e c i a l l y w i t h
r e g a r d t o b r a c e placement and i t s e f f e c t s .
b.
Compaction.
Compaction of b a c k f i l l i n a c o n f i n e d wedge behind t h e
w a l l t e n d s t o i n c r e a s e h o r i z o n t a l p r e s s u r e s beyond t h o s e r e p r e s e n t e d by a c t i v e
o r a t - r e s t values.
For guidance on h o r i z o n t a l p r e s s u r e computations a s s o c i a t e d w i t h t h e compaction of g r a n u l a r s o i l , s e e F i g u r e 13 ( a f t e r Reference 7 ,
R e t a i n i n g Wall Performance During B a c k f i l l i n g , by I n g o l d ) .
Clays and o t h e r fine-grained s o i l s , a s w e l l a s g r a n u l a r s o i l s , w i t h
c o n s i d e r a b l e amount of c l a y and s i l t 0 1 5 % ) a r e n o t normally used a s b a c k f i l l
m a t e r i a l . Where t h e y must be used, t h e e a r t h p r e s s u r e should be c a l c u l a t e d on
t h e b a s i s of " a t - r e s t " c o n d i t i o n s o r h i g h e r p r e s s u r e w i t h due c o n s i d e r a t i o n t o
p o t e n t i a l poor d r a i n a g e c o n d i t i o n s , s w e l l i n g , and f r o s t a c t i o n .
c. H y d r a u l i c F i l l s . Active p r e s s u r e c o e f f i c i e n t s f o r l o o s e h y d r a u l i c
f i l l m a t e r i a l s r a n g e from about 0.35 f o r c l e a n sands t o 0.50 f o r s i l t y f i n e
sands. P l a c e h y d r a u l i c f i l l by procedures which permit r u n o f f of wash w a t e r
and p r e v e n t b u i l d i n g up l a r g e h y d r o s t a t i c p r e s s u r e s . For f u r t h e r guidance s e e
d i s c u s s i o n on dredging i n DM-7.3, Chapter 3.
EARTHQUAKE LOADING. The p r e s s u r e d u r i n g e a r t h q u a k e l o a d i n g c a n be com7.
puted by t h e Coulomb t h e o r y w i t h t h e a d d i t i o n a l f o r c e s r e s u l t i n g from ground
a c c e l e r a t i o n . For f u r t h e r guidance on t h e s u b j e c t s e e Reference 8, Design of
E a r t h R e t a i n i n g S t r u c t u r e s f o r Dynamic Loads, by Seed and Whitman. A s y n o p s i s
of some m a t e r i a l from t h i s Reference f o l l o w s :

- --

--

- -

--

q P

--

FOR Z c L Z i d

FOR Z > d
Fh= K~ y ' z

@h

P (ROLLER LOAD) = DEAD W7: OF ROLLER +CENTRIFUGAL FORCE

WIDTH OF ROLLER
a : DISTANCE OF ROLLER FROM WALL
L: LENGTH OF ROLLER
USE FIGURES 2 , 3 , 5 OR 6 FOR KA

FIGURE 13
Horizontal Pressure on Walls from Compaction Effort

( 1 ) A simple procedure f o r d e t e r m i n i n g t h e l a t e r a l f o r c e due t o an

earthquake i s t o compute t h e i n i t i a l s t a t i c p r e s s u r e and add t o i t t h e
i n c r e a s e i n p r e s s u r e from ground motion. For a v e r t i c a l w a l l , w i t h horizont a l b a c k f i l l s l o p e , and 8 of 35O, (which may be assumed f o r most p r a c t i c a l
c a s e s i n v o l v i n g g r a n u l a r f i l l ) , t h e e a r t h p r e s s u r e c o e f f i c i e n t f o r dynamic
i n c r e a s e i n l a t e r a l f o r c e can be approximated a s 314 kh, kh b e i n g t h e
The combined e f f e c t of s t a t i c and dynamic
horizontal a c c e l e r a t i o n i n g's.
force is:

Assume t h e dynamic l a t e r a l f o r c e PE = 318 7 H2kh acts a t

0.6 H above t h e w a l l base. E f f e c t of l i q u e f a c t i o n i s c o n s i d e r e d i n DM-7.3,
Chapter 1.
( 2 ) For o t h e r s o i l and w a l l p r o p e r t i e s , t h e combined r e s u l t a n t a c t i v e
force:

where :

@ *= P
8*

F =

+$J = modified s l o p e of b a c k f i l l

8 + JI

= modified s l o p e of w a l l back

~ 0 ~ *2 8
cos JI cos 28

kv = v e r t i c a l ground a c c e l e r a t i o n i n g ' s .

For modifed s l o p e @ and 8 *, o b t a i n K A ( ~ *8, *) from t h e

a p p l i c a b l e F i g u r e s 3 through 8. Determine F from F i g u r e 14. Dynamic p r e s s u r e
increment A P E c a n be obtained by s u b t r a c t i n g PA ( a l s o t o be determined
from F i g u r e s 3 , 7, o r 8 f o r given P and 8 v a l u e s ) from PAE. The r e s u l t a n t
f o r c e w i l l v a r y i n i t s l o c a t i o n depending on w a l l movement, ground
a c c e l e r a t i o n , and w a l l b a t t e r . For p r a c t i c a l purposes i t may b e a p p l i e d a t
0.6 H above t h e base.
( 3 ) Unless t h e w a l l moves o r r o t a t e s s u f f i c i e n t l y , p r e s s u r e s g r e a t e r t h a n
a c t i v e c a s e w i l l e x i s t and the a c t u a l l a t e r a l p r e s s u r e s may be as l a r g e as
t h r e e times t h e v a l u e d e r i v e d from Figure 14. I n such s i t u a t i o n s , d e t a i l e d
a n a l y s i s u s i n g numerical t e c h n i q u e s may be d e s i r a b l e .
( 4 ) Under t h e combined e f f e c t of s t a t i c and earthquake l o a d a f a c t o r of
s a f e t y between 1.1 and 1.2 i s a c c e p t a b l e .

( 5 ) I n c a s e s where s o i l i s below water, add t h e hydrodynamic p r e s s u r e

computed based on:

(A) WALL CONFIGURATION

0.1

0.2
0.3
TAN $

0.4

Q5

FIGURE 14(a)
Values of F for Determination of Dynamic Lateral Pressure C o e f f i c i e n t s

/rF

EXAMPLES:
CASE I - VERTICAL WALL WlTH HORIZONTAL BACKflLL

H= 20'

COMBINED EFFECT OF STATIC AND DYNAMIC

FORCE.
PAE = Fl +F2
KA =0.27(FROM FIGURE 2 FOR

t$

=35O)

F1= 1/2 y ~ KA=

2
1/2 (120)(20)~
(0.27)= 6480 L B
RESULTANT ACTING ATA DISTANCE OF
H/3 = 6.7' FROM BASE OF WALL

F~ = 3/8 y ~ Kh
2=
318 (120) (2012 (0.2) = 3600 LB.
ACTING AT 12FT. (0.6H) FROM BASEOFWALL

H/3 -6.7'

CASE 2 - SLOPING WALL WlTH SLOPING BACKFILL

JI zTAN-l

'.2-=

1-0.05
TAN J/ = 0.21

120

9 = K)O

Kvz.05

0.6 x 20 =12.01

p = 15.
F =0.9 (FROM FIGURE 140)
ASSUME A S
M WALL,^
~ =O
9*=
= IOt12.22O
p*=p+J/
= 15+I2 = 2 7 O

e++

FROM THE EQUATION IN FIGURE8

**

KA (P,8 ) =
KA

=Q71

(p,81=0.41,P ~ = I / ~ x ( I ~ o ) x ( ~ o ) ~ x o . ~ I = ~ ~ o L B .

PAE = 1/2 y~~KA ( I-KV) F

= 1/2 (120) (20)2 (0.71 ) (1-0.05) (0.9)=I4569 LB.

A PE = 14569 -9840 = 4729 LB.

FIGURE 14(b)
Example Calculations for Dynamic Loading on Walls

where :

pw = hydrodynamic p r e s s u r e a t d e p t h z below w a t e r s u r f a c e

Yw

= u n i t weight of water

h = d e p t h of w a t e r
z = d e p t h below t h e water s u r f a c e

( 6 ) Add t h e o t h e r i n e r t i a e f f e c t of t h e s t r u c t u r e i t s e l f f o r c a l c u l a t i n g t h e r e q u i r e d s t r u c t u r a l s t r e n g t h . An optimum d e s i g n i s t o s e l e c t t h e
t h i n n e s t s e c t i o n w i t h t h e l a r g e s t bending and s h e a r r e s i s t a n c e ( i . e . most
flexible).
( 7 ) When a p p l y i n g t h i s e a r t h q u a k e l o a d i n g a n a l y s i s t o e x i s t i n g e a r t h ret a i n i n g s t r u c t u r e s , p a r t i c u l a r l y where h i g h groundwater l e v e l s e x i s t , i t may
be found t h a t r e s u l t i n g s a f e t y f a c t o r i s l e s s t h a n 1.1.
In such c a s e s ,
proposed c o r r e c t i v e measures must be submitted t o NAVFAC HQ f o r r e v i e w and
approval.

8.
FROST ACTION. L a t e r a l f o r c e s due t o f r o s t a c t i o n a r e d i f f i c u l t t o pred i c t and may a c h i e v e high v a l u e s .
B a c k f i l l m a t e r i a l s such a s s i l t s and c l a y e y s i l t s (CL, MH, ML, OL) a r e f r o s t
s u s c e p t i b l e , and w i l l e x e r t e x c e s s i v e p r e s s u r e on w a l l i f proper p r e c a u t i o n s
a r e n o t taken t o c u r b f r o s t .
Swelling p r e s s u r e s may be e x e r t e d by c l a y s of
high p l a s t i c i t y (CH). Under t h e s e c o n d i t i o n s , d e s i g n f o r a c t i v e p r e s s u r e s i s
i n a d e q u a t e , even f o r y i e l d i n g w a l l s , a s r e s u l t i n g w a l l movement i s l i k e l y t o
be e x c e s s i v e and continuous. S t r u c t u r e s u s u a l l y a r e n o t designed t o withstand f r o s t generated s t r e s s e s .
I n s t e a d , p r o v i s i o n s should be made s o t h a t
f r o s t r e l a t e d s t r e s s e s w i l l n o t develop o r be k e p t t o a minimum. Use of one
o r more of t h e f o l l o w i n g may be n e c e s s a r y :
( i ) Permanently i s o l a t e t h e b a c k f i l l from s o u r c e s of w a t e r e i t h e r by
providing a very permeable d r a i n o r a very impermeable b a r r i e r .
( i i ) Provide pervious b a c k f i l l and weep h o l e s .
(See DM-7.1, Chapter 6
f o r t h e i l l u s t r a t i o n on complete d r a i n a g e and p r e v e n t i o n of f r o s t t h r u s t . )
( i i i ) P r o v i d e impermeable s o i l l a y e r n e a r t h e s o i l s u r f a c e , and g r a d e t o
d r a i n s u r f a c e water away from t h e wall.

9.
SWELLING ACTION. Expansion of c l a y s o i l s can c a u s e v e r y h i g h p r e s s u r e s
on t h e back of a r e t a i n i n g s t r u c t u r e . Clay b a c k f i l l s should be avoided whenever p o s s i b l e .
Swelling p r e s s u r e s may be e v a l u a t e d based on l a b o r a t o r y t e s t s
and w a l l designed t o w i t h s t a n d s w e l l i n g p r e s s u r e s .
Providing g r a n u l a r nonexpansive f i l t e r between t h e c l a y f i l l and back of w a l l d i m i n i s h e s s w e l l i n g
p r e s s u r e s and s i g n i f i c a n t l y l i m i t s a c c e s s t o moisture.
Guidance on s o i l stab i l i z a t i o n methods f o r c o n t r o l of heave a r e given i n DM-7.3, Chapter 3. Comp l e t e d r a i n a g e ( s e e DM-7.1, Chapter 6 ) i s one of t h e t e c h n i q u e s t o c o n t r o l
heave

10. SELECTION OF STRENGTH PARAMETERS. The c h o i c e of s t r e n g t h parameters is

governed by t h e s o i l p e r m e a b i l i t y c h a r a c t e r i s t i c s , boundary d r a i n a g e and
l o a d i n g c o n d i t i o n s , and time.

a. S a t u r a t e d Cohesive S o i l s . For s a t u r a t e d cohesive s o i l s of low permea b i l i t y , where s u f f i c i e n t t i e i s not a v a i l a b l e f o r complete drainage, u s e

undrained shear s t r e n g t h , and t o t a l stress f o r e a r t h p r e s s u r e computations.
Such condition w i l l e x i s t during and immediately a f t e r completion of
construction.
b. Coarse-grained S o i l s . In coarse-grained s o i l s such a s sand, which
have high
- permeability,
- - use e f f e c t i v e s t r e s s s t r e n g t h parameter 6' , f o r
e a r t h pressure computations. Also, where s u f f i c i e n t t i m e is a v a i l a b l e f o r t h e
d i s s i p a t i o n of pore pressure i n l e s s than pervious s o i l , use e f f e c t i v e stress
s t r e n g t h parameters c 1 and 8'. In t h i s c a s e , pore p r e s s u r e i s h y d r o s t a t i c
and can be estimated f a i r l y accurately.

In s o i l s such a s s i l t and clayey sand, where p a r t i a l drainage o c c u r s

during the time of c o n s t r u c t i o n , perform a n a l y s i s f o r l i m i t i n g c o n d i t i o n s ,
i.e. e f f e c t i v e stress with 6' only, t o t a l s t r e s s with c , and design f o r t h e
worst case.
Section 3.

R I G I D RETAINING WALLS

1.
GENERAL CRITERIA. Rigid r e t a i n i n g walls a r e those t h a t develop t h e i r
l a t e r a l r e s i s t a n c e primarily from t h e i r own weight.
Examples of r i g i d s'truct u r e s a r e concrete g r a v i t y walls, t h i c k c o n c r e t e s l u r r y w a l l s , gabion walls,
and some r e i n f o r c e d e a r t h w a l l s r e i n f o r c e d f o r l i m i t e d movements. T h e o r e t i c a l
w a l l p r e s s u r e s a r e discussed i n Section 2. Requirements f o r r e s i s t a n c e
a g a i n s t overturning and s l i d i n g of four p r i n c i p a l wall types a r e given i n
Figure 15. Evaluate o v e r a l l s t a b i l i t y a g a i n s t deep foundation f a i l u r e . (See
DM-7.1, Chapter 7.)
Determine allowable bearing pressures on the base of t h e
w a l l ( s e e Chapter 4).
a. S l i d i n g S t a b i l i t y . Place t h e base a t l e a s t 3 f t below ground surf a c e i n f r o n t of t h e w a l l and below depth of f r o s t a c t i o n , zone of s e a s o n a l
volume change, and depth of scour. s l i d i n g s t a b i l i t y must be adequate without i n c l u d i n g passive pressure a t t h e toe. I f i n s u f f i c i e n t s l i d i n g resistance i s a v a i l a b l e , i n c r e a s e base width, provide p i l e foundation o r , lower
base of wall and consider passive r e s i s t a n c e below f r o s t depth.
I f the wall
i s supported by rock o r very s t i f f c l a y , a key may be i n s t a l l e d below t h e
foundation t o provide a d d i t i o n a l r e s i s t a n c e t o s l i d i n g (see Figure 15).
b. Settlement and Overturning. For w a l l s on r e l a t i v e l y incompressible
foundations,- apply
I f foundation i s com- - - overturning c r i t e r i a of Figure 15.
p r e s s i b l e , compute settlement-by methods of DM-7.1, Chapter 5 and e s t i m a t e
t i l t of r i g i d w a l l from the settlement. I f t h e consequent t i l t w i l l exceed
acceptable limits, proportion t h e wall t o keep the r e s u l t a n t f o r c e a t t h e
middle t h i r d of base. I f a w a l l settles such t h a t t h e r e s u l t i n g movement
f o r c e s i t i n t o t h e s o i l which i t supports, then t h e l a t e r a l pressure on t h e
active side increases substantially.
c. Overall S t a b i l i t y . Where r e t a i n i n g w a l l s a r e u n d e r l a i n by weak
s o i l s , t h e o v e r a l l s t a b i l i t y of the s o i l mass containing t h e r e t a i n i n g w a l l
should be checked w i t h r e s p e c t t o t h e most c r i t i c a l s u r f a c e of s l i d i n g ( s e e
DM-7.1,
Chapter 7). A minimum f a c t o r of s a f e t y of 2.0 i s d e s i r a b l e .

LOCATION OF RESULTANT
MOMENTS ABOUT TOE:

ASSUMING

g=O

OVERTURNING
MOMENTS ABOUT m E :

IGNOREWERTI.R?NIffi IF R IS WITHIN MIDDLE

THIRD (SOIL), MIDDLE HALF (ROCK).
CHECK R AT DlFFERENT HORIZONTAL PLANES
FOR GRAVITY WALLS.
SEMKiRAVlTY

RESISTANCE ffiAINST SLIDING

----_F=(W+\)
-

TAN

8 +ca B

--

FOR COEFFICIENTSOF FRICTION BETWEEN

BASE AND SOlL SEE TABLE- I
C q =ADHESION BETWEEN SOlL AND BASE

TAN 8 = FRICTION =TOR

BETWEEN SOIL

WINCWDES WEIGHT OF WALL AND SOlL IN FRONT

FOR GRAVITY AND SEMIGRAVITY WALLS.
lN U D E S WEIGHT OF WALL AND SOlL ABOVE
FOOTING, FOR CANTILEVER AND COUNTERFORT

CONTACT PRESSURE ON FOUNDATION

FOR ALLOWABLE BEARING PRESSURE FOR INCLINED
LOAD ON STRIP FOUNDATION,SEE CHAPTER 4.

COUNTERFORT

FOR ANALYSIS OF PILE LOADS BENEATH STRIP

FOUNDATION, SEE CHAPTER 7.
OVERALL STABILITY
SECTION A-A

FIGURE 1 5

Design Criteria for ~ i g i dRetaining Walls

51

:. .

.. . .
:.;
::, -...
- . .,'.'.A
b

.:.-

"'-4

, .r--.;.
I / / / / / ' =

-&'...

*.;

INTACT

PP

a,-

, A / / / / I /

--

:6

-. . '.
d

- . ....

' .

. . . . 4?

b.'.

'

::
-_
--a

.-.
. .-...
A

.*

-...

= SHEAR STRENGTH OF

FOUNDATION SO1L
Fs= FACTOR OF SAFETY
CQ= ADHESION -CONCRETE
ON SOIL
Pp= PASSIVE RESISTANCE

8:

FRICTION ANGLECONCRETE ON SOlL

RESISTANCE AGAl NST SLl DlNG ON KEYED FWNDATKINS
COMWESOILS
F = (w+PV)TAN 8 + c a ( e - a ~ ) t c ( a 7 ) + p p
GRANULAR WLS F = (W +PV ) TAN 8 +pP
Fs =E
PH

FIGURE 15 (continued)
Design Criteria for Rigid Retaining Walls

d. Drainage.
P o s i t i v e d r a i n a g e of b a c k f i l l i s d e s i r a b l e . ( S e e DM-7.1,
Chapter 6 f o r d r a i n a g e d e s i g n . ) A s a minimum, provide weep h o l e s w i t h p o c k e t s
of coarse-grained m a t e r i a l a t t h e back of t h e w a l l . An impervious s u r f a c e
l a y e r should cover t h e b a c k f i l l , and a g u t t e r should be provided f o r c o l l e c t ing runoff.

2.
LOW WALLS.
It h a s been t h e p r a c t i c e of t h e Naval F a c i l i t i e s E n g i n e e r i n g
Command t o c o n s i d e r w a l l s l e s s t h a n 12 f e e t i n h e i g h t "low walls."
For t h e s e ,
knowledge of s o i l p r o p e r t i e s could be a d e q u a t e f o r d e s i g n , and d e t a i l e d t e s t i n g and e l a b o r a t e p r e s s u r e computations may n o t be j u s t i f i e d economically.
a. E q u i v a l e n t F l u i d P r e s s u r e s . Use e q u i v a l e n t f l u i d p r e s s u r e s of F i g u r e
16 (Reference 9 , S o i l Mechanics i n E n g i n e e r i n g P r a c t i c e , by T e r z a g h i and Peck)
f o r s t r a i g h t s l o p e b a c k f i l l and of F i g u r e 17 (Reference 9 ) f o r broken s l o p e
b a c k f i l l . I n c l u d e dead l o a d s u r c h a r g e a s a n e q u i v a l e n t weight of b a c k f i l l .
For r e s u l t a n t f o r c e of l i n e l o a d s u r c h a r g e , s e e bottom l e f t p a n e l of F i g u r e
11. I f a w a l l r e s t s on a compressible f o u n d a t i o n and moves downward w i t h
r e s p e c t t o t h e b a c k f i l l , i n c r e a s e p r e s s u r e s by 50 p e r c e n t .
b.
Drainage.
The e q u i v a l e n t f l u i d . p r e s s u r e s i n c l u d e e f f e c t s of s e e p a g e
and time c o n d i t i o n e d changes i n t h e b a c k f i l l . However, p r o v i s i o n s should be
made t o prevent accumulation of water behind t h e wall.
A s a minimum, p r o v i d e
weep h o l e s f o r drainage.
Cover b a c k f i l l of s o i l t y p e s 2 and 3 ( F i g u r e 1 6 )
w i t h a s u r f a c e l a y e r of impervious s o i l .
S e c t i o n 4.

DESIGN OF FLEXIBLE WALLS

1.
ANCHORED BULKHEADS. Anchored bulkheads a r e formed of f l e x i b l e s h e e t i n g
r e s t r a i n e d by t i e b a c k and by p e n e t r a t i o n of s h e e t i n g below dredge l i n e .
See
Figure 18 f o r d e s i g n procedures f o r t h r e e common p e n e t r a t i o n c o n d i t i o n s .
a. Wall P r e s s u r e s .
Compute a c t i v e and p a s s i v e p r e s s u r e s u s i n g t h e
a p p r o p r i a t e F i g u r e s 2 through 7. Determine r e q u i r e d d e p t h of p e n e t r a t i o n of
s h e e t i n g and anchor p u l l from t h e s e p r e s s u r e s .
See F i g u r e 18 f o r guidance.
b. Wall Movements. Active p r e s s u r e s a r e r e d i s t r i b u t e d on t h e w a l l by
d e f l e c t i o n , moving away from t h e p o s i t i o n of maximum moment. Reduce t h e computed maximum moment t o a l l o w f o r - f l e x i b i l i t y of s h e e t i n g . Moment r e d u c t i o n
i s a f u n c t i o n of t h e w a l l f l e x i b i l i t y number. See F i g u r e 19 (Reference 10,
Anchored S h e e t P i l e Walls, by Rowe). S e l e c t s h e e t i n g s i z e by s u c c e s s i v e
approximations so t h a t s h e e t i n g s t i f f n e s s i s compatible w i t h reduced design
moment

c.
Drainage.
Include t h e e f f e c t of probable maximum d i f f e r e n t i a l head
i n computing w a l l p r e s s u r e s . Where p r a c t i c a b l e , provide weep h o l e s o r s p e c i a l
d r a i n a g e a t a l e v e l above mean water t o l i m i t d i f f e r e n t i a l water p r e s s u r e s .

VALUES OF SLOPE ANGLE B DEGREES

CIRCLED NUMBERS INDICATE THE FOLLOWING SOIL TYPES :
CLEAN SAND AND GRAVEL: GW, GP, SW, SP.
@ DIRTY SAND AND GRAVEL OF RESTRICTED PERMEABILITY GM,GM-GP, SM-SP,SM.
@ STIFF RESIDUAL SILTS AND CLAYS, SILTY FINE SANDS, CLAYEY SANDS AND
GRAVELS: CL,ML,CH,MH,SM,SC,GC.

FIGURE 16
Design Loads f o r Low Retaining Walls (Straight Slope ~ a c k f i l l )

.
SOIL TYPE I

SOIL TYPE 2

SOIL T Y P E

0
VALUES

OF RATIO

0.2

0.4

0.6

0.8

1.0

HI/H

FOR DESCRIPTION OF SOILTYPE SEE flGURE I6

.
FIGURE 17
Design Loads f o r Low Retaining Walls (Broken Slope B a c k f i l l )

I. COMPUTE PRESSURES BY METHODS OF FIGURES 2 TO 7

PASSIVE PRESSURES FOR CLEAN OARSE GRAIN SOILS
INCLUDE WALL FRICTION (%).TABLE I. FOR ACTIVE OR
PASSIVE PRESSURES IN ALLOTHER SOILTYPES,
IGNORE WALL FRICTION.

FS = 2TO3 FWI COARSE GRAINED SOILS

FS = 1.5 TO 2 FQR FINE GRAINED SOILS
3. ANCHOR PULL: Ap
PA^ - Pp/FS] d l d=ANCHORM N G
4. MAXIMUM BENDING MOMENT (MMAx.) IN SHEETING
COMPUTED BY THE FREE EARTH SUPPORT MEMOD AND
APPLYING PA^
AP. FOR SHEETING IN SAND
APPLY MOMENT REDUCTION FOR FLEXIBILITY OF FIGURE 19.

PA^

FREE EARTH SUPPORT

- GENERAL CASE

DESIGN STEPS I, 2, AND 3 SAME AS ABOVE

EARTH SUPPORT.
4. COMPUTE MAXIMUM BENDING MOMENT ( M ~ x . IN
1
SHEETING BY FREE EARTH SUPPORT METHOD
APPLYING PA ,Pp/FS AND Ap.
5. COMPUTEP KCORDINGTO FtGURE 19. IF P 20, M DESIGN
IS COMPUTED FOR THE SWN @@ ASSMNG SIMPLE
SUPPORT AT POINT @
IF P ( 20 OBTAIN MOMENT REDUCTION FOR FLEXIBILITY
FROM FIGURE B.
6. INCREASE PENETRATIOW COMPUTED (D) BY =%TO
ALLOW FOR DREDGING, SCOUR, ETC.

I. COMPUTE PRESSURES AS ABOVE.

EXCEPT THAT PASSIVE PRESSURE DECREASES TO
ZERO AT TOP OF HARD STRATUM.
2: PENETRATION IN HARD STRATUM :
TAKE MOMENTSABOUT POINT@AND SOLVE FOR P ~ :

ESTIMATE IF REACTION PB CAN BE PROVIDW BY

4. MAXIMUM BENDING MOMENT IN SHEETING COMPUTED BY

APPLYING PA, Pp AND Ap TO SPAN @@ASSUMING
SIMPLE SUPPORTAT@. NO REDUCTION FOR FLEXIBILITY.

--

FIGURE 18
Design C r i t e r i a f o r Anchored Bulkhead (Free Earth Support)

1.o
.9

.8

a .7
I
I
\
z .6

'3

8
P

.5
4
.3
.2
VALUE O F p = (H*')~

IN

[g]

PER RUNNING FOOT OF WALL

EXAMPLE: PENETRATION IN VERY COMPACT SAND

MMAX = 950,000 IN. LB/FT.
H=33FT, D=15FT.
fS = 25,000 PSI, E=30,000,000 PSI
TRY Z P 32,1=385.7IN.4,~=38.3 IN.^
(33+15)4 x 124
IN.^
p ' 30,000,000
x 3857 = 9'5 LB.

rn

MDES'~N2 0.68, ME
MMAX.

- 645000

fs IC=
3a.'3j

=645,000
~ G ~ IN. LB/ FT

= 16,800

PSI

16,800 ( 25,000 PSI

TRY A SMALLER SECTION.
LOAD DIAGRAM

MOMENT DIAGRAM

LEGEND
MMAX = MAXIMUM POSITIVE MOMENT IN SHEETING COMPUTED BY METHODS OF FIGURE 18.
M DESIGN = MAXIMUM POSITIVE MOMENT FOR DESIGN OF SHEETING.

P = FLEXIBILITY NUMBER

+
'
(H
E I

E = SHEETING MODULUS OF ELASTICITY, PSI

I= SHEETING MOMENT OF INERTIA, IN.^ PER RUNNING
FOOT OF WALL.

NOTES
I. MDES~GNIS OBTAINED BY SUCCESSIVE TRIALS OF SHEETING SIZE UNTIL MAX. BENDING
STRESS IN SHEETING EQUALS ALLOWABLE BENDING STRESS.
2. NO REDUCTION IN M ~ x IS. PERMITTEDFOR PENETRATION IN FINE GRAINED SOILS OR LOOSE
OR VERY LOOSE COARSE GRAINED SOILS.
3. FLEXIBILITY NUMBER IS COMPUTED ON THE BASIS OF LUBRICATED INTERLOCKS.

FIGURE 19
Reduction i n Bending Moments i n Anchored Bulkhead from Wall F l e x i b i l i t y

d. Anchorage System. Most of t h e d i f f i c u l t i e s w i t h anchored bulkheads

a r e caused by t h e i r anchorage.
A t i e b a c k may be c a r r i e d t o a buried deadman
anchorage, t o p i l e anchorage, p a r a l l e l w a l l anchorage, o r i t may be a d r i l l e d
and grouted anchor ( s e e DM-7.3, Chapter 3). See Figure 20 f o r criteria f o r
design of deadman anchorage. I f a deadman must be positioned c l o s e t o a w a l l ,
anchorage r e s i s t a n c e i s decreased and an a d d i t i o n a l passive r e a c t i o n i s reP r o t e c t t i e rods by m a p p i n g ,
quired f o r s t a b i l i t y a t the wall base.
p a i n t i n g , o r encasement t o r e s i s t corrosion. Where b a c k f i l l w i l l s e t t l e
s i g n i f i c a n t l y o r unevenly, t o avoid loading by overburden, e n c l o s e t i e rod i n
a r i g i d tube, providing v e r t i c a l support i f needed t o e l i m i n a t e sag.
e. Example of Computation.
anchored bulkhead.
f . Construction Precautions.
f 011ows :

See Figure 21 f o r example of a n a l y s i s of

Precautions during c o n s t r u c t i o n a r e a s

( 1 ) Removal of s o f t material, o r placement of f i l l i n the "passive"

zone should precede t h e d r i v i n g of s h e e t p i l e s .
( 2 ) Deposit b a c k f i l l by working away from t h e wall r a t h e r than
toward i t t o avoid trapping s o f t m a t e r i a l adjacent t o sheeting.
( 3 ) Before anchorage i s placed, s h e e t i n g i s loaded a s a c a n t i l e v e r
w a l l , and s a f e t y during c o n s t r u c t i o n s t a g e s should be checked.
g. Sand Dike B a c k f i l l . When g r a n u l a r b a c k f i l l i s s c a r c e , a sand d i k e
may be placed t o form a plug a c r o s s t h e p o t e n t i a l f a i l u r e s u r f a c e of t h e
a c t i v e wedge a s shown i n Figure 22. Where such a d i k e r e s t s on f i r m foundat i o n s o i l , t h e l a t e r a l pressure on t h e bulkhead w i l l be only the a c t i v e press u r e of t h e dike m a t e r i a l . For f u r t h e r guidance, s e e Reference 11, Foundat i o n s , Retaining and E a r t h S t r u c t u r e s , by Tschebotarioff.
2.
CANTILEVER SHEET PILE WALLS. A c a n t i l e v e r wall d e r i v e s support from t h e
p a s s i v e r e s i s t a n c e below t h e dredge l i n e t o support t h e a c t i v e p r e s s u r e from
t h e s o i l above t h e dredge l i n e without an anchorage. This type of w a l l i s
s u i t a b l e only f o r h e i g h t s up t o about 15 f e e t and can be used only i n granul a r s o i l s o r s t i f f clays. See Figure 23 f o r a method of a n a l y s i s ( a f t e r
Reference 12, S t e e l s h e e t P i l i n g Design Manual, by U.S. S t e e l Corporation).
For cohesive s o i l s consider no n e g a t i v e pressure i n t e n s i o n zone. Figures 24
and 25 (Reference 12) may be used f o r simple cases.
3.
INTERNALLY BRACED FLEXIBLE WALLS. To r e s t r a i n foundation o r t r e n c h excav a t i o n s , f l e x i b l e w a l l s can be braced l a t e r a l l y a s the excavation proceeds.
This r e s t r a i n s l a t e r a l movement of t h e s o i l and cause l o a d s on t h e braces
which exceed those expected from a c t i v e e a r t h pressure. Braces may be e i t h e r
long raking braces o r r e l a t i v e l y s h o r t h o r i z o n t a l c r o s s braces between t r e n c h
walls.
Design e a r t h pressure diagram f o r i n t e r n a l l y braced f l e x i b l e w a l l s a r e
shown i n Figure 26 ( a f t e r Reference 6 ) f o r excavations i n sand, s o f t c l a y , o r
s t i f f clay.

EFFECT OF ANCHOR WCATION

RELATIVE TO THE WALL

ANCHOR BUXm LEFT OF b~ PROVIDES NO RESISTANCE.

ANCHOR BLOCK RIGHT OF bf PROVIDES FULL
RESISTANCE WITH NO LOAD TRANSFERRED TO WALL.
HOR B W K BETWEEN b~ AND bf PROVIDES
PARTIAL RESISTANCE AND TRANSFERS LOAD aPp
TO BASE OF WALL.
FOR FREE BODY

ab ed

ERE PA =ACTIVE FORCE ON BACK OF de AT

CONTINWUS ANCHOR WALL LOCATE0

BETWEEN RUPTURE S U R F . AND
S L O E AT FRICTION ANGLE

Kp OeTAlNED FROM FIGURE 5

USING
0.5

- b#

KA IS OBTAINED FROM FldURE 3

FIGURE 20
Design C r i t e r i a f o r Deadman Anchorage

EFFECT OF DEPTH AND S W I N G

OF ANCHOR BUCKS
i

T
A-A
CONTINUOUS
WALL

A-A
ANCHORS
'NwlwAL

M a R ESISTANCE FOR hl
L CONTINUOUS WALL:
ULTIMATE ApC/d Z P ~ - P A ~ H E RApc/d
E
IS ANCHOR RESISTANCE AND PO ,@
TAKEN PER LINEAL FOOT OF WALL.
2. INDIVIDUAL ANCHORS:
~F~~~+~,ULTIMATEA~=~(P~-P~)+~P~TAN(~WHEREP~=RESULTNT
FORCE OF SOIL AT REST ON VERTICAL AREA c d e OR c"de.
IF d = h + b , ~ ~ /sm%w~pdd
d
R R ~ ~ T I N U X ~ WALL.
S
L FOR THIS CONDITION IS AND L'=h.
IF d< h+b,Ap/d
- %(.3 ~ p d d )c=h.
,
N C H R RESISTANCE FOR hl (

=~d

ULTIMATE Ap/d OR Apc/d EQUALS B E A R M CAWCITY OF STRIP FO(mNG OF

WIDTH hl AND SUCHCRE UYD Y ( h - +),SEEFIGURE
I CHAPTER^
USE FRICTON ANGLE

:WHERE TAN @ =0.6TAN 6.

GENERAL REQUIREMENTS:
I. ALUlWABLE VALUE OF Ap AND A ~ =ULTIMATE
c
VALUE/2, FAGTOR OF SAFETY OF 2 AGAlNST FAILURE.
2. V U E S OF KA AND Kp ARE FOR COHESIONLESS MATERIALS. IF BACKFILL HAS BOTH #AND C STRENGTHS,COMPUTE
kMlVE AND M I V E FORCES ACCORDING TO FIGURES 7 AND9 FINE GRAINED SOILS OF MOMUM TO HIGH
PLASTICITY SHOULD NOT BE USED AT THE ANCHORAGE.
3. SOILS WITHIN PASSIVE WEDGE OF ANCHORAGE SHALL 8E C O M M E D TO NO LESS THCIN 90%OF MAX. UNIT
WEIGHT ( ASTM D698 TEST).
4. TIE ROD IS DESlGNEll FOR ALLOWABLE Ap OR A ~ c .TIE ROD CONNECTWS TO WALL AND ANCHORAGE ARE =NED
FOR 1.2 (ALUDWABLE Ap OR Apc).
5. TIE ROD CONNETION TO ANCHORAGE IS MADE AT THE LOCATION OF THE RESULTANT EARTH PRESSURES
KTING ON THE VERTICAL FACE OF THE ANCHORAGE.

FIGURE 20 (continued)
Design Criteria f o r Deadman Anchorage

~q =so0 PSF

t.3'4 QL 5,000 PLF

.23 KSF

.TY.=
+l;
a

77 -1

-,A1

-An

25? C1=100PSF
yT= 115 PCF

PH=2.75 KIP

21.09~

=I

KA (FROM FIGURE 3) z.41

PA^ = 10.4 KIP

24'

ACTIVE EARTH PRESSURE DIAGRAM

NET WATER PRESSURE DIAGRAM

= 4.05

KIP

+2 = 3s0, C2=50 PSF

yT= 1% W F
9 ~ =410.9 KIP

5-94

Kp (FROM FIGURE 5)=6.0

SAFETY FACMR AGAINST TOE FAILURE :

TAKE
.... - MOMENTS
.. - .. -. .. - ABOUT
. -- p MOMENTS OF W ~ V E FORCES
C MOMENTS OF ACTIVE FORCES

ll(A

,UH z.30x.41-2x.O

)=.n

1.a3

ACTIVE EARTH PRESSURE (SEE FIGURE 2)

INCWDING UNIFORM SURCHARGE q
U H = y Z K -2C
~

KA (FROM FIGURE5

W=O

,uH=(.m+5~.115).41-2x.10 m z . 2 3 KSF

,UH=(.30+5~.115+19~.053).41-2
%.I0

s.65 KSF
=(.30+5x.115+19x.053).27-2~.~
Wz.46 M
=.46+6~.068~.27=.57KSF

ANCHOR PULL

@,a~( = .46+(6+14)rD68~.27=.83KSF
PRESSURE OF LINE LWD SURCHARGE
(SEE FIGURE II)

m = +=&=o.I
PH= 0.55 QL=0.55 ~5 ~ 2 . 7 5KIP

AP =CpA-CPp/FS

= 155 +2.75+0.4+4.05

+10.9-

%!@ = 12.37 KIPS

MAXIMUM BENDING MOMENT IN SHEETING

POINT OF ZERO SHEAR:
x2
12.37-1.55 -2.75-45X -.022 x
-0
X z l 3 . 6 ' ~ OUTSIDE
~ ~ ) ~ WATER LEVEL

U)CATION OF RESULTANT :
R=.60H =.60x30=18'
NET WATER PRESSURE

MOMENT REDUCTION:
ASSUME:^^ =~T,OOOPSI, E=JO,O,OOO
TRY ZP 32, I
=MS.? IN^, s = 3 a 3 IN^
+ 4
P =(FROM FWRE 19
= ILLD)

PASSIVE PRESSURE
UH'YZ

PSI

K ~ + ~ c

@,uH
= o + ~ x D s ~ = . ~ ~ K s F

@, UHz . 0 6 8 x 14~6.0+2x . 0 5 W = 5.94 KSF

MMAx

= .83; Y ON z.83 x 669 ~72.1FT-KIPS

TRY A SMALLER SECTION

FIGURE 21
Example of Analysis of Anchored Bulkhead

'

l'~b60.1~
RETAlN1NG
rnlJCTURE%
/I

STABLE DREDGE SLOP

'
I
H

. SAND DIKE .
.

. . . . ...... .::.. . . . . . . . . . .
.-.:....
:. :;.:-:.....: .....:.:........
':......
:.:-:::. :-.............
...-.. ...;...-::.::
: ..:. . . . . . . . ...........
..:....
.
... .:
:.... .:. '..-:-:'..::'..-.-;DENSE
.
.
.;.SAND
. . .
.:::.a;.

........

FIGURE 22
Sand Dike Scheme f o r Controlling Active Pressure

NOTE: WATER LEVELS CAN

BE D1FFEREb.F C:;';
?-SITE
SIDES DUE TO PUMPING,TlDAL
FLUCTUATIONS AND OTHER
REASONS.

E'

1.

Assume a t r i a l d e p t h of p e n e t r a t i o n , D.
t h e f o l l o w i n g approximate c o r r e l a t i o n .
Standard P e n e t r a t i o n
Resistance, N
Blows/foot

Depth of P e n e t r a t i o n *

0 - 4
5 - 10
30
11
50
31
+5 0

2.OH
1.5H
1.25H
1.OH
0.75H

*
2.

3.

T h i s may be e s t i m a t e d from

H = h e i g h t of p i l i n g above dredge l i n e
Determine t h e a c t i v e and p a s s i v e l a t e r a l p r e s s u r e u s i n g a p p r o p r i a t e
c o e f f i c i e n t s of l a t e r a l e a r t h p r e s s u r e .
I f t h e Coulomb method i s
used, i t should be used c o n s e r v a t i v e l y f o r t h e p a s s i v e p r e s s u r e .

S a t i s f y t h e r e q u i r e m e n t s of s t a t i c e q u i l i b r i u m :
t h e sum of t h e
f o r c e s i n t h e h o r i z o n t a l d i r e c t i o n must be z e r o and t h e sum of t h e
moments about any p o i n t must be zero.
The sum of t h e h o r i z o n t a l
f o r c e s may be w r i t t e n i n terms of p r e s s u r e a r e a s :

_C

A(EA1A2) - A ( F B A ~ ) ~ ( E C J )= 0
Solve t h e above e q u a t i o n f o r t h e d i s t a n c e , 2. For a uniform
granular s o i l ,
K~ ~ 2
KA ( H + D ) ~

(Kp

KA) (H+2D)

FIGURE 23
Analysis f o r C a n t i l e v e r Wall

4.

Take moments about p o i n t F. I f sum of moments i s o t h e r t h a n zero,

r e a d j u s t D and r e p e a t c a l c u l a t i o n s u n t i l sum of moments around F i s
zero.

5.

Compute maximum moment a t point of zero s h e a r .

6.

I n c r e a s e D by 20%.- 40% t o r e s u l t i n approximate f a c t o r of s a f e t y of

1.5 t o 2.

FIGURE 23 (continued)
Analysis f o r C a n t i l e v e r Wall

c HVM.A/xw

w ' HIOIM.ld t13d OllVt1 I N 3 WOW

EXAMPLE
Backfill:

fi = 30
Y = 120 pcf
Y ' = 60 pcf

Underlying Cohesive Stratum:

C = 750 p s f

y a w 60 p s f

Depth H t o mud l i n e = 20 f t
Depth t o water = 5 f t

5/20 = 0.25

Wall f r i c t i o n = 0.3 (Table 1 )

KA = 0.31 ( F i g u r e 5)
YEH =

120 x 5

15 x 60 = 1,500 psf

qu = 2C = 1,500 p s f
USING FIGURE 25:

2 q " - ~ ~

Y'KAH

Depth r a t i o

, !.

3000- I5O0
6 0 X 0.31 X 2 0

= 4.03

= 0.69

D c a l c u l a t e d = 0.69 x 20 = 13.8 f t
D d e s i g n = 13.8 x 1.3 = 17.9 f t

Moment r a t i o = 0.33
= 0.33 x 60 x 0.31 x (2013 = 49,104 f t - l b / f t

of w a l l

FIGURE 25 ( c o n t i n u e d )
C a n t i l e v e r S t e e l Sheet P i l e Wall i n Cohesive S o i l w i t h Granular B a c k f i l l

CI
F2

F3
Fq

;I

I1
12

13

(a)

SAND
u h = 0 . 6 5 KA.YH
WHERE K A - T A N ~(45-+/2)

e-+

FI

F2

4
12

(b)

--_ -

SOFT TO MEDIUM CLAY

(No>6
For c l a y s b a s e t h e s e l e c t i o n o n
No = Y H/c

0.75H
d

u h = ~ A - y . ~

13
F4

KA = I - m - 4 C ;
YH
m = 1 except where c u t i s
u n d e r l a i n by deep s o f t
normally c o n s o l i d a t e d
c l a y , t h e n m = 0. hFSB

%
&

I I
$'(+++)Q~
ASSUME HINGES AT STRUT
LOCATIONS FOR CALCULATING
STRUT FORCES

See F i g u r e 28 f o r F a c t o r of S a f e t y
a g a i n s t bottom i n s t a b i l i t y ,
(FSB):

1LFS~L1.5

F- l
F2
F3

F4

11 12

Om2SH

.-

I
A

l3

0.50H
I

STIFF CLAY
(N0<4
For 4<No<6, u s e l a r g e r o f
diagrams ( b ) and ( c ) .
uh1=0.2 y H ; U h 2 = 0 . 4 y H

U s e lower v a l u e when movements

a r e minimal and s h o r t
c o n s t r u c t i o n period.

FIGURE 26
P r e s s u r e D i s t r i b u t i o n f o r Brace Loads i n I n t e r n a l l y Braced F l e x i b l e Walls

a. Wall w i t h Raking Braces. When s u b s t a n t i a l excavation i s made b e f o r e

placing an upper b r a c e , movement of t h e w a l l i s g r e a t e s t a t t h e top and presSee Figure 27 f o r d e s i g n c r i t e r i a .
s u r e s approach a c t i v e values.
b. Braced Narrow Cuts. When a narrow c u t i s braced s t i f f l y a s excavat i o n proceeds, s h e e t i n g i s r e s t r a i n e d a t t h e top and t h e w a l l d e f l e c t s inward
a t t h e base. Design t h e wall employing t h e following s t e p s :
(1)

Compute f a c t o r of s a f e t y a g a i n s t bottom i n s t a b i l i t y ( F i g u r e

(2)
Figure 27.

Compute s t r u t f o r c e s u t i l i z i n g t h e method i n upper p a n e l of

28).

( 3 ) Compute required s e c t i o n f o r wall and wale using method i n upper

I n computing t h e r e q u i r e d wall s e c t i o n s , a r c h i n g could b e
panel of Figure 27.
accounted f o r by reducing t h e s e p r e s s u r e s somewhat i n a l l but t h e upper span.
A r e d u c t i o n of 80% of t h e values shown would be a p p r o p r i a t e .

( 4 ) Re-compute s t r u t f o r c e s and t h e r e q u i r e d s e c t i o n s of w a l e s and

w a l l using t h e p r e s s u r e diagram of lower panel of Figure 27 f o r each construct i o n stage.

(5) Compare s t r u t f o r c e s , and required s e c t i o n s computed i n S t e p ( 4 )

t o those computed i n S t e p ( 3 ) and s e l e c t t h e l a r g e r f o r c e o r s e c t i o n f o r
design.
See example i n Figure 31.
4.
TIED BACK FLEXIBLE WALL. Depending on t h e width of excavation and o t h e r
f a c t o r s ( s e e Chapter 1 ) i t may be economical t o r e s t r a i n excavation w a l l s by
The use of t i e backs depends on t h e e x i s t a n c e of s u b s o i l s adequate
t i e backs.
t o provide r e q u i r e d anchorage. For multi-level t i e back systems, d r i l l e d i n
t i e backs (i.e. anchors) a r e u s u a l l y used. For a s i n g l e l e v e l t i e back (e-g.,
bulkheads), a deadman anchorage, b a t t e r p i l e anchorage o r a p a r a l l e l w a l l
anchorage a r e u s u a l l y considered. For d e t a i l s on t h e d r i l l e d a n c h o r s
process and hardware, s e e Reference 6. For d e t a i l s on o t h e r anchorage systems
s e e Reference 12 and Reference 13, Foundation Construction, by Carson. .

a. P r e s s u r e D i s t r i b u t i o n . For s o f t t o medium c l a y use a t r i a n g u l a r

d i s t r i b u t i o n , i n c r e a s i n g l i n e a r l y w i t h depth. For a l l o t h e r s o i l s u s e a
uniform pressure d i s t r i b u t i o n .
See Figure 29.
b. Design Procedures. Apply a design procedure s i m i l a r t o i n t e r n a l l y
braced excavation a s shown i n Figure 27.

5.
EXAMPLE OF COMPUTATION. See Figure 30 f o r example of a n a l y s i s o f braced
wall of narrow c u t , and Figure 31 f o r an example of excavation i n s t a g e s .
6.
STABILIZING BERMS. On occasion i t i s p r a c t i c a l t o i n c r e a s e t h e resist a n c e of f l e x i b l e walls by using s t a b i l i z i n g berms. The l a t e r a l r e s i s t a n c e of
a s t a b i l i z i n g berm w i l l be less than t h a t f o r an e a r t h mass bounded by a
h o r i z o n t a l plane a t t h e top e l e v a t i o n of t h e berm.

SOLDIER BEAM
WITH LAGGING

FLEXIBLE WALL OF NARROW CUT

I.

COMPUTE PRESSURES ON WALL ABOVE BASE OF CUT BY METHODS OF FIGURE 26. FOR WATER
AT BACKFILL SURFACES USE Y'YSUB AND ADD PRESSURES R)R UNBALANCED WATER
LEVEL. FOR WATER AT BASE OF CUT USE Y 'YT. INTERPOLATE BETWEEN THESE PRESSURE
DIAGRAMS FOR AN INTERMEDIATE WATER LEVEL.

2. DETERMINE STABILITY OF BASE OFCUT BY METHODS OF FIGURE 28. IF BASE IS STABLE,SHEETING

TOES IN SEVERAL FEET AND NO FORCE ACTS ON BURIED LENGTH. IF BASE IS UNSTABLE,SHEETING
PENETRATES AS SHOWN IN FIGURE 28 AND UNBALANCED FORCE PC1 ACTS ON BURIED LENGTH. IN
ANY CASE, PENETRATION MAY BE CONTROLLED BY REQUIREMENT FOR CUT-OFF OF UNDERSEEME.
3.

MOMENTS IN SHEETING BETWEEN BRACES = 0.8 x (SI MPLE SPAN MOMENTS 1, EXCEPT FOR UPPER
SPAN WHERE MOMENT = 1.0 x (SIMPLE SPAN MOMENT). MOMENTS IN SHEETING AT POINT @ IS
COMPUTED FOR CANTILEVER SPAN BEWW@, INCLUDING UNBALANCED FORCE ~ j l .

4.

REACTION AT BRACES COMPUTED ASSUMING SIMPLE SPAN BETWEEN BRACES.

FIGURE 27
Des ign Criteria for Braced Flexible Walls

SHEETING OR SOLDIER
BEAMS WITH LAGGING

PA = RESULTANT ACTIVE PRESSURE

=RESULTANT
POINT @

BELOW

FLEXIBLE WALL WlTH RAKING BRACES

1.

COMPUTE ACTIVE AND PASSIVE PRESSURES BY METHODS IN SECTION 2. PASSIVE

PRESSURES FOR CLEAN,COARSE-GRAINED SOILS INCLUDE WALL FRICTION (%),TABLE
IGNORE WALL FRICTW FOR M I V E PRESSURES IN OTHER SOILTYPES AND FOR
ACTIVE PRESSURES IN ALL SOILS.

MAXIMUM MOMENlS IN SHEETING AND MAXIMUM LOADS IN BRACES ARE U S W OBTAINED

AT A CONSTRUCTION STME WHEN EXCAVATION FOR A BRACE AND WALE IS COMPLETE
AND JUST PRIOR TO PLACING THE BRACE. FOR EACH SUCCESSIVE STAOE OF EXCAVATm
COMPUTE SHEETING MOMENTS AND BRACE LOADS BY ASSUMING SIMPLE SPAN BETWEEN
WWEST BRACE THEN IN PLACE AND POINT OF ZERO NET PRESSURE BuOW EXCAWTION.

3.

FOR TEMPORARY CONSTRUCTION CONMTDNS,APPLY FACTOR OF SAFETY OF 1.5 Tt) COMPUTE

PASSIVE PRESSURES. TO ALLOW R)R POSSIBLE CONSTRUCTION SURCHARGE AND RIGIDITY
OF UPPER BRACE POINT, INCREASE LOAD ON UPPER WALE AND BRACE BY ISO/'OF COMPUTED
VALUE.

4.

I.

REQUIRED PENETRATION OF SHEETING BEUIW FINAL SUBGRADE GENERALLY IS CONTROCLED

BY CONDITIONS AT COMPLETION OF EXCAVATION. PENETRATION REQUIRED IS DETERMINED BY

EQUILIBRIUM

OF FREE ENDED SPAN BEUW POINT

p

@.

ASSUMING FIXITY AT POINT@:

~ - *~k ' 2 4- ~ g = ~

MS =ALLOWABLE MOMENT IN SHEETING

5.

CHECK POSITIVE MOMENTS IN SPAN BEIDW POINT

@ FOR THIS FINAL W I N G CONDITION.

FIGURE 27 (continued)
Design Criteria for Braced Flexible Walls

CUT IN COHESIONLESS SOIL

STABILITY IS INDEPENDENT OF H AND B, BUT VARIES

WITH 71 AND SEEPAGE CONDITION.

SAFETY FACTOR, Fs = 2Ny2

(%)

KA TAN

N ~ =2BEARING CAPACITY FACTOR, FIGURE I,CHAPTER 4

IF GROUNDWATER IS AT A DEPTH OF (8) OR MORE BELOW
BASE OF CUT:
3 AND Y2 ARE TAKEN AS MOIST UNlT WEIGHT
IF GROUNDWATER IS STATIC AT BASE OF CUT :
TI = MOIST WEIGHT, Y2 =SUBMERGED WEIGHT.
IF SEEPME IS MOVING UPWARD TO BASE OF CUT :
Y2 = (SATURATED UNlT WIGHT 1 (UPLIFT PRESSURE)

CUT IN CLAY, DEPTH OF CLAY UNLIMITED (T ) 0.78 )

L :LENGTH OF CUT

IF SHEETING TERMINATES AT BASE OF CUT :

NC C
SAFETY =TOR, FS =
YTH+~
NC = BEARING CAPACITY FETOR, FIGURE 2, CHAPTER 5
WHICH DEPENDS ON DIMENSIONS OF THE
EXCAVATION : B ,L AND H (USE H = Z 1.
C = UNDRAINED SHEAR STRENGTH OF CLAY IN
FAILURE ZONE BENEATH AND SURROUNDING
BASE OF CUT.
q = SURFACE SURCHARGE.
IF SAFETY FACTOR IS LESS THAN 1.5, SHEETING MUST BE
CARRIED BELOW BASE OF CUT TD INSURE STABILITY.
FORCE ON BURIED LENGTH:
IF HI

- PH z.7
3 m 1

(yTH8-I.4CH-rCB)

:8

I F HI( - - , P ~ = I ~ ) H ~ ( Y ~ H - * ~ - ~ ~ )
CUT IN CLAY, DEPTH OF CLAY LIMITED BY HARD STRATUM ( ~ $ 0 . 7 ~ )
SHEETING TERMINATES AT BASE OF CUT. SAFETY F m :
CONTlNUOlE EXCAVATION ;FS = N
cD YTH+q
RECTANGULAR EXCAVATION; Fs

= NCR

CI
YTH+~

NCD AND NCR=BEARING CAPACITY FACTORS.

FIGURE 5 CHAPTER4, WHICH DEPEND ON DIMENSIONS OF THE
EXCAVATION : B ,L AND H ,(USE H =Z
HARD STRATUM

NOTE: IN EACH CASE FRICTION AND ADHESION ON BACK OF SHEETING IS DISREGARDED.

CLAY IS ASSUM ED TO HAVE A UNIFORM SHEAR STRENGTH = C THROUGHOUT FA1WRE ZONE.

FIGURE 28
S t a b i l i t y of Base for Braced Cut

SOFT TO MEDIUM CLAY

Compute p r e s s u r e based on a t - r e s t
c o n d i t i o n s w i t h KO from 0.5 t o
0.6.
I n normally c o n s o l i d a t e d c l a y s
e x c e s s i v e p r e s t r e s s i n g should n o t be
p e r m i t t e d because of t h e p o t e n t i a l
f o r induced c o n s o l i d a t i o n .
Use
d e s i g n procedure a s i n F i g u r e 26.

ELEVATION
FIGURE 29
P r e s s u r e D i s t r i b u t i o n f o r Tied-Back Walls

PLAN

SANDS

:i

0 4 KoYH TO Q5KoyH

STIFF TO VERY STIFF CLAY

fi H

Where d e f o r m a t i o n s a r e c r i t i c a l and
tie-backs a r e p r e s t r e s s e d t o 100% o f
d e s i g l o a d , compute p r e s s u r e based
on a t - r e s t c o n d i t i o n s . Use KO = 0.4
f o r dense sand, and KO = 0.5 f o r
l o o s e sand.

Use p r e s s u r e o r d i n a t e t o produce t h e
same f o r c e a s f o r braced e x c a v a t i o n .
0.3 i s a p p l i c a b l e f o r s t a b i l i t y number
of about 4, and 0.15 i s a p p l i c a b l e when
s t a b i l i t y number i s l e s s t h a n 4. Use
d e s i g n procedure a s i n Figure 26.

TO
0.3 Y H

FIGURE 29 ( c o n t i n u e d )
P r e s s u r e D i s t r i b u t i o n f o r Tied-Back Walls

GIVEN CONDITIONS :
EXCAVATION IN SILTY CLAY.
=O,yT =I20 PCF
LENGTH OF EXCAVATION ,L = 80'

c =400PSF,#

1I
-

DETERMINE : PRESSURES ON WALL. FORCE ON BURIED

LENGTH OF SHEETING AND STABILITY OF BASE OF CUT.

llhl 1

STABILITY OF BASE OF CUT(SEE FIGURE 28)

~K,
~ = =0(NO UNIFORM SURCHARGE )
Y .T H +- ~
H
2-20
-4.67,
FOR NC ,(FIGURE 2 ,CHAPTER 5 )
L=
B w=Q15,NCC
12
~6.9
B 12
F

r=
--

i p H 3

N C R = N ~ ~ ( IB/L)z6.9(l+Q2(Q15))=7.1
+Q~
7.1 400
Fs = 120x20+0 ~1.18(1.5
DRIVE SHEETING BELOW BOTTOM OF EXCAVATION
PRESSURE ON WALL FROM SURROUNDING SOIL (SEE F W R E 26)

ch = KA YH = 0.69 x 0.12 x 20 -1.66 KSF

LOCATION OF RESULTANT:
1.66~Y2~(15+~3)+1.66~15~15/2
=8.81t
R~ =
29.05
PRESSURES ON WALL FROM SURCHARGE (SEE FIGURE II)

PH2 = .78

a z . 7 8 %=.39 KIP
-f

LOCATION OF RESULTANT:
Rs.59H =.59x20=11.8'
FORCE ON BURIED LENGTH OF SHEETING : ( SEE FIGURE 28)
ASSUME HI = 5 <

k-- ,FOR T ) 0.78

RESULTANT K)RCE P H :~

3 -

P H '1~
.5 x 5(0.12x20-

O4

12

x20 -3.14 x 4 ) = 1.6 KIP

NOTE : ALL COMPUTATIONS ARE PER LINEAR FOOT OF WALL.

FIGURE 30
Example of Analysis of Pressures on Flexible Wall of Narrow Cut
In Clay - Undrained Conditions

,
ASSUMPTIONS
I. NO SURCHARGE LOAD.

2. NO WALL FRICTION

PROPERTIES
= 30
y ~0.125KCF
c =O
DEPTH OF EXCAVATK)N 40'
GWL =lo1
BELOW
GROUND LEVEL

y' = 0.0625 KCF

e
-I-

rv

rC/

STAGE I

STAGE It

FINAL STAGE

COMPUTATIONS
FROM FIGURE 2
KA '1/3, Kp = 3
A. STAGE I
( PRIOR TO INSTALLATION OF B R K E 1 )
SHEETING ACTS AS CANTILEVER WALL.
USE FIGURE 24
a =o Kp/KA=9
D/H

= 0.95

:. REQUIRED 0 = 0.95 x 8 x 1.4 = 10.64

M M A X / ~ 'KA. ~ ~ ~ 0 . 3 7

MMAX

= 3.946

< 40'
FT-KIP

FIGURE 31
Example of Excavation in Stages

B.

STAGE II:
I.

ACTIVE PRESSURE
AT WATER LEVEL,UA (10) = 1/3 x 0.125 x 10 = 0.417 KSF
AT EXCAVATION LEVEL,uA (18) = 0.417+ 1/3 x 0.0625 x 8 = 0.583 KSF
WATER PRESSURE ON ACTIVE SIDE
PW (18)=0.0625 x 8 = 0.500 KSF
TOTAL PRESSURE (18) = UA(18) + PW(18) = 1.083 KSF

2.

POINT OF ZERO NET PRESSURE

APPLY FS = 1.5 TO Kp
SLOPE OF THE NET PRESSURE DIAGRAM
DISTANCE TO (A)

3.

d.1 083
104

= (3/15 - 1/31 0.0625 -0.104

= 10.41 FT

REACTION AT (I) AND (A) PER LINEAR FOOT OF WALL

ASSUME HINGE (ZERO BENDING MOMENT) AT (A)
R (1) = b1.083 x 10.41 x V2 x (2/3 x 10.41) +(1.083-0.4171~8x 1/2 x(10.41+8/3) +0.417 x 8 x
(10.41+8/2)+0.417x10x1/2x(10.41+8+10/3)1x
I
(10.41+11)

R ( I ) = 7.817 K,USE R(1) ~1.15x7.817 =8.99K N-9.OK

R (A) = 5.905 K N- 5.9 K
4.

POINT OF ZERO SHEAR

TRY A WWTION BETWEEN BOTTOM OF EXCAVATION (DEPTH 18') AND (1)
7.817-(112 XIO X O . ~ ~ - ~ ~ ~ X O . ~ I ~ ~ - so=zn'
~ I ~ ~ X ~ ~ X ~ S ~ ~ = O ,

5.

MAXIMUM MOMENT
M w X . zk8I7

x(7.75e3g - E l 2 xlOx4417)x(275+

-[a x
C.

Fg

-~275x0.4R)x~]

r ~ 7 !8 5 ~xE]x 3~ ) ~41.9FT-KP

FINAL STAGE
I.

PRESSURE DISTRIBUTION
USE PRESSURE DIAGRAM FROM FIGURE 26
Yav = 0.25 x 0.125 + 0.75 x 0.0625 =O.mI
q,= 0.65 x 1/3 x 0.0781 x 40 =0.677 KSF
PW (30) = 0.0625 x 3 0

= I KSF

= 1.875 KSF

FIGURE 3 1 (continued)
Example of Excavation in Stages

2. STRUT LOADS PER LINEAR FOOT OF WALL

RII) zP.677 x 112/2 c0.0625 x 12/2 x 7 / d I/K)=l0.14 K,FOR DESIGN R 1:1.15 xf0.14 :11.66K
R O ) = ( E ~ . ~ ~ ~ X I ~ ) + ( I / ~ X ( I x7)-10.14a
. I I ~ - O . ~ ~~1 . 1 1 5 ~ 1 0 ~ 1 0 / 2 ) +
(1/2 ~(1.740-1.115)x10 xl0/31) 1/10 S9.52K

R(3)=(b.677 x 27) + ( V2 ~(1.740-0.677) x 17 1 10.14 -9.54

( l/2 x (2.302- l.740) x 9 x9/3)) 1/9 = 16.33 K

+( 1.740 x9 x 9/21 +

~(4):&6
x 0.677) +(1/2 ~(2.302-0.677)x 26 1-10.14-9.52-16.3a
1 1/2 x ( 2.550 - 2.302 ) x 4 x 4/31) l/4 = 14.27 K

+( 2.302 x 4 x 4/21 +

3. MOMENT
MAXIMUM MOMENT IS LIKELY TO OCCUR BETWEEN (3) AND (4).
POINT OF ZERO SHEAR FROM (3).
86
,7
2.302-1.74
1.74 x 9 x 9/22) + l/2 x (2.302 1.74) x 9 x 9/37 x 1/9 = 1.74 W+(I/2) (
) (x) (i)

= 4.61 FT.,U=2.027 KSF

M (8.67~4.61)~
(l.74~4.61x %)-112

4 61
x (2027-1.74) x 4.6 1 x f

= 20.5 FT KIP; MDESIGN '0.8 x 20.5 = 16.4 FT- KIP.

D. SUMMARY
CONSTRUCTION
STAGE

I
I1
FINAL
NOTE:

STRUT LOADS
KIP

R(1) = 8.99
R(1) = 11.66; R(2) = 9.52
R(3) = 16.33; R(4) = 14.27

MOMENTS
FT - KIP
3.95
41.9 BETWEEN (I) AND (4)
16.4 BETWEEN (3) AND (4)

THE MOMENT AT STAGE II IS GREATER THAN THE FINAL MOMENT.

INTERMEDIATE STAGES MUST ALSO BE CHECKED AS PER PROCEDURE IN FIGURE 27.

(B) IF SIMPLE AREA METHOD IS SELECTED FOR THE COMPUTATIONS OF LOADS

IN STRUTS (1) AND (21, THEN LOAD IN ( I ) WlLL DECREASE AND (2)
WlLL INCREASE.

FIGURE 31 (continued)
Example of Excavation in Stages

E. PENETRATION BELOW SUBGRADE

I. PRESSURE COMPUTATION

ACTIVE

U,

(10')

= 1/3 x 0.125 x 10 = 0.417

UA(36') =1/3

KSF

x 0.125 x 10 + 1/3 x 0.0625 ~ 2 10958

6
KSF

QA (dl
= 1/3 x 0.125 x 10 + 1/3 x 0.0625 x 30 = 1.042 KSF
WATER PRESSURE (UNBALANCED HEAD)
PW(36')~0.0625x 26 = 1.625KSF
pW(40') = 0.0625 x 30 5: 1.875 KSF

PASSIVE PRESSURE
3.
u p (Dl = 1
3~0.0625xD=O.I25D
(APPLY FS 4.5 TO PASSIVE PRL3SURE)

2583 -0.958 + 1.625

2.917 = 1.042 1.875

2. DEPTH REQUIREMENT TO LIMIT MOMENT IN SHEETING

( SEE FIGURE 27 (CONTINUED), 4. )
S = 30.2 IN~/FT OF WALL
USE PZ 27
USE u a = 27,000 PSI
ALLOWABLE MOMENT = 30.2l2 27 = 67.95 FT-KIP = MS
TAKE MOMENTS ABOUT (4) TO DETERMINE D.
67.95 (/2 x 0.125D x D x (4+ 2/3 D,) 2.583 x 4 x 4/2- V2 x (2.917-2.583

-2.917xDx(4+D/2)-

r 4 x 2/3 x 4

1/2 x(1/3x0.0625) DxDx(4+2/3D)=O

03 -35.3 02 -332.5 D +1296.6 SO

DQ3FT.

3. DEPTH REQUIREMENT FOR CONTROL OF PIPING. ( DM -7.1, CHAPTER 6)

ASSUME W/HW = 1.5 ( I.E., WIDE EXCAVATION)
Fs = 1.2
D/HW = 0.65
OR D = 30 x 0.65

= 19.5 FT

HENCE PIPING GOVERNS THE DEPTH OF PENETRATION FOR THE SHEETING.

FIGURE 31 (continued)
Example of Excavation in Stages

a. Method of Analysis. Perform wedge f o r c e e q u i l i b r i u m f o r s e v e r a l

t r i a l f a i l u r e s u r f a c e s , and p l o t corresponding v a l u e s of h o r i z o n t a l r e s i s t a n c e f o r each t r i a l f a i l u r e - s u r f a c e . The minimum value of h o r i z o n t a l r e s i s tance obtained from t h e curve i s t h e t o t a l p a s s i v e e a r t h p r e s s u r e f o r t h e
berm. An approximate method of a n a l y s i s i s t o r e p l a c e t h e berm w i t h an
e q u i v a l e n t sloping plane, and a s s i g n an a p p r o p r i a t e p a s s i v e p r e s s u r e coef f icient.
b. Graphic Procedure. A g r a p h i c procedure (Culmann ~ethod) f o r evalua t i n g t h e l a t e r a l r e s i s t a n c e f o r g r a n u l a r s o i l s i s given i n F i g u r e 32.
7.
SOLDIER PILES. A f r e q u e n t l y used i n t e r n a l b r a c i n g system c o n s i s t s o f
s o l d i e r p i l e s with lagging. The p a s s i v e e a r t h r e s i s t a n c e a c t i n g on i n d i v i d u a l s o l d i e r p i l e s may be computed a s shown i n Figure 33. For c o h e s i v e
s o i l s use uniform r e s i s t a n c e of 2c n e g l e c t i n g t h e s o i l r e s i s t a n c e t o a d e p t h
of 1.5 t i m e s t h e p i l e width b from t h e bottom of t h e excavation. For granul a r s o i l s , determine K without w a l l f r i c t i o n and n e g l e c t t h e s o i l r e s i s P
tance t o a depth equal t o b below t h e bottom of t h e excavation.
Total r e s i s t i n g f o r c e i s computed by assuming t h e p i l e t o have an e f f e c t i v e width of 3b,
f o r a l l types of s o i l s . This i s because t h e f a i l u r e i n s o i l due t o i n d i v i d u a l
p i l e elements i s d i f f e r e n t from t h a t of continuous w a l l s f o r which p r e s s u r e
d i s t r i b u t i o n s a r e derived.

8.
GABION STRUCTURES. A s i l l u s t r a t e d i n Figure 34, gabions a r e compartmente d , r e c t a n g u l a r c o n t a i n e r s made of h e a v i l y galvanized s t e e l o r polyvinylc h l o r i d e (PVC) coated w i r e , f i l l e d with s t o n e from 4 t o 8 i n c h e s i n s i z e , and
a r e used f o r c o n t r o l of bank e r o s i o n and s t a b i l i z a t i o n . When water q u a l i t y i s
i n doubt (12<pH<6) o r where high c o n c e n t r a t i o n of o r g a n i c a c i d may be p r e s e n t ,
PVC coated gabions a r e necessary. A t t h e c o n s t r u c t i o n s i t e , t h e i n d i v i d u a l
gabion u n i t s a r e l a c e d t o g e t h e r and f i l l e d with stone.
a. Design. Gabions a r e designed a s mass g r a v i t y s t r u c t u r e s ( s e e F i g u r e
15). When designing a v e r t i c a l f a c e w a l l i t should be b a t t e r e d a t an a n g l e of
about 6' t o keep t h e r e s u l t a n t f o r c e toward t h e back of t h e wall.
The coeff i c i e n t of f r i c t i o n between t h e base of a gabion w a l l and a c o h e s i o n l e s s s o i l
can be taken a s t a n 0 f o r t h e s o i l . The a n g l e of w a l l f r i c t i o n , 8 , may be
taken a s 0.9@. Where t h e r e t a i n e d m a t e r i a l i s mostly sand, a f i l t e r c l o t h
o r g r a n u l a r f i l t e r i s recommended t o prevent any l e a c h i n g of t h e s o i l . Determine t h e u n i t weight of gabions by assuming t h e p o r o s i t y t o be 0.3.
Specific
g r a v i t y of common m a t e r i a l ranges between 2.2 ( s a n d s t o n e ) and 3.0 ( b a s a l t ) .
Along a l l exposed gabion f a c e s t h e o u t e r l a y e r of s t o n e s should be hand placed
t o ensure proper alignment, and a n e a t compact square appearance.
b.
Cohesive S o i l s . A system of gabion c o u n t e r f o r t s i s recommended when
d e s i g n i n g gabion s t r u c t u r e s t o r e t a i n c l a y slopes. They should be used a s
headers and should extend from t h e f r o n t bf t h e wall t o - a p o i n t a t l e a s t one
gabion l e n g t h beyond t h e c r i t i c a l s l i p c i r c l e of t h e bank.
C o u n t e r f o r t s may
be spaced from 1 3 f e e t ( v e r y s o f t c l a y ) t o 30 f e e t ( s t i f f c l a y ) . A f i l t e r i s
a l s o r e q u i r e d on t h e back of t h e w a l l so t h a t c l a y w i l l n o t c l o g t h e f r e e
d r a i n i n g gabions.

STABILIZING BERM
CULMANN LINE

PLANE OF SHEAR

--------SlVE RESISTANCE,Pp

1.

Draw berm t o s c a l e .

2.

Layout OX from p o i n t 0 a t a n g l e 6 below h o r i z o n t a l .

3.

Layout OY from point 0 a t a n g l e (a+6 ) below OX.

4.

Assume f a i l u r e s u r f a c e s o r i g i n a t i n g a t p o i n t 0 and passing t h r o u g h

points a , b y c , etc.

5.

Compute t h e weight of each f a i l u r e wedge.

6.

Layout t h e weight of each f a i l u r e wedge along OX t o a convenient

scale.

7.

Draw a l i n e p a r a l l e l t o OY f o r each f a i l u r e wedge from i t s w e i g h t

p l o t t e d on OX t o i t s f a i l u r e plane ( e x t r a p o l a t e d where n e c e s s a r y ) .

8.

Connect t h e i n t e r s e c t i n g p o i n t s from 7 above w i t h a smooth c u r v e

t h i s i s t h e Culmann Curve. Draw a tangent t o t h i s curve which i s
a l s o p a r a l l e l t o OX.

9.

Through t h e tangent p o i n t F , draw a l i n e p a r a l l e l t o OY t o

i n t e r s e c t OX a t w ~ . Distance FWF i s t h e value of Pp i n t h e w e i g h t
scale.

10.

Normal component of t h e p a s s i v e r e s i s t a n c e , PN = Pp cos 8 .

11.

To compute p r e s s u r e d i s t r i b u t i o n on t h e w a l l , assume a t r i a n g u l a r
distribution.
Figure 32
Culmann Method f o r Determining Passive Resistance of E a r t h Berm
(Granular S o i l )
7.2-113

GIVEN #1=30O,y = 1 2 5 ~ ~ ~ , b = 1 . 5 ' , ~ = 1 5 '

flND ULTIMATE RESISTANCE OFTHE BOTTOM OFTHE SOLDIER PlLE TO
HORIZONTAL LOAD.
K ~ TAN^
=
(45+#/2

=3

41=

'125 X 1.5 = l88PSF=O.l88KSF, C15=125X I5=1875 PSF=IB75KSF

0'188+1'875X 13.5 X 3 X ( 3 Xl.5) = 188KlPS
2

EFFECTIVE PILE WIOTH=3b

UNORAINEO STRENGTH
(COHESIVE)

,
b

8"KP
EFFECTIVE STRESS (COHESIONLESS
OR COHESIVE)

NOTE :RESISTANCE SHOWN IS PER FOOT OF EFFECTIVE PlLE WIDTH.

FIGURE 33
Passive Pressure Distribution for Soldier P i l e s

Gabion R e t a i n i n g Wall
Types

- Common Gabion w a l l s
shown on accompanying
diagrams a r e :
a ) Battered face w a l l with
horizontal backfill.
b) Stepped f a c e w a l l w i t h
sloped b a c k f i l l .
c ) Battered face w a l l with
sloped backf ill.
d ) Stepped f a c e w a l l w i t h
horizontal b a c k f i l l .

The choice of e i t h e r b a t t e r e d o r
stepped f a c e s r e s t s with d e s i g n e r ;
stepped f a c e recommended i f w a l l
i s more t h a n 1 0 f e e t high.

"

Gabion F i l l

Design:

- Hard,

durable, clean
stone 4 t o 8 inches i n
s i z e o r o t h e r approved
size.

Design c r i t e r i a f o r g r a v i t y w a l l s apply. Wall s e c t i o n r e s i s t i n g

overturning and s l i d i n g . To i n c r e a s e wall s t a b i l i t y , recommended t o
t i l t t h e w a l l a t an angle of 6' (i.e. 1:lO).
The a n g l e of f r i c t i o n between t h e base of gabion w a l l and g r a n u l a r
s o i l may be assumed 0.9 times t h e a n g l e of i n t e r n a l f r i c t i o n of s o i l .
For r e t a i n i n g c l a y s l o p e s , a system of gabion c o u n t e r f o r t s i s
recommended.
Compute a c t i v e s o i l p r e s s u r e behind t h e w a l l using Coulomb Wedge
t h e o r y and design mass of t h e w a l l t o balance t h e f o r c e e x e r t e d by
t h a t s o i l wedge. (Higher than a c t i v e p r e s s u r e s may be used depending
on compaction c o n d i t i o n s and l i m i t a t i o n s on deformations.)
Maximum pressure a t t h e base of gabion wall must be l e s s t h a n t h e
a n t i c i p a t e d bearing c a p a c i t y of t h e s o i l under t h e wall.
When water q u a l i t y i s i n doubt (pH below 6 o r g r e a t e r than 1 2 ) o r
where high c o n c e n t r a t i o n of organic a c i d s may be p r e s e n t , u s e of PVC
( p o l y v i n y l c h l o r i d e ) coated gabions i s recommended.
FIGURE 34
Gabion Wall

9.
REINFORCED EARTH. Reinforced e a r t h i s a system of tying v e r t i c a l f a c i n g
u n i t s i n t o a s o i l mass with t h e i r t e n s i l e s t r i p s . It c o n s i s t s of four elements: ( 1 ) a s o i l b a c k f i l l , ( 2 ) t e n s i l e r e i n f o r c i n g s t r i p s , (3) f a c i n g
elements a t boundaries, and (4) mechanical connections between r e i n f o r c e m e n t s
and f a c i n g elements. The s o i l b a c k f i l l i s g e n e r a l l y g r a n u l a r m a t e r i a l w i t h
n o t more than 15% by weight passing a No. 200 mesh s i e v e . It should n o t
c o n t a i n m a t e r i a l s c o r r o s i v e t o r e i n f o r c i n g s t r i p s . Reinforcing s t r i p s i n c l u d e
smooth and rough s t r i p s of non-corrodable m e t a l s o r t r e a t e d m e t a l s about 3
i n c h e s wide. Facing c o n s i s t s of s t e e l s k i n o r p r e c a s t c o n c r e t e panels about 7
inches t h i c k .
A wall c o n s t r u c t e d of r e i n f o r c e d e a r t h i s a g r a v i t y w a l l and i t s s a f e t y should
be checked a s i n Figure 15.

I n t e r n a l s a f e t y of r e i n f o r c e d e a r t h i s checked a s i l l u s t r a t e d i n Figure 35.

For f u r t h e r guidance on r e i n f o r c e d e a r t h s e e Reference 14, ~ e i n f o r c e dE a r t h
Retaining Walls, by Lee, e t a l . and Reference 15, Symposium of E a r t h
Reinforcement, Proceedings of a Symposium, by American S o c i e t y of C i v i l
Engineers.
~-

10. EARTH FILLED C R I B WALLS. See Figure 36 (Reference 16, Concrete C r i b

Retaining Walls, by P o r t l a n d Cement A s s o c i a t i o n ) f o r types and d e s i g n c r i teria.
For s t a b i l i t y a g a i n s t e x t e r n a l f o r c e s , a c r i b wall i s e q u i v a l e n t t o
g r a v i t y r e t a i n i n g w a l l ( F i g u r e 15). For d e s i g n of s t r u c t u r a l elements, s e e
Reference 17, Foundations, Design and P r a c t i c e , by Seelye.
Section 5.

COFFERDAMS

1.
TYPES. Double-wall o r c e l l u l a r cofferdams c o n s i s t of a l i n e of c i r c u l a r
c e l l s connected by smaller a r c s , p a r a l l e l semi-circular w a l l s connected by
s t r a i g h t diaphragms, o r a succession of c l o v e r l e a f c e l l s ( s e e Figure 37). For
a n a l y s i s , t h e s e c o n f i g u r a t i o n s a r e transformed i n t o e q u i v a l e n t p a r a l l e l w a l l
cofferdams of width B.
2.
ANALYSIS. S t a b i l i t y depends on r a t i o of width t o h e i g h t , t h e r e s i s t a n c e
of an inboard berm, i f any, and type and drainage of c e l l f i l l m a t e r i a l s .
a. E x t e r i o r Pressures. Usually a c t i v e and p a s s i v e p r e s s u r e s a c t on ext e r i o r f a c e s of t h e sheeting. However, t h e r e a r e exceptions t o t h i s and t h e s e
a r e i l l u s t r a t e d i n Figure 37.
b. S t a b i l i t y Requirements. A c e l l must be s t a b l e a g a i n s t s l i d i n g on i t s
base, shear f a i l u r e between s h e e t i n g and c e l l f i l l , shear f a i l u r e on c e n t e r l i n e of c e l l , and i t must resist b u r s t i n g p r e s s u r e s through i n t e r l o c k t e n s i o n .
These f a c t o r s a r e influenced by foundation type.
See Figure 37 f o r d e s i g n
c r i t e r i a f o r cofferdams with and without berms, on foundation of rock o r of
coarse-grained o r fine-grained s o i l . See Reference 18, Design, C o n s t r u c t i o n
and Performance of C e l l u l a r Cofferdams, by Lacroix, e t a l . , f o r f u r t h e r
guidance.

Qh =$Yd

THICKNESS = t

S a f e t y a g a i n s t breaking of r e i n f o r c e d s t r i p s .
Fs

= fs W

HAYHSX

S = H o r i z o n t a l s p a c i n g between s t r i p s
X = V e r t i c a l Spacing between s t r i p s
fs = a l l o w a b l e s t r e s s of r e i n f o r c e d s t r i p s .
~ y ~ i c aWl =l ~3'*. A high f a c t o r of s a f e t y , Fs = 3.2, i s used even t h o u g h
This i s
a l l o w a b l e metal s t r e s s i s u t i l i z e d i n computing s t r i p t h i c k n e s s .
done t o account f o r unknowns such a s d u r a b i l i t y and c o r r o s i o n .
SAFETY AGAl NST PULLOUT FS =

2 Lmin.W TAN 8
KA. .X

bini s measured beyond zone of Rankine f a i l u r e . The upper s t r i p s may n o t

have enough l e n g t h t o f u l f i l l t h i s requirement, but a s l o n g a s t h e a v e r a g e
l e n g t h of a l l t h e s t r i p s s a t i s f i e s t h i s c o n d i t o n t h e w a l l i s c o n s i d e r e d
satisfactory.
d = depth beneath top of w a l l
t = t h i c k n e s s of s t r i p

Y = u n i t weight of b a c k f i l l
B = width of w a l l

KA = c o e f f i c i e n t of each a c t i v e p r e s s u r e ( h i g h e r t h a n a c t i v e
v a l u e may be used depending on compaction c o n d i t i o n s and
l i m i t a t i o n s on deformations).

= a n g l e of f r i c t i o n between r e i n f o r c i n g s t r i p and t h e b a c k f i l l

material

= e f f e c t i v e l e n g t h of t i e beyond p o t e n t i a l s l i d i n g s u r f a c e

FIGURE 35
Reinforced E a r t h

PANYING DIAGRAMS.
CRIBBING MATERIALS -TIMBER,CONCRETE ,AND METAL.
FILL-CRUSHED STONE ,OTHER COARSE GRANULAR MATERIAL,INCLlJDING ROCK LESS THAN I2 INCHES H SIZE.
DESIGN DESKN CRITERIA FOR GRAVITY WALLS APPLY. WALL SECTION RESISTING OVERTURNING IS
TAKEN AS A RECTANGLE OF DIMENSW ( H x b ). WEIGHT OF CRlB IS EQUAL TO THAT OF MATERIAL
WITHIN (H x b), INCLUDING WEIGHT OF CRlB MEMBERS. UIW WALLS (4 FT HlGH AND UNDER 1 MAY BE MADE
WITH A PLUMB FACE. HIGHER WALLS ARE BATTERED ON THE FACE AT LEAST 2 INCHES PER FOOT. FOR
HlGH WALLS (12 FT. HlGH AND WER) THE BATTER IS INCREASED OR SUPPLEMENTAL CRIBS AOOED AT
THE W K . SUCH WALLS ARE VERY SENSITIVE TO TRANSVERSE DIFFERENTIALSETTLEMENTS. WALLS
WITH CONVEX BACK ARE MORE DESIRABLE FOR GREATER HEIGHT. IN OPEN FACE CRIBS,THE SPACE
BETWEEN STRETCHERS S W L D NOT EXCEED 8 INCHES SO AS TO PROPERLY RETAIN THE FILL.EXPANSION
JOINTS FOR CONCRETE AND METAL CRIBBING ARE S W E D NO MORE THAN 90 FEET.
FILLING -THE WALL SHOULD NOT BE LAID UP HIGHER THAN 3 FEET ABWE THE LEVEL OF THE FILL
WITHIN THE CRIB.
BIN TYPE RETAINING WALL - COMPOSED OF METAL BINS OR CELLS JOINED TO SPECIALCWMNAR UNITS
AT THE CORNERS. THE DESIGN REQUIREMENTS ARE THE SAME AS FOR CRlB WALLS EXCEPT THAT
SUITABLE DRAINAGE BEHIND THE WALLS IS NEEDED. INTERNAL STRESSES ARE INVESTIGATED
IN ACCORDANCE WITH CRITERIA FOR CELLULAR WALLS.

--

FIGURE 36
Design C r i t e r i a f o r C r i b and Bin Walls

TYPICAL CELL CONFIGURATWS

EQUIVALENT RECTANGULAR

EQUIVALENT RECTANGULAR

a = 450

B=.87!5D
CIRCULAR CELLS

CLOVERLEAF TYPE CELL

SEMICIRCULAR CELLS

TYPICAL SECTION

INBOARD FACE
STEEL SHEET PILE
WATER SURFACE INTHE CELL

TOP OF ROCK,SAND,OR CLAY

SLOPE OF FREE SURFME IN CELL DEPENDS ON

PERMEABILITY OF CELL FILL ...UNLESS SPECIAL
DRAINME IS PROVIDEDAND SLDPE IS CONTROUEn
ASSUME THE FOLLOWING: FREEDRAINING COARSE
GRAINED F I L L (GW,GP,SW,SP): SLOPE I
HORIZONTALTO I VERTICAL: Sl LTY COARSE
GRAINED F l L L (GW,GC,SM,SC): SLOPE 2 TO I:
FINE GRAINED FILL: SLOPE 3 7 0 1.
HORIZONTAL STRESS DIAGRAMS IN CELL F l L L

a
IN BOARD SHEETING

CENTER PLANE OF CELL

K = 0.5 TO 0.6

-P;
P;'

-I

-'
-

-YH
,

YSUBH

P ~ ' KE ( H - H ~ ) + Y ~ ~ ~ ( H I J

I ,

p i

--

-L

p;
--

pb =

pi'^

[ Y ( ~ - ~ J ) + Y( H~J~- +~I ] + ~ ~ (
p(H-~3)

IS^^

HJ]

FIGIJRE 37
Design Criteria for Cellular Cofferdams

7.2-119

H3-

%)

PARAMETERS FOR ANALYSIS

1.

Equivalent width of cofferdam.

Assume B = 0.85H f o r f i r s t t r i a l .

2.

E f f e c t i v e weight of c e l l f i l l .

3.

Average d i s t a n c e between c r o s s
walls.

4.

Horizontal a c t i v e f o r c e on
outboard s i d e - compute using
KA = tan2(45
6/21.

P;

= [B(H-H1)Y~+ B(H1) Ysubl

= KA

Ys,,
2

5.

C o e f f i c i e n t of h o r i z o n t a l e a r t h
pressure.

K (varies - see horizontal

p r e s s u r e - diagram)

6.

Water f o r c e on outboard side.

pw = Yw

7.

Horizontal passive f o r c e due t o

berm plus water force.

Pp = Pp'+Pwi ( i n c l u d e
w a l l f r i c t i o n between
s h e e t p i l e and s o i l

8.

Net o v e r t u r n i n g moment due t o

t o t a l h o r i z o n t a l force.

Mo.(PWx

R e s i s t i n g moment due t o c e l l
fill.

MR = W(B12)

10.

Radius of c e l l wall.

11.

I n t e r l o c k tension.

TrPbL
where Pb = t o t a l h o r i z o n t a l stress
a t point b

9.

(~12
2

3H ) + ( ~ h 7~H)2- ( P p x TH)4

( p o i n t of a p p l i c a t i o n of Pp i s
approximated a s H4/3, s e e References
i n t e x t f o r f u r t h e r guidance)

Zone a t maximum i n t e r l o c k t e n s i o n
See
l o c a t e d a t H/4 above base.
stress diagram, Inboard Sheeting
and r e f e r e n c e s c i t e d i n t e x t
12.

Ultimate i n t e r l o c k s t r e n g t h .

Tu = 16 k i p / i n f o r o r d i n a r y U.S.
s t e e l s h e e t p i l e s and 28 k i p s / i n
f o r high i n t e r l o c k U.S. s h e e t
piles

13.

E f f e c t i v e u n i t weight.

YE = weighted average of c e l l
f i l l YT and )'SUB
(above and
below water i n t h e c e l l )

FIGURE 37 (continued)
Design C r i t e r i a f o r C e l l u l a r Cofferdams

14.

F r i c t i o n a n g l e of s o i l and
steel.

= 213 dl'

15.

C o e f f i c i e n t of f r i c t i o n between
c e l l f i l l and rock.

16.

Drained a n g l e of s h e a r i n g
r e s i s t a n c e of s o i l .

17.

C o e f f i c i e n t of i n t e r l o c k
friction.

f = 0.3

18.

H o r i z o n t a l e f f e c t stress on
a v e r t i a l plane.

p' = ( s e e p r e s s u r e diagram f o r
subscript)

19.

H o r i z o n t a l e f f e c t f o r c e on a
v e r t i c a l plane.

PI = ( s e e p r e s s u r e diagram f o r
subscipt)

u s e 0.5 f o r smooth r o c k ,
f o r a l l o t h e r use tan0

+'

FIGURE 37 ( c o n t i n u e d )
Design C r i t e r i a f o r C e l l u l a r Cofferdams

DESIGN METHODS
COFFERDAM ON ROCK

1.

- WITH BERM

Factor of s a f e t y a g a i n s t s l i d i n g on Base
) 1.25 (TEMP0RARI)TO 1.5 (PERMANENT)
Fs = P ~ ~ + P ~- P ~

2.

Factor of s a f e t y a g a i n s t o v e r t u r n i n g , Fo
F~=$L

3.

Factor of s a f e t y a g a i n s t e x c e s s i v e i n t e r l o c k t e n s i o n , Fi
Fi = +1

4.

3 TO 3.5

1.5 TO 2.0

Factor of s a f e t y a g a i n s t v e r t i c a l s h e a r on c e n t e r l i n e , Fvs (Terzaghi)

FYS = 2/3

8
Mo

[ p i TAN

+ + ( pIi - p p ) d 1 1.50
I. 25 (TEMPORARYWALL)
( PERMANENT WALL)

Where P'a i s c a l c u l a t e d using t h e e f f e c t i v e s t r e s s diagram f o r t h e

Center Plane of c e l l , and equals t h e a r e a efgh with K = 0.5 t o 0.6;
P'~ i s c a l c u l a t e d using t h e e f f e c t i v e stress diagram of Inboard
Sheeting, and equals a r e a ab'c'd w i t h K = 0.4.
5.

Factor of s a f e t y a g a i n s t t i l t i n g , Ft
I
F+ =-- I
Mo 6

6.

and

T E ~ 2 H ( 1 T A N 2 + -BT T A N 3 + + I ( f H
B
FOR K = T A N ~ ( ~ ~ - + / ~ )

I.25(TEMPORARY)
1.50 (PERMANENT

Factor of s a f e t y a g a i n s t shear a t c e l l f i l l , s h e e t p i l e i n t e r f a c e , Fsf

Fsf

=-

B
Mo

"&

[ ( P ~ + P ~ + ~ ) T8A+ N
~if+]

i;g:::!EL,":))

Where Po' i s c a l c u l a t e d using t h e e f f e c t i v e s t r e s s diagram f o r

Outboard Sheeting, and i s e q u i v a l e n t t o a r e a j k l with K = 0.7 t o 1.0.
7.

S e l e c t value of B which s a t i s f i e s a l l requirements.

COFFERDAM ON ROCK

- WITHOUT BERM

Follow design S t e p s 1 through 7 a s above f o r cofferdam with berm.

8.

Put Pp = 0 i n a l l equations t o compute Mo and f a c t o r of s a f e t y .

9.

I n computing Fvs, pai is c a l c u l a t e d using t h e stress diagram f o r

Inboard Sheeting, and equals a r e a ab'c'd with K = 0.4.
FIGURE 37 (Continued)
Design C r i t e r i a f o r C e l l u l a r Cofferdams

COFFERDAM ON DEEP SAND FOUNDATION

10.

- WITHOUT BERM

P e n e t r a t i o n of s h e e t p i l i n g may depend on underseepage r e q u i r e m e n t s

which a r e evaluated with flow net.
In general, t h i s is to avoid piping
a t inboard toe.
Dl = D2 =

2H
3

H
o r Dl = D2 = 7
i f water l e v e l i s lqwered a t l e a s t g b e l o w i n b o a r d
ground s u r f a c e .

11.

Check f a c t o r s of s a f e t y f o r S t e p s 2 , 3 , 4, 5, and 6 above f o r

cofferdams on rock.

12.

Factor of s a f e t y f o r s t a b i l i t y a g a i n s t bearing c a p a c i t y f a i l u r e , Fbc

Fbc =

"It
) 2
W +6Mo -

(NOTE:Pp=O)

B ?
i
Qult = ULTIMATE BEARING CAPACITY FOR CONTINUOUS FOOTING OF WIDTH B (SEE CHAPTER 4 )

13.

P e n e t r a t i o n t o avoid pull-out

of outboard sheeting.

1 1.5,WHERE Qult = ULTlMATE PULLOUT CAPACITY PER LINEAR FOOT OF

P
Mo
WALL = 1/2 K,,Y~D~'TAN 8 x PERIMETER INOTE:P~=O), AND ctp=
B
38 ( 1 + 4 ~
Q

COFFERDAM ON DEEP SAND FOUNDATION

14.

- WITH BERM

Design a s per s t e p s f o r cofferdam on deep sand foundation w i t h o u t berm,

except t h a t p a s s i v e r e s u l t a n t Pp i s included i n r e s i s t i n g o v e r t u r n i n g
moment

15.

S t a b i l i t y a g a i n s t bearing c a p a c i t y f a i l u r e i s n o t a s c r i t i c a l w i t h
presence of berm.

16.

P e n e t r a t i c n of s h e e t i n g required t o avoid piping is evaluated w i t h f l o w

net.

17.

P e n e t r a t i o n of Outboard Sheeting t o avoid pull-out i s t h e same as f o r

cofferdam on deep sand without berm except i n c l u d e Pp i n c a l c u l a t i o n
of Mom

COFFERDAM ON STIFF TO HARD CLAY

18.

Design procedures same a s f o r cofferdams on sand. S t a b i l i t y a g a i n s t

P e n e t r a t i o n of
b e a r i n g c a p a c i t y f a i l u r e of inboard t o e Fbc 1 2.5.
s h e e t i n g t o avoid piping i s u s u a l l y n o t important.

19.

P e n e t r a t i o n t o avoid pull-out of Outboard Sheeting

"It

- 1.5;
)

Qp SAME AS STEP 13
QUl! = C. DI X PERIMETER ( Co FROM TABLE I 1

FIGURE 37 (Continued)
Design C r i t e r i a f o r C e l l u l a r Cofferdams
7.2-123

COFFERDAM ON SOFT TO MEDIUM STIFF CLAY

20.

Design procedures same a s f o r cofferdams on deep sand, w i t h

modifications a s per following s t e p s . P e n e t r a t i o n t o avoid
piping i s u s u a l l y n o t important.

21.

Factor of Safety f o r , s t a b i l i t y a g a i n s t bearing c a p a c i t y f a i l u r e , Fbc

Fbc from Step 12

22.

>3

Because of i n t e r n a l i n s t a b i l i t y due t o s e t t l e m e n t of compressible

foundation, f a c t o r of s a f e t y a g a i n s t v e r t i c a l s t r e s s on c e n t e r l i n e
Fvs from Step 4 qhould be
FVS

(L+Q25B)
1.25 (TEMPORARY)
( L+0.5B) 1{ I. 50 (PERMANENT

I n v e s t i g a t e o v e r a l l s t a b i l i t y of cofferdam with r e s p e c t t o s l i d i n g
along a curved s u r f a c e below t h e bottom of t h e s h e e t i n g by s l o p e
s t a b i l i t y a n a l y s i s from DM-7.1 CHAPTER 7.

23.

I n v e s t i g a t e and e v a l u a t e seams of pervious sand w i t h i n t h e c l a y d e p o s i t

which could develop excessive u p l i f t p r e s s u r e below t h e base of t h e
cofferdam.

24.

Evaluate p e n e t r a t i o n of outboard s h e e t i n g t o avoid pull-out

19.
FIGURE 37 (continued)
Design C r i t e r i a f o r C e l l u l a r Cofferdams

a s per Step

( 1 ) Sand Base. For c e l l w a l l s on s a n d , p e n e t r a t i o n of s h e e t i n g must

be s u f f i c i e n t t o avoid p i p i n g a t i n t e r i o r t o e of w a l l and t o prevent p u l l o u t
o f outboard s h e e t i n g .

( 2 ) Clay Base. For cofferdams on c l a y , p e n e t r a t i o n of o u t b o a r d

s h e e t i n g u s u a l l y i s c o n t r o l l e d by t h e p u l l o u t r e q u i r e m e n t and p i p i n g i s n o t
critical.
( 3 ) Bearing Capacity.
For cofferdams on e i t h e r c l a y o r s a n d , check
t h e b e a r i n g c a p a c i t y a t t h e inboard t o e by methods of Chapter 4.
c.
C e l l Deformations.
The maximum b u l g i n g of c e l l s o c c u r s a t a b o u t 114
of t h e h e i g h t above t h e base of t h e cofferdam and t h e c e l l s t i l t a b o u t 0.02 t o
0.03 r a d i a n s due t o t h e d i f f e r e n c e i n l a t e r a l l o a d s on t h e outboard and
i n b o a r d f a c e s . D e f l e c t i o n s under t h e l a t e r a l o v e r t u r n i n g l o a d s a r e a funct i o n of t h e dimensions, t h e f o u n d a t i o n s u p p o r t , and t h e p r o p e r t i e s of t h e c e l l
f i l l ( s e e Reference 19, F i e l d Study of C e l l u l a r Cofferdams, by Brown).

3.
CELL FILL. Clean, coarse-grained, f r e e - d r a i n i n g s o i l s a r e p r e f e r r e d f o r
c e l l f i l l . They may be placed h y d r a u l i c a l l y o r dumped through water w i t h o u t
compaction o r s p e c i a l drainage.
a. Materials.
Clean g r a n u l a r f i l l m a t e r i a l s should be used i n l a r g e and
c r i t i c a l c e l l s . Every a l t e r n a t i v e should be s t u d i e d b e f o r e a c c e p t i n g f i n e grained b a c k f i l l .
These s o i l s produce h i g h b u r s t i n g p r e s s u r e s and minimum
c e l l r i g i d i t y . T h e i r use may n e c e s s i t a t e i n t e r i o r berms, i n c r e a s e d c e l l
width, o r p o s s i b l y c o n s o l i d a t i o n by sand d r a i n s o r pumping w i t h i n t h e c e l l .
A l l so t m a t e r i a l t r a p p e d w i t h i n t h e c e l l s must be removed b e f o r e f i l l i n g .
b.
Drainage. Weep h o l e s should be i n s t a l l e d on inboard s h e e t i n g t o t h e
c e l l f i l l . For c r i t i c a l c e l l s and marginal f i l l m a t e r i a l , supplementary
d r a i n a g e by w e l l p o i n t s , o r w e l l s w i t h i n c e l l s have been used t o i n c r e a s e c e l l
stability.
c . R e t a r d a t i o n of Corrosion. When cofferdams a r e used a s permanent
s t r u c t u r e s , e s p e c i a l l y i n b r a c k i s h o r seawater, s e v e r e c o r r o s i o n o c c u r s from
t o p of t h e t h e s p l a s h zone t o a p o i n t j u s t below mean low water l e v e l .
Use
protective c o a t i n g , corrosion r e s i s t a n t s t e e l and/or cathodic p r o t e c t i o n i n
these areas.

REFERENCES
1.

Canadian Geotechnical S o c i e t y , E x c a v a t i o n s and R e t a i n i n g S t r u c t u r e s ,

Canadian Foundation Engineering Manual, P a r t 4, 1978.

2.

Caquot, A., and K e r i s e l , F., T a b l e s f o r t h e C a l c u l a t i o n of P a s s i v e

P r e s s u r e , Active P r e s s u r e and Bearing C a p a c i t y of F o u n d a t i o n s ,
Gauthier-Villars, Paris.

3.

Gray, H., C o n t r i b u t i o n t o t h e A n a l y s i s of Seepage E f f e c t s i n B a c k f i l l s ,

Geotechnique, 1958.

4.

R i c h a r t , F.E., and Schmertmann, F., The E f f e c t s of seepage on t h e

S t a b i l i t y of Sea Walls, Proceedings, F i r s t Conference on C o a s t a l
Engineering, U n i v e r s i t y of F l o r i d a , G a i n e s v i l l e , FL.

5.

Based on work by Terzaghi, K., Anchored Bulkheads, T r a n s a c t i o n , ASCE,

Paper No. 2720, Vol. 119, 1954.

6.

Goldberg, D.T., J a w o r s k i , W.E., and Gordon, M.D.,

L a t e r a l Support
Systems and Underpinning, Vol. I , Design and C o n s t r u c t i o n (Summary),
FHWA-RD-75, F e d e r a l Highway A d m i n i s t r a t i o n , 1976.

7.

I n g o l d , T.S., R e t a i n i n g Wall Performance During B a c k f i l l i n g , J o u r n a l

of t h e Geotechnical Engineering D i v i s i o n , ASCE, Vol. 105, GT5, 1979.

8.

Seed, H.B. and Whitman, R.V.,

Design of E a r t h
Structures f o r
Dynamic Loads, L a t e r a l S t r e s s e s i n t h e Ground and Design of E a r t h
R e t a i n i n g S t r u c t u r e s , ASCE, C o r n e l l U n i v e r s i t y , 1970.

9.

S o i l Mechanics i n Engineering P r a c t i c e ,
Terzaghi, K., and Peck, R.B.,
John Wiley & Sons, Inc., New York, 1967.

etain in in^

10.

Rowe, P.W., Anchored Sheet P i l e Walls, Proceedings, I n s t i t u t i o n of

C i v i l Engineers, London, January, 1952.

11.

T s c h e b o t a r i o f f , G.P.,
E d i t i o n , McGraw-Hill,

12.

United S t a t e s S t e e l Corporation, S t e e l Sheet P i l i n g Design Manual,

United S t a t e s S t e e l , P i t t s b u r g h , PA., 1975.

13.

Carson, A. C.,

14.

Reinforced E a r t h R e t a i n i n g
Lee, K.L., Dean, B. and Vageron, J.M.J.,
Walls, J o u r n a l of S o i l Mechanics and Foundation D i v i s i o n , ASCE, Vol.
99, No. SM10, 1973.

15.

ASCE Proceedings, Symposium on E a r t h Reinforcement, ASCE Annual

Convention, P i t t s b u r g h , PA., 1978.

16.

P o r t l a n d Cement A s s o c i a t i o n , Concrete C r i b R e t a i n i n g Walls, Concrete

Information No. St. 46, Chicago, IL., May, 1952.

Foundations, R e t a i n i n g and E a r t h S t r u c t u r e s , 2nd

New York, 1973.

Foundation C o n s t r u c t i o n , McGraw-Hill Book Co.,

1965.

17.

Seelye, E.E., F o u n d a t i o n s , Design and P r a c t i c e , John Wiley & S o n s ,

Inc., New York, New York, 1956.

18.

Lacroix, Y., E s r i g , M.I. and Luschem, U., D e s i g n , C o n s t r u c t i o n and

Performance of C e l l u l a r Cofferdams, L a t e r a l S t r e s s e s i n t h e Ground and
Design of E a r t h R e t a i n i n g S t r u c t u r e s , ASCE, C o r n e l l U n i v e r s i t y , 1970.

19.

Brown, P.P., D i s c u s s i o n of Paper by White, Chency and Duke, F i e l d

Study of C e l l u l a r Cofferdams, T r a n s a c t i o n , ASCE, Paper No. 3426, Vol.
128, P a r t 1, 1963.

This Page Intentionally Left Blank

CHAPTER 4.

SHALLOW FOUNDATIONS

S e c t i o n 1.

INTRODUCTION

1.
SCOPE. This chapter p r e s e n t s c r i t e r i a f o r t h e d e s i g n of shallow foundat i o n s , methods of determining allowable bearing p r e s s u r e s , and t r e a t m e n t of
problems i n swelling and c o l l a p s i n g s u b s o i l s . For t h e m a j o r i t y of s t r u c t u r e s
(See RELATED
t h e d e s i g n of f o o t i n g s i s c o n t r o l l e d by l i m i t i n g s e t t l e m e n t s .
CRITERIA below.)
This c h a p t e r d i s c u s s e s p e r m i s s i b l e bearing p r e s s u r e s as
l i m i t e d by s h e a r f a i l u r e . Shallow foundations a r e of t h e following t y p e s ;
spread f o o t i n g s f o r i s o l a t e d columns, combined f o o t i n g s f o r supporting t h e
load from more than one s t r u c t u r a l u n i t , s t r i p f o o t i n g s f o r w a l l s , and mats o r
r a f t s beneath t h e e n t i r e b u i l d i n g area. Also, included i s guidance f o r f o o t i n g s s u b j e c t e d t o u p l i f t . Design of deep anchors f o r such f o o t i n g s i s covered
i n DM-7.3, Chapter 3.
2.
RELATED CRITERIA. See DM-7.1, Chapter 5 f o r d e t e r m i n a t i o n of s e t t l e m e n t s
of shallow foundations. See NAVFAC DM-2 f o r c r i t e r i a f o r l o a d s a p p l i e d t o
foundations by v a r i o u s s t r u c t u r e s and s t r u c t u r a l d e s i g n of foundations.

3.
APPLICATIONS. Shallow foundations can be used where t h e r e i s a s u i t a b l e
bearing s t r a t u m near t h e s u r f a c e , no h i g h l y compressible l a y e r s below, and
c a l c u l a t e d s e t t l e m e n t s a r e acceptable. Where t h e bearing s t r a t u m a t ground
s u r f a c e i s u n d e r l a i n by weaker and more compressible m a t e r i a l s , c o n s i d e r t h e
use of deep foundations o r p i l e s .
See Chapter 5.
Section 2.

BEARING CAPACITY ANALYSIS

1.
LIMITATIONS. Allowable bearing p r e s s u r e s f o r shallow foundations a r e
l i m i t e d by two c o n s i d e r a t i o n s . The s a f e t y f a c t o r a g a i n s t u l t i m a t e s h e a r
f a i l u r e must be adequate, and s e t t l e m e n t s under allowable bearing p r e s s u r e
should not exceed t o l e r a b l e values.
I n most c a s e s , s e t t l e m e n t governs t h e
foundation pressures.
See DM-7.1, Chapter 5 f o r e v a l u a t i o n of s e t t l e m e n t s .
For major s t r u c t u r e s , where r e l a t i v e l y high foundation bearing p r e s s u r e s y i e l d
s u b s t a n t i a l economy, determine u l t i m a t e bearing c a p a c i t y by d e t a i l e d explorat i o n , l a b o r a t o r y t e s t i n g , and t h e o r e t i c a l a n a l y s i s . For small o r temporary
s t r u c t u r e s , e s t i m a t e allowable bearing p r e s s u r e s from p e n e t r a t i o n tests, performance of nearby b u i l d i n g s , and presumptive b e a r i n g . v a l u e s ; see Paragraphs 3
and 4.

2.

THEORETICAL BEARING CAPACITY.

a. Ultimate Bearing c a p a c i t y . To analyze u l t i m a t e bearing c a p a c i t y f o r

v a r i o u s loading s i t u a t i o n s , s e e Figures 1 through 5. For t h e s e a n a l y s e s t h e
depth of foundation embedment i s assumed t o be l e s s than t h e foundation width,
and f r i c t i o n and adhesion on t h e foundation's v e r t i c a l s i d e s a r e neglected.
I n g e n e r a l , t h e a n a l y s e s assume a rough f o o t i n g base such a s would occur w i t h
c a s t - i n - p l a c e concrete.

F i g u r e s 1 through 5 p r e s e n t u l t i m a t e b e a r i n g c a p a c i t y diagrams f o r
t h e following c a s e s :
( 1 ) See F i g u r e 1 (Reference 1, I n f l u e n c e of Roughness of Base
Ground Water Condition on t h e U l t i m a t e Bearing C a p a c i t y of Foundations,
Meyerhof) f o r shallow f o o t i n g s with c o n c e n t r i c v e r t i c a l load. Formulas
assume groundwater a t a d e p t h below base of f o o t i n g e q u a l t o o r g r e a t e r
t h e narrow dimension of t h e footing.

and
by
shown
than

( 2 ) Use F i g u r e 2 (Reference 1 ) t o determine groundwater e f f e c t on

u l t i m a t e b e a r i n g c a p a c i t y and t h e d e p t h of f a i l u r e zone. For c o h e s i v e s o i l s ,
changes i n groundwater l e v e l do not a f f e c t t h e o r e t i c a l u l t i m a t e b e a r i n g
capacity.
( 3 ) Use F i g u r e 3a (Reference 2, The Bearing C a p a c i t y of Foundations
Under E c c e n t r i c and I n c l i n e d Loads.* bv
Meverhof) f o r i n c l i n e d l o a d on c o n t i n u .
ous h o r i z o n t a l f o o t i n g and f o r i n c l i n e d load on continuous i n c l i n e d f o o t i n g .
(4)

Use F i g u r e 3b f o r e c c e n t r i c l o a d on h o r i z o n t a l f o o t i n g .

( 5 ) Use F i g u r e s 4a; 4b (Reference 3 , The U l t i m a t e Bearing Capacity

of Foundations on Slopes, by Meyerhof) f o r shallow f o o t i n g w i t h c o n c e n t r i c
v e r t i c a l load p l a c e d on a s l o p e o r n e a r top of slope.
( 6 ) Use F i g u r e 5 (Reference 4, The Bearing C a p a c i t y of F o o t i n g s on
a Two-Layer Cohesive S u b s o i l , by Button) f o r s h a l l o w f o o t i n g w i t h c o n c e n t r i c
v e r t i c a l l o a d on two l a y e r e d cohesive s o i l .
These diagrams assume g e n e r a l s h e a r f a i l u r e which normally o c c u r s i n
dense and r e l a t i v e l y i n c o m p r e s s i b l e s o i l s . T h i s t y p e of f a i l u r e i s u s u a l l y
sudden and c a t a s t r o p h i c ; i t is c h a r a c t e r i z e d by t h e e x i s t e n c e of a welldefined f a i l u r e pattern.
I n c o n t r a s t , i n loose o r r e l a t i v e l y compressible
s o i l s , punching o r l o c a l s h e a r f a i l u r e s may occur a t lower b e a r i n g p r e s s u r e s .
Punching o r l o c a l s h e a r f a i l u r e s a r e c h a r a c t e r i z e d by a p o o r l y d e f i n e d f a i l u r e
s u r f a c e , s i g n i f i c a n t v e r t i c a l compression below t h e f o o t i n g and v e r y l i t t l e
d i s t u r b a n c e around t h e f o o t i n g perimeter.
To approximate t h e l o c a l o r punching s h e a r f a i l u r e s , t h e b e a r i n g
c a p a c i t y f a c t o r s should be c a l c u l a t e d w i t h reduced s t r e n g t h c h a r a c t e r i s t i c s c*
and @*d e f i n e d a s :
c* = 0.67 c
tan'l (0.67 t a n $)

@*=

For more d e t a i l e d and p r e c i s e a n a l y s i s , s e e Reference 5, Bearing Capacity of

Shallow Foundations, by Vesic.
b. Allowable Bearing Capacity. To o b t a i n a l l o w a b l e b e a r i n g c a p a c i t y ,
u s e a s a f e t y f a c t o r of 3 f o r dead load p l u s maximum l i v e load. When p a r t of
t h e l i v e l o a d s a r e temporary ( e a r t h q u a k e , wind, snow, e t c . ) u s e a s a f e t y
f a c t o r of 2.
I n c l u d e i n d e s i g n dead l o a d t h e e f f e c t i v e weight of f o o t i n g and
s o i l d i r e c t l y above footing. See F i g u r e s 6 and 7 f o r examples of a l l o w a b l e
bearing capacity calculations.

.
ULTIMATE BEARING CAPACITY =quit

CONTINUOUS FO(TT1NG;GENERALCASE

C-IlY
ASSUMING
WEMHTLESS FOUNDATIONSOlL
q"=PORTION OF BEARING
CAPACITY FROM WEIGHT OF
FOUNDATION SOILS

quit ~1.3cNc+yDNq+0.6yRN Y

FOR COHESIONLESS FOUNDATION

SOILS (c=O)
CONTINUOUS FOOTING:

SQUARE OR RECTANGULAR FOOTING:

quit
ANGLE OF INTERNAL FRICTDN, 4, DEGREES
L= LENGTH FOOTING

CIRCULAR FOOTING:

q,tl = yDNs + W Y R N y

+B

= yDNq+QSyBNy

2Rd

FOR COHESIVE FOUNDATION

SOILS (t#J =o1
CONTINUOUS FOOTING:

ASSUMED FAILURE
ASSUMED
I.
2.
3.

quit =CNc+y D
THEORETICAL FAILURE

CONDITIONS:
D l B
SOlL IS UNIFORM TO DEPTH do ) B .
WlER LEVEL W E R THAN do BELOW BASE
OF FOOTING.
4. VERTICAL LOAD CONCENTRIC.
5. FRACflON AND ADHESION ON VERTICAL SIDES OF
FOOTING ARE NEGLECTED.
6. FOUNDATION SOlL WITH PROPERTIES ~,t#J,y

SQUARE OR RECTANGULAR FWllNG:

B

qdt = c N c ( l + 3 ~ ) + y D
CIRCULAR FOOTING:

quit ~ 1 . 3cNC+yD

FIGURE 1
U l t i m a t e Bearing Capacity of Shallow Footings With C o n c e n t r i c Loads
7.2-131

ANGLE O F INTERNAL FRICTION

DEGREES

CONTINUOUS FOOTING:

SHALLOW FOOTING : 0 1 B

A
do

ASSUMED CONDITIONS :
I. GROUNDWATER LEVEL IS
HORIZONTAL
2. PRESENCE OF GROUNDWATER
HAS NO EFFECT ON COHESIVE
SOIL WITH # -0.

L = LENGTH FOOTING
ROUGH BASE
SURFACE FOOTING

SURFACE FOOTING : D = 0
B
"It = c N ~ +
w U i b + ~ ( y ~ - y a u b ) ]T N

DEPTH OF WATER TABLE DEPTH OF FAILURE ZONE-

RECTANGULAR FOOTING:
R A C E F I N D =O
ult =cNc(l+.3
)+ [ y a ~ ~ + ~ ( y0.4
- B
~ N~y ~ ~ g
SHALLOW FOOTING: DL'B, IF d& D
=CN~(I+.~
[~~ub~+(~~'~au
Nqb ) d ]
+~-~YSIIb BNy

IF d & ~
quit = C N ~ + [ Y ~ , ,D
~ + ( Y ~ - ~ ~ , , ~q
~)~]
+OmS Yaub B N y
IF D< d i (D+do)

VALUES OF BEARING CAPACITY FACTORS

N~ ~q AND ~y ARE SHOWN IN FIGURE I.

CIRCULAR FOOTING : RADIUS = R= B/2

SURFACE FOOTING: D =0
quit =I.3CNc + [ y a u b + ~ ( y ~ - y a u b ) ]0.6 RNy
SHALLOW FOOTING: D
2R, IF dI
& D
~1.3cNc+ [yaub ~ + ( y ~ - y a u b )~d q 4 . 6 ~ ~ ~ ~ .
IF D ( d & (D+do)
RNfI

FIGURE 2
Ultimate Bearing Capacity With Groundwater Effect

&

V)

cn
a

gd '

e=
s
0

>
k

d
4

EL

300

200

P9

300

ibl

2m

200

V)

V)

loo

loo

*
z 50

z* 50

25

25

10
5
I

10
5
I

20

40

60

INCLINATION OF LOAD, a DEGREES

Ye

qu(t=CNCq

+- 2

INCLINATION OF FOOTING, a DEGREES

YE

N ~ q

quit ' C k q + 2 N y q

INCLUDED LOAD ON HORIZONTAL FOOTINGS

INCLUDED W O N INCLINED FOOTINGS

FIGURE 3a
Ultimate Bearing Capacity of Continuous Footings With Inclined Load

For rectangular f o o t i n g s
reduce dimension a s f o l l o w s :

(6)

RE~UCEDAREA-RECTANOUUR

FOOTING

For a c i r c u l a r f o o t i n g of
radius R, t h e e f f e c t i v e area
A t e = 2 x (area of c i r c u l a r
segment ADC),consider A',
t o AC
be a rectangle with L ' / B ' = %

REDUCED AREA

I
e2=

!Qk

ole=o0o
I
(C)

REDWEDAREA-CIRCULAR POOTlNO

=TA' e

= 2s = B'L'

L' = ( 2 s

Jz)1'2

B' = I'

JET
R+ep

= -T ~ 2 F2-+R2
2

FIGURE 3b
E c c e n t r i c a l l y Loaded Footings

SIN ' 1 (

%j

CASE I:CONTINUOUS FOOTINGBT TOP OFSLOPE

Water a t do
4ult'

-> B

cNcq+~2 Nyq

Water a t Ground S u r f a c e
q u l t ' CNcq + y s u b
If B

Nyq @

I
- H:

Obtain Ncq from Figure 4b f o r Case I w i t h No = 0.

I n t e r p o l a t e f o r v a l u e s of 0 < D / ~< 1
I n t e r p o l a t e q u i t between EQ @ and @) f o r water a t i n t e r m e d i a t e
l e v e l between ground s u r f a c e and do = B.
If B

> H:

Obtain N~~
No =

from F i g u r e &

f o r Case I w i t h s t a b i l i t y number

YH
C

- 1,
I n t e r p o l a t e f o r values O< D / ~< 1 f o r 0 < No < 1. I f No 1
s t a b i l i t y of s l o p e c o n t r o l s u l t i m a t e bearing pressure.
I n t e r p o l a t e quit between EQ @ and @) f o r water a t i n t e r m e d i a t e l e v e l
For water a t ground s u r f a c e and sudden
b e t e e n ground s u r f a c e and do = B.
drawdown: s u b s t i t u t e 0' f o r 0 i n EQ
0' = t a n-1 (- 7 s u b t a n 0 )
YT

Cohesive s o i l (0 = 0 )
S u b s t i t u t e i n EQ @ and @ D f o r B/2 and Nyq = 1Rectangular, square o r c i r c u l a r f o o t i n g :
quit = kult

IxC

f o r continuous f o o t i n g
a s given above

qult f o r f i n i t e footing
q u l t f o r continuous f o o t i n g

CASE II : CONTINUOUS FOOTINGSON SLOPE

Fig.

fr-

Same c r i t e r i a a s f o r Case I except t h a t

Ncq and Nyq a r e obtained from
diagrams f o r Case I1

--

FIGURE 4a
Ultimate Bearing Capacity For Shallow Footing Placed on o r Near a Slope

CASE

CASE II

SU)PE ANGLE
D/B :I

,P DEGREES

-----

D/B =O

RATIO b/B FOR No=O

RATIO b/H FOR No) 0

FIGURE 4b
Bearing Capacity Factors f o r Shallow Footing Placed on o r Near a Slope
-

7.2-136

STRENGTH PROFILE

Nc FOR LAYERS WITH CONSTANT

SHEAR STRENGTH
RATIO T/B

FIGURE 5
Ultimate Bearing Capacity of Two Layer Cohesive S o i l (@=(I)

STRENGTH PROFILE

EFFECT OF D

LEGEND
D
NC

=
=

N~~
NCR

'

DEPTH OF EMBEDMENT OF FOOTING

BEARING CAPACITY FACTOR FOR WNTINUOUS FOOTING WlTH D=O
FACTOR FOR CONTINUOUS FOOTING WlTH D )O
FACTOR FOR RECTANGULAR FOOTING WlTH D=O

CONTINWUS FOOTING

quit =cl NCD+YD

RECTANGULAR FOOTING
NCR= NCO E+Q2(+(,

qu,+=cI N C R + y ~

NCD&c FROM TABLE ABOVE

FIGURE 5 (continued)
Ultimate Bearing Capacity of Two Layer Cohesive S o i l (0=0)

qult

cNc+ y D

y D= EFFECTIVE SURCHARGE
PRESSURE AT LEVELOF BASE O F M I N

91,111=2(as3)+[13(1)+(.13-.os25)(~.5q
=I1.4 KSF
FOR FACTOR OF %FETY, Fs=3.0
quit
11.4 -3.8 KSF
qall = -=3.0
3.0

4 =O

C = 2.0 KSF
YT=130PCF

DEAD LOADS TO INCLUDE EFFECTIVE WEIGHT OF FOOTING

WlTH ASSUMED GROUND WATER LEVEL.

NC(FROMFIGURE 1 ) = 5.53
I

@ CONTINUOUS

FOOTING WlTH VERTICAL LOAD

I
qult

-$$p
-

YB
= cNcq +-Nyq=2(3.8)+0=1.6KSF
2

Fs=3.0

3.5'

37.60=2.5KSF

qal I=

#'o

C = 2.0KSF
YT = 130 PCF
D/B--=5:
0.58

NCa(FROM FIGURE 3) =3.8,Nyq=O

@ CONTINUOUS

FOOTING WlTH INCLINED LOAD

qult IS INTERPOLATED BETWEEN VALUES FOR D/B=l AND m = O
FOR D/B=l,qult =cNcq+yD=2(6.75)+.13(35)=14.0KSF
FOR WB =O,qult = 2 (4.3) +.I3 (3.5) = 9.1 KSF
FOR D/B =3.5/6 =O.58,qult = 9.1+0.!58(4.9)=11.9 KSF
b=3.0

qaM= 3ll. 90 ~ 4 . 0 KSF

J'

FOR D/B = I.Ncq= 6.75 FROM LlGURE4

FOR D/B=0.Ncq=4.3

(c)

I
I

CONTINUOUS FOOTING PLKED ON SLOPE

I

7v

C2/CI =4/2 = 2 T/B = 3/6=Q5

NC (FROM FIGURE 5 ) =5.8
FOR D/B =35/6Z O.~,NCD/NC (FROM FWRE5)=1.15
qult =clNco+yD =2(5.8)(1.15) +[.I3 (1)+(.13-O~X2.5)3=136KSF

-6'q

1111

CI= 20 KSF

%=30

13 6
qdl=3.0=4.5
KSF

#,=o YT=IX)PCF

m~r~lrr,,rl,,ll,,,l

C2=4.0 KS F
#2= 0 6=130PCF
I

CONTINUOUS FOOTING ON TWO -LAYER FOUNDATION STRATA

FIGURE 6
Examples of Computation of Allowable Bearing C a p a c i t y
Shallow F o o t i n g s on Cohesive S o i l s

+
q
m
-

6 ' 4

FROM FIGURE 2 AND D$ 8:

qult =CNc+ [YSUB D+(yT-yfVB Id] Nq+O.Sysu~BNy

1'

3.s1

+=

11111-A

35"
YT = I30 PCF

C =O

=O+ L . x 3 . 5 + ( . 1 3 - . 0 6 8 ) 1 . ~ 3 4 + 0 5 ~ . 0 6 8 ~ 6 ~ 4 0
= 18.5 KSF
FS = 3.0

qa11=3
.0~ 6 . 2KSF
Nq ( FROM FIGURE 1 ) = 3 4
Ny ( FROM FIGURE I) = 40 ( APPROX.)

@)

DEAD LOAD TO INCLUDE EFFECTIVE WEIGHTOF FOOTING WITH

ASSUMED GROUND WATER LEVEL.

CONTINUOUS FOOTING WlTH VERTICAL WAD

ASSUME GROUND WATER TABLE IS LOCATEDATGREAT
DEPTH BEWW BASE OF FOOTING.

g~~~
=o+.I~ox$-~60.23.4 KSF

quit = c N ~ ~ + Y
Fs = 3.0

+=

35"
C =O
yT=130
PCF

Nyq ( FROM flGURE 3 ) = 60

D/B = 3.5h = .58

-@

'

INCLINED CONTINUOUS FOOTING WITH INCLINED LOAD

6'

+=

ASSUME GROUND WATER TABLE IS LOCATED AT GREAT

DEPTH BEUW BASE OF FOOTING.
B
qult = C N c q + y ~ N y q= 0 + . 1 3 ~ ~ ~ 2 6 = 1 KSF
0.2
Fs = 3.0

350

qall = 31.002- 3 . 4 KSF

C= 6

YT=130 PCF

b = 6 1.=
0

%=*=.58

NrP (FROM FIGURE 4)

yq "

_I

l0+40+38+120 =26
8

CONTINUOUS FOOTING PLACED BACK OF SLOPE

FIGURE 7
Examples of Computation of Allowable Bearing C a p a c i t y
Shallow Footings on G r a n u l a r S o i l s

c.

S o i l S t r e n g t h Parameters.

( 1 ) Cohesive S o i l s . I n t h e c a s e of fine-grained s o i l s which have

low p e r m e a b i l i t y , t o t a l stress s t r e n g t h parameters a r e used.
Value of cohes i o n may be determined from l a b o r a t o r y unconfined compression t e s t s , v a n e
s h e a r tests, o r undrained t r i a x i a l t e s t s . Shear s t r e n g t h c o r r e l a t i o n s w i t h
(See
s t a n d a r d p e n e t r a t i o n t e s t s and cone p e n e t r a t i o n t e s t s may a l s o be used.
DM-7.1, Chapter 1.)
( 2 ) Granular S o i l s . I n t h e case of coarse-grained s o i l s which d r a i n
f r e e l y use t h e e f f e c t i v e s t r e s s s t r e n g t h parameter ( 8 ' ) . F i e l d t e s t s (e.g.,
standard p e n e t r a t i o n t e s t s o r cone p e n e t r a t i o n ) a r e almost always used t o
estimate t h i s strength.
( 3 ) I n t h e case where p a r t i a l drainage may occur during c o n s t r u c t i o n
(e.g., newly compacted f i l l ) perform two a n a l y s e s , one assuming drained, t h e
o t h e r assuming undrained c o n d i t i o n s , and design f o r t h e most c o n s e r v a t i v e
results.
3.
PRESUMPTIVE BEARING PRESSURES. For preliminary e s t i m a t e s o r when e l a b o r a t e i n v e s t i g a t i o n of s o i l p r o p e r t i e s i s not j u s t i f i e d , use bearing p r e s s u r e
from Table 1.
a. U t i l i z a t i o n . .These load i n t e n s i t i e s a r e intended t o provide a r e a sonable s a f e t y f a c t o r a g a i n s t u l t i m a t e f a i l u r e and t o avoid d e t r i m e n t a l settlements of i n d i v i d u a l footings. Where d i f f e r e n t i a l s e t t l e m e n t s cannot b e
t o l e r a t e d , e x p l o r a t i o n , t e s t i n g and a n a l y s i s should be performed.
Presumpt i v e bearing p r e s s u r e s must be used w i t h c a u t i o n and v e r i f i e d , i f p r a c t i c a b l e , by performance of nearby s t r u c t u r e s .
b. Modifications of Presumptive Bearing Pressures.
See Table 2 f o r
v a r i a t i o n s i n allowable bearing p r e s s u r e depending on f o o t i n g s i z e and p o s i tion.
(See Reference 6, Foundation Analysis and Design, by Bowles f o r more
d e t a i l e d a n a l y s e s of u p l i f t r e s i s t a n c e than shown i n Table 2).
Nominal bearing pressures-may be u n r e l i a b l e f o r foundations on very s o f t t o medium-stiff
fine-grained s o i l s o r over a shallow groundwater t a b l e and. should be checked
by an e s t i m a t e of t h e o r e t i c a l bearing capacity. Where bearing s t r a t a are
u n d e r l a i n by weaker and more compressible m a t e r i a l , o r where c o m p r e s s i b i l i t y
of s u b s o i l s i s c o n s t a n t with depth, analyze c o n s o l i d a t i o n s e t t l e m e n t of t h e
e n t i r e foundation ( s e e DM-7.1, Chapter 5).
4.
EMPIRICAL ALLOWABLE BEARING PRESSURES. Allowable bearing p r e s s u r e s f o r
foundation may be based upon t h e r e s u l t s of f i e l d t e s t s such a s t h e Standard
P e n e t r a t i o n T e s t (SPT) o r Cone P e n e t r a t i o n Test (CPT). These b e a r i n g p r e s s u r e s a r e based on maximum foundation s e t t l e m e n t s but do not c o n s i d e r s e t t l e ment e f f e c t s due t o t h e adjacent foundations. I n t h e c a s e of c l o s e l y spaced
foundations where t h e p r e s s u r e beneath a f o o t i n g i s i n f l u e n c e d by a d j o i n i n g
f o o t i n g s a d e t a i l e d s e t t l e m e n t a n a l y s i s must be made.

TABLE 1
Presumptive Values of Allowable Bearing Pressures f o r Spread Foundat i o n s
Allowable Bearing
Pressure
Tons Per sq f t
Type of Bearing M a t e r i a l

Consistency
I n Place
Range

Recommended
Value f o r
Use

Massive c r y s t a l l i n e igneous and

metamorphic rock: g r a n i t e , dior i t e , b a s a l t , g n e i s s , thoroughly
cemented conglomerate (sound
c o n d i t i o n allows minor cracks).

Hard, sound rock

60 t o 100

80.0

F o l i a t e d metamorphic rock:
s l a t e , s c h i s t (sound c o n d i t i o n
allows minor cracks).

Medium hard sound

rock

30 t o 40

35.0

Sedimentary rock; hard cemented

s h a l e s , s i l t s t o n e , sandstone,
limestone without c a v i t i e s .

Medium hard sound

rock

15 t o 25

20.0

Weathered o r broken bed rock of

any kind except h i g h l y a r g i l laceous rock ( s h a l e ) . RQD l e s s
t h a n 25.

S o f t rock

8 t o 12

10.0

Compaction s h a l e o r o t h e r highly
a r g i l l a c e o u s rock i n sound
condition.

S o f t rock

8 t o 12

10.0

Well graded mixture of f i n e and

coarse-grained s o i l : g l a c i a l
t i l l , hardpan, boulder c l a y
(GW-GC, GC, SC)

Very compact

8 t o 12

10.0

Gravel, gravel-sand mixtures,

boulder g r a v e l mixtures (SW, SP,
SW, SP)

Very compact
Medium t o compact
Loose

6 t o 10
4 to 7
2 to 6

7.0
5.0
3.0

Coarse t o medium sand, sand with

l i t t l e g r a v e l (SW, SP)

Very compact
Medium t o compact
Loose

4 to 6
2 to 4
1 to 3

4.0
3.0
1.5

Fine t o medium sand, s i l t y o r

clayey medium t o c o a r s e sand
(SW, SM, SC)

Very compact
Medium t o compact
Loose

3 to 5
2 to 4
1 to 2

3.0
2.5
1.5

TABLE 1 (continued)
Presumptive Values of Allowable Bearing P r e s s u r e s f o r Spread Foundations
Allowable Bearing
Pressure
Tons Per sq f t .
Type of Bearing M a t e r i a l
.

Recommended
Value f o r

Consistency
I n Place
Range

Use

Homogeneous inorganic c l a y ,
sandy o r s i l t y $ c l a y (CL, CH)

Very s t i f f t o hard
Medium t o s t i f f
Soft

3 to 6
1 to 3
05 t o 1

4.0
2.0
0.5

Inorganic s i l t , sandy o r clayey

s i l t , varved s i l t - c l a y - f i n e Sand

Very s t i f f t o hard
medium t o s t i f f
Soft

2 to 4
1 to 3
.5 t o 1

3.0
1.5
0.5

Notes :
1.

V a r i a t i o n s of allowable bearing p r e s s u r e f o r s i z e , depth and arrangement

of f o o t i n g s a r e given i n Table 2.

2.

Compacted f i l l , placed with c o n t r o l of moisture, d e n s i t y , and l i f t

t h i c k n e s s , has allowable bearing p r e s s u r e of e q u i v a l e n t n a t u r a l s o i l .

3.

Allowable bearing p r e s s u r e on compressible f i n e grained s o i l s is

g e n e r a l l y l i m i t e d by c o n s i d e r a t i o n s of o v e r a l l s e t t l e m e n t of s t r u c t u r e .

4.

Allowable bearing p r e s s u r e on organic s o i l s o r uncompacted f i l l s i s

determined by i n v e s t i g a t i o n of i n d i v i d u a l case.

5.

I f t a b u l a t e d recommended value f o r rock exceeds unconfined compressive

s t r e n g t h of i n t a c t specimen, allowable p r e s s u r e s equals unconfined
compressive s t r e n g t h .

TABLE 2
S e l e c t i o n of Allowable Bearing P r e s s u r e s f o r Spread Foundations

\
1.

For preliminary a n a l y s i s o r i n t h e absence of s t r e n g t h tests of foundat i o n s o i l , design and proportion shallow foundations t o d i s t r i b u t e t h e i r
l o a d s using presumptive v a l u e s of allowable bearing p r e s s u r e given i n
Table 1. Modify t h e nominal value of allowable b e a r i n g p r e s s u r e f o r
s p e c i a l c o n d i t i o n s i n accordance with t h e following i t e m s .

2.

The maximum bearing p r e s s u r e beneath t h e f o o t i n g produced by e c c e n t r i c

loads t h a t i n c l u d e dead p l u s normal l i v e load p l u s permanent l a t e r a l
loads, s h a l l not exceed t h e nominal bearing p r e s s u r e of Table 1.

3.

Bearing p r e s s u r e s up t o one-third i n excess of t h e nominal bearing

values a r e permitted f o r t r a n s i e n t l i v e load from wind o r earthquake.
I f overload from wind o r earthquake exceeds one-third of nominal bearing
p r e s s u r e s , i n c r e a s e allowable bearing p r e s s u r e s by one-third of nominal
value.

4.

Extend f o o t i n g s on s o f t rock o r on any s o i l t o a minimum depth of 18

inches below a d j a c e n t ground s u r f a c e o r s u r f a c e of a d j a c e n t f l o o r bearing on s o i l , whichever e l e v a t i o n i s t h e lowest.

5.

For f o o t i n g s on s o f t rock o r on coarse-grained s o i l , i n c r e a s e a l l o w a b l e

bearing p r e s s u r e s by 5 percent of t h e nominal v a l u e s f o r each f o o t of
depth below t h e minimum depth s p e c i f i e d i n 4.

6.

Apply t h e nominal bearing p r e s s u r e s of t h e t h r e e c a t e g o r i e s of hard o r

medium hard rock shown on Table 1 where base of foundation l i e s on rock
surface. Where t h e foundation extends below t h e rock s u r f a c e i n c r e a s e
t h e allowable bearing p r e s s u r e by 10 percent of t h e nominal v a l u e s f o r
each a d d i t i o n a l f o o t of depth extending below t h e s u r f a c e .

7.

For f o o t i n g s m a l l e r than 3 f e e t i n l e a s t l a t e r a l dimension, t h e allowab l e bearing p r e s s u r e s h a l l be one-third of t h e nominal b e a r i n g p r e s s u r e

m u l t i p l i e d by t h e l e a s t l a t e r a l dimension i n f e e t .

8.

Where t h e bearing s t r a t u m i s u n d e r l a i n by a weaker m a t e r i a l determine

t h e allowable bearing p r e s s u r e a s follows:

TABLE 2 (continued)
S e l e c t i o n of Allowable Bearing P r e s s u r e s f o r Spread Foundations
r

ONTINUED

7 / / / / / / / / / / / / / / f l..
t.'..A-.
. .

Q = a p p l i e d l o a d , not i n c l u d i n g
weight of f o u n d a t i o n i t s e l f .

/ / / / / / f f / I / /

,p'.::.!

<;;.

D:

L = l e n g t h of foundation.

(B + 1.16H) (L + 1.16H) = a r e a
s t r e s s e d i n weaker l a y e r .

(B

Q
1.16H)(L

1.16H)

< nominal
-

value of allowable bearing pressure.

Area s t r e s s e d i n weaker l a y e r s h a l l not extend beyond i n t e r s e c t i o n of 30'

planes extending downward from a d j a c e n t foundations.
9.

Where t h e f o o t i n g i s subjected t o a s u s t a i n e d u p l i f t f o r c e , compute

u l t i m a t e r e s i s t a n c e t o u p l i f t a s follows:
Q = a p p l i e d u p l i f t load.
W = t o t a l e f f e c t i v e weight of
s o i l and c o n c r e t e l o c a t e d
w i t h i n prism bounded by
v e r t i c a l l i n e s a t b a s e of
foundation. Use t o t a l u n i t
weights above water t a b l e
and buoyant u n i t w e i g h t s
below.

Safety F a c t o r =
--

-WQ -> 2
-

(This i s a c o n s e r v a t i v e procedure; s e e t e x t f o r r e f e r e n c e on more d e t a i l e d

a n a l y s e s procedures. )

a. Standard P e n e t r a t i o n Test. R e l a t i o n s h i p s a r e p r e s e n t e d i n Reference

7, Foundation Engineering, by Peck, Hanson and Thornburn, f o r a l l o w a b l e beari n g values i n terms of standard p e n e t r a t i o n r e s i s t a n c e and f o r l i m i t i n g s e t tlement. When SPT t e s t s a r e a v a i l a b l e , use t h e c o r r e l a t i o n i n DM-7.1, Chapter
2 t o determine r e l a t i v e d e n s i t y and Figure 6, DM-7.1, Chapter 3 t o e s t i m a t e
0 values. Use Figure 1 t o compute u l t i m a t e bearing p r e s s u r e .
b. Cone P e n e t r a t i o n Test. The r e s u l t s of CPT may be used d i r e c t l y t o
compute allowable bearing p r e s s u r e f o r coarse-grained s o i l s . See Figure 8
(Reference 8, Shallow ~ o u n d a t i o n s , by t h e Canadian Geotechnical S o c i e t y ) .
c. Bearing Capacity Fr& pressuremeter. I f pressuremeter i s used t o
determine i n s i t u s o i l c h a r a c t e r i s t i c s , b e a r i n g c a p a c i t y can be computed from
these t e s t results.
(See Reference 8.)
S e c t i o n 3.

1.

FOUNDATION DEPTH.

SPREAD FOOTING DESIGN CONSIDERATIONS

I n g e n e r a l f o o t i n g s should be c a r r i e d below:

( a ) The depth of f r o s t p e n e t r a t i o n ;
( b ) Zones of h i g h volume change due t o moisture f l u c t u a t i o n s ;
( c ) Organic m a t e r i a l s ;
( d ) Disturbed upper s o i l s ;
( e ) Uncontrolled f i l l s ;
( f ) Scour depths i n r i v e r s and streams.
( g ) Zones of c o l l a p s e - s u s c e p t i b l e s o i l s .

2.
AT..TERNATIVE FOUNDATION METHODS
Light S t r u c t u r e s . Light s t r u c t u r e s may
be supported by o t h e r types of shallow foundation treatment such a s : ( a ) deep
perimeter wall f o o t i n g s ; ( b ) overexcavation and compaction i n f o o t i n g l i n e s ;
( c ) mat design w i t h thickened edge; (d) preloading surcharge.

3.
PROPORTIONING INDIVIDUAL FOOTINGS. Where s i g n i f i c a n t compression w i l l
not occur i n s t r a t a below a depth equal t o t h e d i s t a n c e between f o o t i n g s ,
i n d i v i d u a l f o o t i n g s should be proportioned t o g i v e equal s e t t l e m e n t s , using
formulas from DM-7.1, Chapter 5. See Figure 9 f o r an example.

4.
CORROSION PROTECTION. Foundation design should c o n s i d e r p o t e n t i a l l y
d e t r i m e n t a l s u b s t a n c e s i n s o i l s , such a s c h l o r i d e s and s u l p h a t e s , w i t h approp r i a t e p r o t e c t i o n f o r reinforcement, c o n c r e t e and metal piping. I f t h e analysis i n d i c a t e s s u l p h a t e c o n c e n t r a t i o n t o be more than 0.5% i n t h e s o i l o r more
than 1200 p a r t s p e r m i l l i o n i n t h e groundwater, t h e use of a s u l p h a t e resisti n g cement such a s Type V Portland cement should be considered. I n a d d i t i o n s ,
o t h e r p r o t e c t i o n such a s lower water-cement r a t i o , bituminous c o a t i n g , e t c .
may be required depending upon t h e s u l p h a t e concentration. See Reference 9,
Sulphates i n S o i l s and Groundwaters, BRS Digest, f o r guidance.

\
0

B,FT
qa = ALLOWABLE BEARING PRESSURE

%one =CONE RESISTANCE

Df = DEPTH OF SURCHARGE ABOVE M E BASE OFFOOTING
B = FOOTING WIDTH
FIGURE 8
Allowable Bearing Pressure f o r Sand From S t a t i c Cone Penetration T e s t s

EXAMPLE

C0L.B
LOAD = 160T

COL. A
LOAD = 5 o T

f.

1 5'

SAND

rrm-t

tt-tt

to-

YT = 120 PCF
N -AVG. = 18 BLOWS/FT

N-AN.= I 5 BLOW/FT.

Column l o a d A = 50 t o n s
, Avg N = 15 b l o w s / f t
Column load B = 160 t o n s
, Avg. N = 18 b l o w s / f t .
S o i l : w e l l graded sand (SW) ,
YT = 120 pcf
Column A
Assume s q u a r e f o o t i n g 5 f t . x 5 f t . , B = 5 f t .
Average overburden p r e s s u r e a t 6.5 f t . (Df + B/2) below ground
level :
Po = 120 x 6.5 = 780 psf = 0.39 t s f
From Figure 3, DM-7.1, Chapter 2, Dr = 80%
From Figure 7, DM-7.1, Chapter 3, 6 = 37.5'
a ) Determine Bearing Capacity
1
From Figure 1, q u l t = El20 x 4 x 45 + 0.4 x 120 x 5 x 7 0 7 2 0 0 0 = 19.2 t s f
q u l t (net) = 19.2 - 120 x 4
e 19 t s f
2000
Use Fs = 3,
Qall = 19 = 6 . 3 t s f
3
3 f t . x 3 f t . which i s less t h a n
Minimum r e q u i r e d f o o t i n g s i z e : I50
assumed s i z e 5f t x 5 f t .
6.3
b) Check f o r s e t t l e m e n t .
To l i m i t s e t t l e m e n t , assume a 5 f t . x 5 f t . f o o t i n g w i t h q = 5oT
=:2 t s f
From Figure 6, DM-7 . l , Chapter 5 q, = 255 t o n s / f t 3
5ft. x 5ft.
A H E ~X 2 X S2
x 12 = 0.26 i n c h e s
255 x ( 5 + 1)
Column B
Assume 8 f t . x 8 f t . s q u a r e f o o t i n g
Average overburden p r e s s u r e a t 8 f t . = (Df
~ / 2 )below ground l e v e l .
Po = 120 x 8 x
1 = 0.48 t s f
2000
From Figure 3, DM-7.1, Chapter 2, Dr = 87%
From Figure 7, DM-7.1, Chapter 3, t8 = 39'
a ) Determine Bearing Capacity
0.4 x 120 x 8 x 961
1
32.3 t s f
From Figure 1 , q u l t = El20 x 4 x 58
2000
q u l t ( n e t ) = 32.3
120 x 4 % 3 2 t s f
2Q00
U s e Fs = 3.0.'- q a l l = 32 = 10.7 t s f
3

.'.

.
FIGURE 9
Example of Proportioning Footing S i z e t o Equalize S e t t l e m e n t s
7.2-148

Minimum required f o o t i n g s i z e :

160 = 3.9 f t . x 3.9 f t .

10.7

Footing s i z e required f o r settlement equal t o that o f

Column A .
From Figure 6, DM-7.1, Chapter 5, Kvl = 290 t o n s / f t 3
4 x 160 x 8 2
x 12
0 ' 2 6 = 290 x B~ x (B + 1 ) 2

b)

- 1 = 9.1 )) 3.9
0.26 x 290
Settlement Governs
Use 9.1 x 9.1 f o o t i n g f o r Column B
Or B =

FIGURE 9 (continued)
Example of Proportioning Footing S i z e t o Equalize Settlements

E l e c t r i c a l c o r r o s i v e p r o p e r t i e s of s o i l a r e i m p o r t a n t where metal s t r u c t u r e s such as p i p e l i n e s , e t c . a r e b u r i e d underground.

A r e s i s t i v i t y survey
of t h e s i t e may be n e c e s s a r y t o e v a l u a t e t h e need f o r c a t h o d i c p r o t e c t i o n .
S e c t i o n 4.

MAT AND CONTINUOUS BEAM FOUNDATIONS

1.
APPLICATIONS. Depending on economic c o n s i d e r a t i o n s m a t f o u n d a t i o n s a r e
g e n e r a l l y a p p r o p r i a t e i f t h e sum of i n d i v i d u a l f o o t i n g b a s e a r e a s exceeds
about one-half t h e t o t a l f o u n d a t i o n a r e a ; i f t h e s u b s u r f a c e s t r a t a c o n t a i n
c a v i t i e s o r compressible l e n s e s ; i f s h a l l o w s h e a r s t r a i n s e t t l e m e n t s predomin a t e and t h e mat would e q u a l i z e d i f f e r e n t i a l s e t t l e m e n t s ; o r i f r e s i s t a n c e t o
h y d r o s t a t i c u p l i f t i s required.
2.
STABILITY AND SETTLEMENT REQUIREMENTS. A s with o t h e r t y p e s of foundat i o n s , a-mat f o u n d a t i o n must have an ample f a c t o r of s a f e t y ( s e e S e c t i o n 2)
a g a i n s t o v e r a l l s h e a r f a i l u r e and i t must not e x h i b i t i n t o l e r a b l e s e t t l e m e n t
( s e e DM-7.1, Chapter 5).
S i n c e mat f o o t i n g s a r e simply l a r g e f o o t i n g s , t h e b e a r i n g c a p a c i t y p r i n c i p l e s o u t l i n e d i n S e c t i o n s 2 and 3 of t h i s c h a p t e r a r e a p p l i c a b l e . The u l t i mate b e a r i n g c a p a c i t y of l a r g e mats on coarse-grained s o i l s i s u s u a l l y v e r y
h i g h and d e s i g n i s u s u a l l y c o n t r o l l e d by s e t t l e m e n t ( s e e DM-7.1, Chapter 5).
For mats on c o h e s i v e s o i l s , s h e a r s t r e n g t h parameters f o r s o i l s a t d e p t h must
be determined f o r t h e proper e v a l u a t i o n of f a c t o r of s a f e t y a g a i n s t deepseated failure.
3.
DESIGN PROCEDURES. A d e s i g n method based on t h e t h e o r y f o r beams o r
p l a t e s on d i s c r e e t e l a s t i c f o u n d a t i o n s (Reference 10, Beams on E l a s t i c Found a t i o n , by Hetenyi) h a s been recommended by A C I Committee 436 (Reference 11,
Suggested Design Procedures f o r Combined Footings and Mats) f o r d e s i g n of m a t
foundations. This a n a l y s i s i s s u i t a b l e f o r f o u n d a t i o n s on coarse-grained
soils.
a. Two-dimensional Problems.
For w a l l s o r c r a n e t r a c k f o o t i n g s o r mat
f o u n d a t i o n s s u b j e c t e d t o p l a n e s t r a i n , such a s drydock w a l l s and l i n e a r blocki n g l o a d s , u s e t h e procedures of Table 3 and F i g u r e s 10 and 11 (Reference 1 0 ) .
Superpose s h e a r , moment, and d e f l e c t i o n produced by s e p a r a t e l o a d s t o o b t a i n
t h e e f f e c t of combined loads.
b. Three-dimensional'Problems. For i n d i v i d u a l l o a d s a p p l i e d i n i r r e g u l a r p a t t e r n t o a roughly equi-dimensional mat, a n a l y z e s t r e s s e s by methods of
p l a t e s on e l a s t i c foundations.

Use t h e procedures of Table 4 and F i g u r e 12.

Superpose s h e a r , moment, o r d e f l e c t i o n produced by s e p a r a t e l o a d s t o

o b t a i n k f f e c t of combined loads.

TABLE 3 .
D e f i n i t i o n s and P r o c e d u r e s , A n a l y s i s of Beams on E l a s t i c F o u n d a t i o n

--

).

Definitions:
Kv,

= Modulus of s u b g r a d e r e a c t i o n f o r a 1 s q f t b e a r i n g p l a t e .

Kb = Modulus of s u b g r a d e r e a c t i o n f o r beam of w i d t h b, Kb = (K,, ) / b

y = D e f l e c t i o n of beam a t a p o i n t .
p = P r e s s u r e i n t e n s i t y on t h e s u b g r a d e a t a p o i n t , p = y(Kb)
b

Width of beam a t c o n t a c t s u r f a c e

I = Moment of i n e r t i a of beam
E = Modulus of e l a s t i c i t y of beam m a t e r i a l

Beam l e n g t h

=!,

A = C h a r a c t e r i s t i c s of t h e system of beam and s u p p o r t i n g s o i l =

;4j3E
EI

Procedure f o r Analysis:
Chapter 5 o r

1.

Determine E and e s t a b l i s h K,,

from p l a t e b e a r i n g t e s t s .

2.

Determine d e p t h of beam from s h e a r r e q u i r e m e n t s a t c r i t i c a l s e c t i o n

and w i d t h from a l l o w a b l e b e a r i n g p r e s s u r e .
Compute c h a r a c t e r i s t i c X
of beam and s u p p o r t i n g s o i l .

3.

C l a s s i f y beams i n a c c o r d a n c e w i t h r e l a t i v e s t i f f n e s s i n t o t h e
f o l l o w i n g t h r e e groups. A n a l y s i s p r o c e d u r e d i f f e r s w i t h e a c h group.

from F i g u r e 6 i n D M - 7 . 0 4

.,

S h o r t beams:
4
Beam i s c o n s i d e r e d r i g i d .
Assume
Group 1
l i n e a r d i s t r i b u t i o n of f o u n d a t i o n c o n t r a c t p r e s s u r e as f o r a r i g i d
footing.
Compute s h e a r and moment i n beam by s i m p l e s t a t i c s .

TABLE 3 ( c o n t i n u e d )
D e f i n i t i o n s and Procedures, A n a l y s i s of Beams on E l a s t i c Foundation
,

Group 2
Beams of medium l e n g t h : 7 1 4 <Xl<r. End c o n d i t i o n s i n f l u ence a l l s e c t i o n s of t h e beam. Compute moments and s h e a r s throughout
t h e beam l e n g t h by t h e i n f i n i t e beam formulas, t o p p a n e l of F i g u r e 10.
Determine i n t h i s way t h e s h e a r and moments a t t h e two e n d s of t h e
beam. By superposing on t h e loaded beam two p a i r s of c o n c e n t r a t e d
f o r c e s and moments a t t h e ends of t h e beam, s o l u t i o n s f o r t h e i n f i n i t e
beam a r e modified t o conform t o t h e a c t u a l end c o n d i t i o n s .
For
example, i f Q = 0 and M = 0 a t t h e ends of a free-ended beam, a p p l y
redundant s h e a r and moment a t t h e ends e q u a l and o p p o s i t e t o t h a t
detemined from t h e i n f i n i t e beam formulas.
See r e f e r e n c e c i t e d i n
t e x t f o r formulas f o r moments and s h e a r s i n end loaded beam of f i n i t e
length.

Group 3
Long beams:
>r
End c o n d i t i o n a t d i s t a n t end has
n e g l i g i b l e i n f l u e n c e on moment and s h e a r i n t h e i n t e r i o r of t h e beam.
Consider beam a s extending a n i n f i n i t e d i s t a n c e away from loaded end.
Compute moment and s h e a r caused by i n t e r i o r l o a d s by formulas f o r
i n f i n i t e beam, top p a n e l of F i g u r e 10. Compute moment and s h e a r f o r
l o a d s a p p l i e d n e a r t h e beam ends by formulas f o r s e m i - i n f i n i t e beam.
bottom p a n e l of F i g u r e 10. Superpose moment and s h e a r o b t a i n e d from
t h e two l o a d systems.

4.

Obtain f u n c t i o n s
10 from F i g u r e 11.

,B

x ~, C i X

, DiX , for

u s e i n formulas of F i g u r e

S i g n Convention:
Consider i n f i n i t e l y s m a l l element of beam between two v e r t i c a l c r o s s
s e c t i o n s a t a d i s t a n c e dx a p a r t .
+Q = Upward a c t i n g s h e a r f o r c e t o l e f t of s e c t i o n .
+M = Clockwise movement a c t i n g from t h e l e f t t o t h e s e c t i o n .

+y = Downward d e l e c t i o n .

CONCENTRATED LOAD

DEFLECTION: y
MOMENT :
SHEAR :

APPLIED MOMENT

$AXX

P
4X C ~
Q =-f
.AX
Mr

DEFLECTION : Y =

MOMENT :

2DXX

MO

M=

SHEAR :
UNIFORMLY DISTRIBUTED LDID

POINT C IS UNDER LOAD

m
W

I
LL
g

POINT C IS LEFT OF LOAD

DEFLECTION

( ~ - D ~ ~ - D ~ ~ )

~AOMENT:

MC =

$ ( BA.+BX~

SHEAR:

Qc =

(CXo -CXb
4X

DEFLECTION : YC =

q
2~

( DXa

b)

--(Bh-BXb)
4x2
q
Qc : (CXa-CXb)
4X

MOMENT:

MC

SHEAR:
POINT C IS RIGHT OF WAD

YC =

DEFLECTION : YC

'- q

( D i g - DXb)

(BXa-BXb )

MOMENT:

MC =

SHEAR :

Qc =

FREE END, CONCENTRATED WAD

DEFLECTION :
WENT:

M =

SHEAR :

Q =

q
2P

(CXo-chb)

X DAX

- P'BXx

- PI CXx

FREE END, MOMENT

DEFLECTION : Y

"
b
k

g
LL

'

2 MI h2 cCx
-K

MI AXX

MOMENT :

SHEAR :

0 =-~MIXBX~

FREE W BEAM,aWmYTRATED LDIDNEAREND

V)

:Y=$

pXa+2~h)~Ax-2(~k+~Xa

MOMENT:

IF MATK)N (CXq+PDXg)=Q
AND (CXq+Dh )
IS USED
P
M= K @ c ~- ~~ B D ~ ~ + c ~ ( ~ - ~ )

SHEAR :

~ = - f (~DXX-BAXX~~&-~)]

=B

FIGURE 10
Computation of Shear, Moment, and Deflection,Beams on Elastic Foundation

- 0.2

7 \,

1
'

Ckr
-0.1.

/
I
I

I
0

.
.
.

/ /+-

.s
-...

0.1

*;

A A x = e-AX(c~sAx
+ smAx)

BRx

DA,

,' II I

8 -AX s/n A X

CAX = e -'* (cos a x

- sin ax)

c - ~ cos
* AX

6
T

------I

0.4

2
CI

u
a

I
I

b.

0.5

I
I

0
W

1
I

1
I

-1

I
I
I

I/

0.7

/I

rl

I I

PARAMETER
I

Ax

FIGURE 11
Functions f o r Shear, Moment, and Deflection, Beams on E l a s t i c Foundations

7.2-154

TABLE 4
Definitions and Procedures, Mats on Elastic Foundations

b efinitions:

r = Distance of point under investigation from point column load along

radius
Mr,Mt

Radial and tangential moments (polar coordinates) for a unit

width of mat

Shear per unit width of mat

Mx = Moment which causes a stress in the x-direction (rectangular

coordinates)
My = Moment which causes a stress in the y-direction
coordinates)

(rectangular

u, = Stress due to &

uy

Stress due to My

y = Deflection of mat at a point

b = width of mat

I
Procedure for Analysis:
1.

Determine modulus of subgrade reaction for foundation width "b"

follows :

as

For cohesive soils: Kb = Kv,/b,

For granular soils:
2.

.
3
,

4.

Determine mat thickness h from shear requirements at critical

sections.
Determine values of E and Poisson's ratiop for mat.
~h~
Calculate flexural rigidity of mat, D =
12( 1-p2)

4/z

5.

Calculate radius of effective stiffness:

6.

Radius of influence of individual column load equals approximately 4L.

TABLE 4 ( c o n t i n u e d )
D e f i n i t i o n s and Procedures, Mats o n E l a s t i c F o u n d a t i o n s
2

7.

To determine r a d i a l and t a n g e n t i a l moments and d e f l e c t i o n s a t any p o i n t

from a n i n t e r i o r column l o a d u s e t h e f o l l o w i n g formulas:
Mr=

--,P

c z4(O-(1-p) z ~ ' ( E,)E~= L

&

0 . - .
4L

z4'(&)

P L ~
-,Y =-z3(&)

P
z;(E)
Mt=- - c ~ z ~ ( & ) + ( I - ~ )
4

To c o n v e r t r a d i a l and t a n g e n t i a l moments t o r e c t a n g u l a r c o o r d i n a t e s , u s e
t h e following r e l a t i o n s h i p s :
M,=Mr

y[ete3-Lq
X
0

c0s2$

+M+ SIN*$

SIN^^ + M+ ~

M ~ = M ~

Determine f u n c t i o n s Z3(&),
F i g u r e 12.

0 ~ 2 9

zt3(&), z4(&),

and

zt4(&)

from

8.

To determine moments o r d e f l e c t i o n s from a combination of i n t e r i o r

column l o a d s , s u p e r p o s e t h e e f f e c t s from i n d i v i d u a l column l o a d s a t
p o i n t s under c o n s i d e r a t i o n .

9.

When edge of mat i s l o c a t e d w i t h i n t h e r a d i u s of i n f l u e n c e of t h e

i n d i v i d u a l column l o a d , apply t h e f o l l o w i n g c o r r e c t i o n :

10.

a.

C a l c u l a t e moments and s h e a r s t h a t occur p e r p e n d i c u l a r t o t h e edge of

mat w i t h i n t h e r a d i u s of i n f l u e n c e of t h e column l o a d by a n a l y z i n g
t h e l o c a t i o n of t h e edge i n i n f i n i t e mat formulas.

b.

Apply redundant moments and s h e a r s of opposing s i g n s a t t h e edge of

t h e mat.
Determine moments and s h e a r s produced w i t h i n t h e mat by
t h e r e d u n d a n t s by a n a l y z i n g a s e r i e s of beams on e l a s t i c f o u n d a t i o n s
p o s i t i o n e d p e r p e n d i c u l a r t o t h e edge, a p p l y i n g formulas of t h e
U t i l i z e a s i m i l a r procedure f o r l a r g e
bottom p a n e l of FigurelO.
openings i n t h e i n t e r i o r of t h e mat.
Superpose t h e s e moments t o
moments computed i n S t e p 8.

When s u p e r s t r u c t u r e l o a d s a r e d i s t r i b u t e d through deep f o u n d a t i o n w a l l s ,

u s e t h e f o l l o w i n g procedure:
a.
b.

c.

E s t i m a t e a n approximate d i s t r i b u t i o n of s u p e r s t r u c t u r e l o a d s a s a
l i n e load a l o n g t h e wall.
Divide t h e mat i n t o a s e r i e s of s t r i p s 1 f o o t wide p e r p e n d i c u l a r t o
t h e f o u n d a t i o n w a l l with t h e l i n e l o a d a c t i n g a t t h e end.
Analyze
t h e s t r i p s a s beams on e l a s t i c f o u n d a t i o n s u s i n g f o r m u l a s of t h e t o p
panel of F i g u r e I0 f o r i n t e r i o r f o u n d a t i o n w a l l s and f o r m u l a s of t h e
bottom
p a n e l of FigurelO For f o u n d a t i o n w a l l s a t edge of mat.
-Superpose moments and s h e a r s determined from t h i s a n a l y s i s w i t h
f r a n i n t e r i o r column l o a d s on t h e mat.
t
se o
b t a i n-e d---h o-- --

.s

+ .4

+ .3
T

G' + -2

Yr

L
-10

<+.I
v

3
u)

0
3

k
0
u)

u
%-.I

J
5

- .z
- .3

.4

- .s
0

unctions

3
PARAMETER

<

FIGURE 12
for Shear, Moment, and Deflection, Mats on E l a s t i c Foundation

c.

Modulus of Subgrade Reaction.

The modulus of subgrade r e a c t i o n (K)

is expressed a s :

p = c o n t a c t p r e s s u r e (stress u n i t )

where :

A H = s o i l deformation ( l e n g t h )
( 1 ) K v a r i e s with t h e width and shape of t h e loaded a r e a . Empiric a l c o r r e c t i o n f o r s t r i p f o o t i n g s from Reference 12, Evaluation of Coeffici e n t of Subgrade Reaction, by Terzaghi a r e :
(a)

where :

Cohesive s o i l .

Kb = c o e f f i c i e n t of subgrade r e a c t i o n f o r foundation of width b

= c o e f f i c i e n t of subgrade r e a c t i o n f o r a 1' x 1' p l a t e

I f t h e loaded a r e a i s of width, b, and l e n g t h , mb, kh assumes t h e value:

I f a c t u a l p l a t e load tests on cohesive s o i l a r e not a v a i l a b l e , estimates of

K, can be made i n g e n e r a l accordance w i t h t h e recommendations i n Reference
12. I f a c t u a l p l a t e load t e s t s a r e not a v a i l a b l e use c o r r e l a t i o n f o r &,i n
Figure 6, DM-7.1, Chapter 5.
(b)

Granular s o i l .

( c ) Limitations. Values of Kb as determined f r a n extrapolat i o n of p l a t e bearing tests should be u t i l i z e d with judgement and care. Unl i k e t h e deformation i n f u l l s i z e mat t h e deformation from p l a t e load tests i s
not r e f l e c t i v e of t h e underlying deeper s t r a t a . Also r e s u l t s from p l a t e load
tests on s a t u r a t e d o r p a r t i a l l y s a t u r a t e d c l a y s may be u n r e l i a b l e because time
may not permit complete c o n s o l i d a t i o n of loaded clay.
( 2 ) An e s t i m a t e of Kb may be obtained by back c a l c u l a t i n g from a
s e t t l e m e n t a n a l y s i s . The s e t t l e m e n t of t h e m a t can be c a l c u l a t e d assuming a
uniform contact p r e s s u r e and u t i l i z i n g t h e methods o u t l i n e d i n DM-7.1, Chapter
5. The c o n t a c t p r e s s u r e i s then divided by t h e average .settlement t o o b t a i n
a n e s t i m a t e of Kb:
P

where

Allavg = average computed settlement of t h e m a t .

For a f l e x i b l e c i r c u l a r m a t r e s t i n g on a p e r f e c t l y e l a s t i c m a t e r i a l AHavg =
0.85 x s e t t l e m e n t a t t h e c e n t e r . For o t h e r shapes s e e DM-7.1, Chapter 5 ,
Table 1.
d. Numerical Methods. Methods of a n a l y s e s of mat foundation which aci n which t h e
count f o r t h e s t i f f n e s s of t h e s u p e r s t r u c t u r e and t h e foundatio;,
s o i l i s modelled a s an e l a s t i c h a l f space continuum u t i l i z i n g f i n i t e element
techniques a r e more a c c u r a t e . A v a r i e t y of s o i l c o n s t i t u t i v e r e l a t i o n s h i p s
such a s l i n e a r e l a s t i c , non-linear e l a s t i c , e l a s t o - p l a s t i c , e t c . can be u t i l i zed. F i n i t e element techniques a r e w e l l s u i t e d t o t h e s e problems.
See Append i x f o r l i s t i n g of computer programs.
S e c t i o n 5.

FOUNDATIONS 'ON ENGINEERED FILL

1.
UTILIZATION. F i l l s placed w i t h c o n t r o l l e d compaction may be used beneath
s t r u c t u r e s f o r t h e following purposes:
( a ) To r a i s e t h e g e n e r a l grade of t h e s t r u c t u r e o r t o r e p l a c e u n s u i t a b l e
foundation s o i l s .
( b ) To provide a r e l a t i v e l y s t i f f mat over s o f t s u b s o i l s i n o r d e r t o
spread bearing p r e s s u r e s from column l o a d s and decrease column s e t t l e m e n t s .
( c ) To bridge over s u b s o i l s with e r r a t i c hard and s o f t s p o t s o r s m a l l
cavities.
( d ) To a c c e l e r a t e s u b s o i l c o n s o l i d a t i o n and t o e l i m i n a t e a l l o r p a r t of
s e t t l e m e n t of t h e completed s t r u c t u r e when used with surcharge.
2.
COMPACTION CONTROL. R i g i d i t y , s t r e n g t h , and homogeneity of many n a t u r a l
s o i l s may be i n c r e a s e d by c o n t r o l l e d compaction w i t h a p p r o p r i a t e equipment. A
complete d i s c u s s i o n of compaction requirements and c o n t r o l i s presented i n
Chapter 2. Other methods of d e n s i f y i n g in-place s o i l s a r e given i n DM-7.3,
Chapter 2.
3.
GEOMETRIC LIMITS OF COMPACTION. The limits of t h e zone of compacted s o i l
beneath a f o o t i n g should consider t h e v e r t i c a l s t r e s s e s imposed by t h e f o o t i n g
( s t r e s s - b u l b ) on t h e s o i l s beneath i t . Recommended requirements f o r compact i o n beneath a square and a continuous f o o t i n g a r e i l l u s t r a t e d i n Figure 13.
For l a r g e f o o t i n g s , t h e necessary depth of compacted f i l l should be determined
from a s e t t l e m e n t a n a l y s i s .
Section 6.

FOUNDATIONS ON EXPANSIVE SOILS

1.
POTENTIAL EXPANSION CONDITIONS. S o i l s which undergo volume changes upon
wetting and drying a r e termed expansive o r swelling s o i l s . I f s u r f a c e c l a y s
above t h e water t a b l e have a P I g r e a t e r than about 22 (CH c l a y s ) and r e l a t i v e l y low n a t u r a l water c o n t e n t , p o t e n t i a l expansion must be considered. These
s o i l s a r e most commonly found i n a r i d climates with a d e f i c i e n c y of r a i n f a l l ,
over-evaporation, and where t h e groundwater t a b l e i s low. Mottled, f r a c t u r e d ,

CONTlNUOUS FOOT1NG

d = DEPTH TO ADEQUATE BEARING MATERIAL WHICHEVER IS LESS

d=LXb

SQUARE FOOTING

d = DEPTH TO ADEQUATE BEARING MATERIAL wHlcH~vER

d = I-V2 X b

ms

FIGURE 1 3
Limits of Compaction Beneath Square and Continuous Footings

o r s l i c k e n s i d e d c l a y s , showing evidence of p a s t d e s i c c a t i o n , a r e - p a r t i c u l a r l y
troublesome. For o t h e r causes of swelling i n s o i l s and f o r t h e computations
of r e s u l t i n g heave s e e DM-7.1, Chapter 5, and DM-7.3, Chapter 3 f o r f u r t h e r
guidance.
2.
ELIMINATING SOIL EXPANSION POTENTIAL. Where economically f e a s i b l e , r e move p o t e n t i a l l y expansive s o i l s from beneath f o o t i n g s and r e p l a c e w i t h comI f t h i s c a n n o t be
pacted f i l l of g r a n u l a r s o i l s o r nonexpansive m a t e r i a l s .
done, consider spread f o o t i n g s o r d r i l l e d and underreamed c a i s s o n s founded
below t h e zone of a c t i v e swelling. Design t h e s h a f t s of such f o u n d a t i o n s w i t h
s u f f i c i e n t r e i n f o r c i n g t o r e s i s t t e n s i l e f o r c e s a p p l i e d t o s h a f t by f r i c t i o n
o r adhesion i n t h e s w e l l i n g m a t e r i a l s . Reinforcing must be c a r r i e d i n t o t h e
b e l l e d s e c t i o n t o a p o i n t 4" above t h e base. A t any depth, t e n s i l e f o r c e s
exerted on a s h a f t equal c i r c u m f e r e n t i a l a r e a of t h e s h a f t times t h e d i f f e r ence between average s w e l l i n g p r e s s u r e above and below t h e p o i n t under
consideration.
Placing t h e base of foundation near t h e water t a b l e reduces heave damage
because of l i t t l e change i n moisture content. For c o n s t r u c t i o n t e c h n i q u e s i n
such s o i l s e e Figure 14 ( t o p and c e n t e r , Reference 13, S o i l Mechanics and
Foundation, by Parcher and Means), DM-7.3, Chapter 3, and Reference 14,
Design and Performance of Mat Foundation on Expansive Clay, by Lytton and
Woodburn.
Footing foundations can be s u c c e s s f u l i f s u f f i c i e n t dead load i s e x e r t e d
t o e l i m i n a t e heave completely o r reduce i t s i g n i f i c a n t l y i n c o n j u n c t i o n with a
See DM-7.1, Chaps t r u c t u r e r i g i d enough t o withstand s t r e s s due t o heaving.
t e r 5, and DM-7.3, Chapter 3 f o r methods of e s t i m a t i n g t h e magnitude of s w e l l .
3.
M I N I M I Z I N G EXPANSION EFFECTS. Where i t i s not economically f e a s i b l e t o
remove expansive m a t e r i a l s o r t o support foundations below depths of p o s s i b l e
expansion, t h e e f f e c t s can be miminized a s follows:
( a ) Where l a r g e s e a s o n a l changes i n s o i l moisture a r e r e s p o n s i b l e f o r
s w e l l i n g , schedule c o n s t r u c t i o n during o r immediately a f t e r a prolonged r a i n y
period when t h e r e w i l l be less p o t e n t i a l volume change i n t h e f u t u r e .
( b ) For c o n c r e t e f l o o r s l a b s placed d i r e c t l y on p o t e n t i a l l y e x p a n s i v e
c l a y s , provide expansion j o i n t s so t h e f l o o r can move f r e e l y from t h e s t r u c t u r a l frame.
( c ) For foundations on f i l l m a t e r i a l s c o n t a i n i n g p l a s t i c f i n e s and susc e p t i b l e t o swelling, p l a c e f i l l a t moisture c o n t e n t above optimum w i t h dens i t y no h i g h e r than r e q u i r e d f o r s t r e n g t h and r i g i d i t y .
Excessive compaction
w i l l r e s u l t i n g r e a t e r swelling.
( d ) Grade beams should c o n t a i n s u f f i c i e n t s t e e l reinforcement t o r e s i s t
t h e h o r i z o n t a l and v e r t i c a l t h r u s t of swelling s o i l s . I f p r a c t i c a l , p l a c e
compressible, j o i n t f i l l e r o r open blocks o r boxes beneath grade beams t o
minimize s w e l l i n g pressures.
( e ) Provide impervious b l a n k e t s and s u r f a c e grading around t h e foundat i o n s t o prevent i n f i l t r a t i o n of s u r f a c e water.

GRADE W POURED ON CAR-

FORMS

FIGURE 14
Construction Details for Swelling Soils

( f ) Locate water and drainage l i n e s so t h a t i f any leakage occurs, water

w i l l n o t be r e a d i l y a c c e s s i b l e t o foundation s o i l s thereby causing damage.

(g) Consider s t a b i l i z a t i o n of t h e foundation s o i l s and b a c k f i l l mater i a l s by l i m e and o t h e r agents.

For f u r t h e r guidance s e e Reference 15, Foundations on Expansive S o i l s , by
Chen, and DM-7.3, Chapter 3.

4.
COLLAPSING SOILS. Many c o l l a p s i n g s o i l s w i l l s l a k e upon immersion, b u t
t h i s i s not a d e f i n i t i v e i n d i c a t o r . D e f i n i t e i d e n t i f i c a t i o n r e q u i r e s a p a i r
of c o n s o l i d a t i o n t e s t s with and without s a t u r a t i o n , o r by p l a t e load tests
where water i s added with t h e p l a t e under s t r e s s . I n t h e c a s e of c o l l a p s i b l e
s o i l , t h e e-log p curve f o r t h e specimen, which was allowed t o come i n c o n t a c t
w i t h water, i s below t h a t of t h e d r y specimen. See DM-7.1, Chapter 3 f o r
t e s t i n g procedures.
( a ) I f p o s i t i v e measures a r e p r a c t i c a l f o r avoiding water f o u n d a t i o n cont a c t , t h e "dry" s t r e n g t h of s o i l can be used f o r d e s i g n purposes.
( b ) A l t e r n a t e l y , under some c o n d i t i o n s , p r e w e t t i n g of t h e s o i l is found
e f f e c t i v e i n reducing s e t t l e m e n t s . By t h i s process, t h e s o i l s t r u c t u r e b r e a k s
down r e s u l t i n g i n i t s d e n s i f i c a t i o n . This i n c r e a s e s i t s s t r e n g t h and reduces
t h e t o t a l and d i f f e r e n t i a l settlement. This method i s n o t very s u c c e s s f u l
e s p e c i a l l y where l i t t l e a d d i t i o n a l load i s a p p l i e d during wetting. F o r f u r t h e r guidance see DM-7.3, Chapter 3, and Reference 7.
S e c t i o n 7.

FOUNDATION WATERPROOFING

1.
APPLICATIONS. See Table 5 f o r g e n e r a l requirements f o r w a t e r p r o o f i n g ,
dampproofing, and waterstops. See References 16, 17, and 18; Foundation
Design, by Teng, NAVFAC TS-07110, Membrane Waterproofing, and NAVFAC TS-07160,
n
g
, i~
a
m
o
f-p
r
r e s p e c t i v e l y , f o r guidance. For basements below
ground, two g e n e r a l schemes a r e employed a s follows:
( a ) Where t h e permanent water t a b l e i s above t h e top of basement s l a b ,
provide p r e s s u r e r e s i s t a n t s l a b ( p r e s s u r e s l a b ) o r r e l i e v e u p l i f t p r e s s u r e s by
underdrainage ( r e l i e v e d s l a b ) .
( b ) Where t h e water t a b l e i s deep but i n f i l t r a t i o n of s u r f a c e w a t e r dampens b a c k f i l l surrounding basement, provide dampproof w a l l s and s l a b s ( s e e
Table 5, Damp proofing).
2.

PRESSURE AND RELIEVED SLABS.

a. P r e s s u r e Slabs.
I n g e n e r a l , t h e choice between p r e s s u r e o r r e l i e v e d
s l a b depends on o v e r a l l economy, maintenance, l a y o u t , and o p e r a t i o n , and must
be evaluated i n d i v i d u a l l y f o r each p r o j e c t .
For basements extending o n l y a
small depth below groundwater, a p r e s s u r e s l a b t o r e s i s t maximum p r o b a b l e
h y d r o s t a t i c u p l i f t u s u a l l y i s economical. Also, when t h e s o i l below w a t e r
l e v e l i s very pervious, an e x t e n s i v e and consequently v e r y c o s t l y d r a i n a g e
system may be necessary. See Case A, Figure 15. Drainage m a t e r i a l should be

TABLE 5
Requirements f o r Foundation Waterproofing and Dampproofing
Materials

Workmanship

Applicability

Remarks

Waterproofing
1.

Membrane

Bitumen: 1) ASTM D449,

Type [A] [B] [C] Asphalt,
ASTM D450, Type I1 Coaltar; 2) Bituminous p l a s t i c cement; F e d e r a l
S p e c i f i c a t i o n s SS-C-153,
Type I f o r a s p h a l t , Type
I1 f o r c o a l - t a r ; 3 ) F e l t
o r f a b r i c m a t e r i a l impregnated with a s p h a l t o r
c o a l - t a r as s p e c i f i e d i n
references cited i n text;
4)-for primer, p r o t e c t i v e
covering, prefabricated
laminated a s p h a l t waterproofing s e e references.

Before s t a r t i n g t h e work
i n s p e c t a l l s u r f a c e s t o be
waterproofed t o determine
t h a t they a r e i n s a t i s f a c t o r y condition.
Complete
c o n d u i t , p i p i n g , and o t h e r
r e q u i r e d rough-in.
Start
a f t e r a l l d e f e c t s and uns a t i s f a c t o r y conditions
have been c o r r e c t e d . Surf a c e s t o be t r e a t e d should
be c l e a n and d r y , smooth
and f r e e from d e l e t e r i o u s
and e x c e s s m a t e r i a l s and
p r o j e c t i o n s . Use priming
c o a t of c r e o s o t e and
a s p h a l t a t no l e s s t h a n
one g a l l o n p e r 100 sq f t
on s u r f a c e r e c e i v i n g
c o a l - t a r membrane waterproof i n g and a s p h a l t
membrane wa tser p r o o f i n g
r e s p e c t i v e l y . For membrane
application, use a t l e a s t
3 - p l y f o r dampproofing and
5-ply f o r h y d r o s t a t i c
p r e s s u r e . Apply membrane
u s i n g s h i n g l e method.
For
d e t a i l e d requirements s e e
references.

Vulnerable t o
Use on e x t e r i o r
wall surfaces,
damage. Hard t o
over roofs o r
l o c a t e and
r e p a i r damaged
underground
area.
structures, for
p a t c h i n g openings
through walls
formed f o r u t i l i ties o r struct u r a l members.
Method i s f r e quently u t i l i z e d ,
b u t c a r e f u l ins p e c t i o n and cont r o l is required
t o o b t a i n completely satisfactory application.

TABLE 5 (continued)
Requirements f o r Foundation Waterproofing and Dampproofing
2

Type
2.

Cement
plaster

Materials

Workmanship

Applicability

One p a r t P o r t l a n d cement,
no more than two p a r t s of
sand and no more than two
p a r t s of water.
Sand
should c o n t a i n no s i z e s
s m a l l e r t h a n No. 200
s i e v e and p r e f e r a b l y i s
w e l l graded between No.
100 and No. 8 s i e v e
s i z e s . Waterproofing
compounds a r e o p t i o n a l ,
except t h a t no s a l t s o r
deliquescent materials
a r e permitted.

A l l surfaces i n contact
with form s h a l l be ent i r e l y chipped away. Floor
c o n c r e t e s h a l l have rake
finish. A l l faces s h a l l
be r i n s e d thoroughly with
c l e a n water. Wall and
c e i l i n g c o a s t s h a l l be
applied i n 2 coats t h a t
t o g e t h e r t o t a l betwen 518
t o 314 i n c h i n thickness.
Floors t o have one c o a t of
1 inch thickness. A l l
s u r f a c e s a r e t o be f l o a t e d
w i t h wood f l o a t and hand
f i n i s h e d by s t e e l
troweling.

Used on exposed
i n t e r i o r surfaces
of w a l l s , f l o o r s
and o c c a s i o n a l l y
on c e i l i n g s where
the c e i l i n g is
exposed on t h e
outside to w a t e r
pressures.
Appropriate for
h i g h e s t type of
basement occupancy.
Care is
r e q u i r e d t o obt a i n a s e a l surrounding w a l l
openings f o r
u t i l i t i e s , etc.

Coating c o n s i s t i n g of
f i n e l y divided i r o n mixed
w i t h sand, cement, and
o x i d i z i n g agent.

Surfaces t o be thoroughly
cleaned and roughened.
Apply i n a t l e a s t f o u r
brush coats.

Used on basement
w a l l s below
ground a t damp o r '
wet l o c a t i o n s ,
below temporary
groundwater
l e v e l s , o r under
h y d r o s t a t i c heads
of only s e v e r a l

Remarks
Can r e s i s t high
hydrostatic
pressures
without i n j u r y .
E a s i l y inspected f o r imperf e c t i o n s and
can be e a s i l y
repaired.

Dampproof i n g

1.

Interior
faces

feet

Lower c o s t . I f
appearance of
interior
surfaces is
important,, u s e
cement p l a s t e r
waterproofing.
J

TABLE 5 (continued)
Requirements f o r Foundation Waterproofing and Dampproofing

.
Type
2.

Exterior
faces

Materials
Hot c o a l tar, s t r a i g h t
run, p i t c h , Type B
c o a t i n g , o r a s p h a l t Type
B mopping.
Built-up i n
successive coats t o a
minimum of 1/8 i n c h
thickness.

Wo rkmanship
Concrete and masonry
s u r f a c e s t o be d r y and
f r e e from d u s t , d i r t ,
grease, o i l , or other
c o a t i n g s before application. Use primary c o s t of
c r e o s o t e and a s p h a l t a t no
less t h a n one g a l l o n p e r
100 s q f t a s s u r f a c e
receiving coal-tar p i t c h
dampproofing and a s p h a l t
o r f i b r o u s a s p h a l t dampproofing, respectively.
E i t h e r t h e hot a p p l i c a t i o n
method using a s p h a l t o r
c o a l t a r bitumen o r t h e
c o a l a p p l i c a t i o n method
u s i n g f i b r o u s a s p h a l t may
be used. For f u r t h e r
d e t a i l s on a p p l i c a t i o n
method and p r o t e c t i v e
covering s e e r e f e r e n c e s .

Applicability
Used on basement
w a l l s below
ground a t damp
o r w e t locations,
below temporary
groundwater
l e v e l s , o r under
h y d r o s t a t i c heads
of only s e v e r a l
feet.

Remarks
Lower c o s t . I f
appearance of
i n t e r i o r surf a c e s i s import a n t , use cement p l a s t e r
water-proofing.

TYPE "A" SUMP

WATER PROOFING

GENERAL REQUIREMENTS :
I. SEE CHAPTER 6 DM-7.1 FOR REQUIREMENTS FOR FILTER IN DRAINAGE SYSTEM.
2. SEE TABLE 5 FOR REQUIREMENTS FOR CEMENT PLASTER WATERPROOFING (CWP) ,
AND DAMPPROOFING.
MATERIAL FOR UNDER -FLOOR DRAINAGE CWRSE SHALL CONSIST OF SOUND,CLEAN
GRAVEL OR CRUSHED ROCK, 3/4 IN. TO 2 IN. IN SUE.
I

RELIEVED SLAB

DAMPPROOFING

FILL

USE TYPE "A"

"c"SUMP

FOR PRESSURE RELIEVED

SLAB, PROVIDE PERIPHERAL
DRAIN AT BASE OF FOUNMTION
WALL. REPLACE CWP ON
FOUNDATION WALL WITH
DAMPPROOFING.

FIGURE 15
Typical Foundation Drainage and Waterproofing

a SEALED SITE

WPPROORNG

NOTE :IMPERVIOUS STRATUM OF

SMALL THICKNESS MAY NOT BE ABLE
TO WITHSTAND PRESSURE DOE
TO HIGH WATER TABLE OUTSIDE
THE FOUNWTION.

SOUND ROCK OR
THICK IMPERVIOUS STRATUM

TYPE"c" SUMP

IF SOUND ROCK OR IMPERVIOUS STRATUM

EXTENDING TO A GREAT DEPTH IS ENCOUNTERED
AT SHALUlW DEPTH B E W FOUNDATION,
CARRY OUTSIDE WALL AS CUTOFF. DISPENSE
WlTH WALL DRAIN AND REPLME CAP ON
ROOR SLAB WlTH WPPROOFING. ARRANGE
DISCHARGE FROM DRAINAGE SYSTEM lD
PREVENT AERATION OF DRAINAGE COURSE.

FIGURE 15 (continued)
Typical Foundation Drainage and Waterproofing

sound, c l e a n g r a v e l o r crushed s t o n e graded between 314 and 2 i n c h e s , comOpen

pacted by two o r t h r e e coverages of v i b r a t i n g base p l a t e compactor.
j o i n t d r a i n pipe should be added beneath s l a b s of l a r g e p l a n dimensions.
Provide water- s t o p s a t t h e c o n s t u c t i o n j o i n t s between p r e s s u r e s l a b and w a l l .
b. Relieved Slabs. For basements a t c o n s i d e r a b l e depth below groundwater l e v e l , i t i s u s u a l l y economical t o provide p r e s s u r e r e l i e f beneath t h e
foundation s l a b . See Cases B and C, Figure 15. I f pervious m a t e r i a l s of
g r e a t depth u n d e r l i e t h e foundation l e v e l , i n c l u d e a w a l l d r a i n and d r a i n a g e
course beneath t h e s l a b . See DM-7.1, Chapter 6 f o r f i l t e r requirements and
d r a i n spacing. I f foundation w a l l s can be c a r r i e d economically t o u n d e r l y i n g
sound impervious rock o r t h i c k impervious s t r a t u m , omit w a l l d r a i n s . Arrange
sumps f o r drainage d i s c h a r g e t o avoid a e r a t i n g drainage course.
3.
WATERPROOFING REQUIREMENTS. I n a d d i t i o n t o leakage under p r e s s u r e
through j o i n t s and c r a c k s , water may move through basement w a l l s and f l o o r s by
c a p i l l a r y a c t i o n and a s water vapor. A d r a i n a g e course can be used t o i n t e r r u p t c a p i l l a r y a c t i o n , but i t w i l l n o t prevent movement of water vapor through
s l a b s . P l a s t i c vapor b a r r i e r s a r e u s e f u l i n providing an e f f e c t i v e vapor barrier.
a. .Membrane Waterproofing and Dampproofing. Apply membrane ( s e e F i g u r e
15B) f o r basements u t i l i z e d f o r r o u t i n e purposes where appearances are unimp o r t a n t and some dampness i s t o l e r a b l e .
b. Cement P l a s t e r Waterproofing.
n e s s o r moisture i n a basement, s p e c i f y
ing of sand-cement mortar hand troweled
f a c e . Properly a p p l i e d , t h i s i s a very
moisture.
S e c t i o n 8.

Where i t i s important t o prevent dampcement p l a s t e r waterproofing, c o n s i s t on chipped and roughened c o n c r e t e s u r e f f e c t i v e method a g a i n s t dampness and

UPLIFT RESISTANCE

1.
ROCK FOUNDATION. Resistance t o d i r e c t u p l i f t of tower l e g s , guys, and
antennas, where t h e foundation i s r e s t i n g d i r e c t l y over rock, may be provided
by r e i n f o r c i n g bars grouted i n rock.
In t h e absence of p u l l o u t tests, d e t e r mine u p l i f t r e s i s t a n c e by e m p i r i c a l formulas of Figures 16 and 18. These
formulas apply t o bars i n f r a c t u r e d rock n e a r t h e rock s u r f a c e . Higher s h e a r
s t r e n g t h i s t o be expected i n sound, unweathered rock. To develop rock
s t r e n g t h , s u f f i c i e n t bond must be provided by grout surrounding t h e bar.
Bond
s t r e n g t h s may be i n c r e a s e by using washers, rock b o l t s , deformed b a r s , o r
splayed bar ends.
Guidance f o r design r u l e s is given i n DM-7.3, Chapter 3 and q u a l i t y c o n t r o l
a s s o c i a t e d w i t h p r e - s t r e s s e d , cement grouted rock anchors i s found i n
Reference 19, Rock Anchors - S t a t e of t h e A r t , by L i t t l e j o h n and Bruce.

2. SOIL FOUNDATION. For s u s t a i n e d u p l i f t on a f o o t i n g , see Table 2. Transi e n t u p l i f t from l i v e loads a p p l i e d t o f o o t i n g s , p i e r s , p o s t s o r anchors i s

PLAN
IN SQUARE ARRANGEMENT

SINGLE BAR ANCHORAGES

PA = ALLOWABLE ANCHOR PULL

D = EMBEDMENT DEPTH, MEASURED AS SHOWN
Call =ALLOWABLE ROCK SHEAR STRESS
fs = ALWWABLE BAR STRESS, 20 KSI

brqd =BOND STRESS ON BAR PERIMETER REQUIRED

TO DEVELOP Call
A

PA

' ( 2 . 1 ) ~ ~ ( ~ aAND
l l ) PA= A f S

BAR CROSS -SECTION AREA

brqd '

PA
BAR PERIMETER x D

SECTION
BAR GROUP ANCHORAGE
PT = ALLOWABLE ANCHOR PULL FOR GROUP OF BARS.
N '= NUMBER OF BARS IN SQUARE ARRANGEMENT
PT = 4.6D(B+0.58D) Call AND
PT = N A f s

pr

TESTS INDICATE THAT FOR BAR IN ORDINARY

FRACTURED ROCK NEAR THE SURFACE :
MINIMUM D(FT) =(1.25) fi (KIPS)
AT THlS DEPTH Call = 0.3 KSF AND SHOULD
NOT BE TAKEN GREATER THAN THlS VALUE
WITHOUT PULLOUT TESTS
SPACING OF BARS IN PLAN SHOULD EXCEED 1.20

TESlS INDICATE THAT FOR BAR GROUP IN ORDINARY

FRACTURED ROCK NEAR THE SURFACE :
MINIMUM D (FT)

EXAMPLE :
GIVEN : PA = 20K FOR I IN. SQUARE BAR
MINIMUM D = 1.25 -=
5.6 FT.

AT THlS DEPTH C g I l = 0.3 KSF AND SHOULD NOT

BE TAKEN GREATER THAN THlS VALUE WITHOUT
PULLOUT TESTS

BAR SPKING

= 1.2

(5.6

brqd

'

BAR PERIMETERX NO

1 = 6.7 FT.
EXAMPLE :
GIVEN PT =BOK,USE 4 1 IN SQUARE BARS
B =4.5FT
fs=20KSl
MIN. D: WITHOUT TESTS:

FIGURE 16
C a p a c i t y of Anchor Rods i n F r a c t u r e d Rock

WEDGE OF SOlL
ACTING r0 RESIST
ANGLE 8 = 30 FOR COHESIVE SOIL, 20FOR
GRANULAR SOIL.
WT = WEIGHT OF FOOTING P U S WEDGE OF SOlL
ACTING TO RESIST UPLIFT.

BE NO LESS THAN 1.5 WHERE TRANSIENT LOADS APPLY.

Ws = WEIGHT OF WEDGE OF SOILON SIDE OF FOOTING

TENDING TO MOVE UPWARD.
Wc = WEIGHT OF FOOTING.
ANALYSIS OF SIABlLlTY AND SOL PRESSURES
SAME AS IN FIGURE 15 CHAPI'ER 3.MAXIMUM SOlL
PRESSURE ON BASE OF RWTlNG IS OBTAINED
BY COMBINING WS,Wc APPLIED m D AND

REQUIRED SAFETY FACTOR AGAINST OVERTURNING

1.5, WHERE TRANSIENT W ARE APPLIED.

MOMENT IS RESISTED BY EM
PRESSURE ON
SIDES OF PIER OR ms.
FOR ANALYSIS OF STRESS OR DEFLECTION, SEE CASE I ,
FIGURE II CHAPTER 5.
ALLOWABLE MOMENT ORDINARILY IS LIMITED BY
THE TOLERABLE MOVEMENT OF THE FOUNWTION.

GUY FORCES

(SEE FIGURE 16)

IN SOlL
(SEE FIGURE I8 1

FIGURE 17
R e s i s t a n c e of Footings and Anchorages t o Combined T r a n s i e n t Loads

PIRESULTANT OF MAXIMUM GUY FORCES

Pv ,PH = COMPONENTS OF P
WT= WEiGHT OF BLOCK + SOIL ON BLOCK
we
ws
X, y , L = BLOCK DIMENSIONS

SURFACE3

7nmi~11
A

Y- UNIT WEIGHT OF SOIL, p c f

Ws= x - L . ~ - Y
Pp = TOTAL PASSIVE PRESSURE LBS/L.F.

+ =ANGLE OF INTERNAL FRICTION

C = COHESION, p s f

L=DIM.ITO P
J\NT

I. RESISTANCE TO VERTICAL FORCE

SAFETY FACTORS IN VERTICAL DIRECTION :

USE TOTAL UNIT WEIGHTS ABOVE WATER TA:LE3[2'
BUOYANT 11
" BELOW 18

l5

--WB t 1.0
pv

2. RESISTANCE .TO HORIZONTAL FORCE

SAFETY FACTOR. IN HORIZONTAL DIRECTION :

1.5

b. PASSIVE RESISTANCE CONSIDERED ON FACE OF

BLOCK (AREA y X L ) ONLY.

NOTES: BACKFILL SHALL BE COMPACTED AS SPECIFIED IN TABLE 4,CHAPTER

EXAMPLE :

VERT: WB (ABOVE ~ . ~ . ) ~ 6 ' ~ 8 ' ~ 3 ' ~ =1 52 10 ,p6 c0 0f ~

We (BELOW W.T.)=~'X
8 ' 2~ ' 875
~ p c f = 8,400

+=30; (2x0
WATER TABLE AT 5' DEPTH
~ ~ 4 ~ ,0= 2~7 ~;pH=
; 3oK

WB = 30,000
Ws = 10,500
WT ' 40,500*

w ~ = ~ ' x ~ '1 x1 ~0 ' ~x ~ t

F = l l O ~ c f , YB=60pcf
TRY BLOCK x ,y, L = 6: 5', 8'
h = 2', H z 7
KEEP PH AT 112 TO 213 BLOCK
DEPTH BY VARYING x AND y

w~ 4 0 . 5 ~
F'
-'Id

F~

CHECK)

WB zK=
%=
27

:.OK
P

VERT.

HORIZ: FROM FIG.3,CHAPT.3 WITH $J-30:P=0:~p=3.0

=3.0XllOX2= 6 6 0
nph=5=Kpyh' 3 . 0 X l l O X 5 = 1650
Uphz7 - 1 6 5 0 + 3 . 0 ~ 6 0 ~ 2 = 2 0 1 0
Pp=1/2.3(660+1650)L
P,

+ I / 2 - 2 ( 1650+2010)L

= 3 4 6 5 L + 3 6 6 0 L = 7125 x 8 = 57,000 P
i
.

--pp - 57K -

1.9 >1.5 S.F.

PH 3oK-

:. OK HORIZ.

MAKE ADDITIONAL TRIALS VARYING h ,x,y, L

FIGURE 18
Tower Guy Anchorage i n S o i l by C o n c r e t e Deadman

analyzed a s shown i n Figure 17. Tower guy anchorage i n s o i l i s a n a l y z e d i n

Figbre 18. For a deadman i n weak s o i l , i t may be f e a s i b l e t o r e p l a c e a cons i d e r a b l e volume of s o i l with g r a n u l a r b a c k f i l l and c o n s t r u c t t h e b l o c k withi n t h e new b a c k f i l l .
I f t h i s i s done, t h e p a s s i v e wedge should be c o n t a i n e d
e n t i r e l y within t h e g r a n u l a r f i l l , and t h e s t r e s s e s on t h e remaining weak
m a t e r i a l should be i n v e s t i g a t e d .
See Reference 6 f o r guidance.
3.
CORROSION. For temporary anchors minimal p r o t e c t i o n i s needed u n l e s s t h e
environments a r e such t h a t r a p i d d e t e r i o r a t i o n t a k e s place. Permanent anchor
b a r s a r e covered with grout.
I n c o r r o s i v e environments i t i s common p r a c t i c e
t o provide a d d i t i o n a l p r o t e c t i o n by c o a t i n g w i t h m a t e r i a l (epoxy, p o l y e s t e r
r e s i n ) with proven r e s i s t a n c e t o e x i s t i n g o r a n t i c i p a t e d c o r r o s i v e a g e n t s .
The c o a t i n g agent should not have any adverse e f f e c t on t h e bond.

4.
ROCK AND SOIL ANCHORS. When t h e load t o be r e s i s t e d i s l a r g e , w i r e
tendons which can a l s o be p r e s t r e s s e d t o reduce movements a r e employed.
Also, because of c o r r o s i o n s p e c i a l p r e c a u t i o n s may be necessary when permanent
anchors a r e provided i n marine environments. I n t h e a n a l y s i s of a n c h o r s , because of submergence, t h e bouyant u n i t weight of s o i l s should be used.
The
buildup of excess pore p r e s s u r e due t o r e p e t i t i v e l o a d s should a l s o b e evaluat e d i n t h e c a s e of g r a n u l a r s o i l s . For a d i s c u s s i o n of c y c l i c m o b i l i t y and
l i q u e f a c t i o n s e e DM-7.3, Chapter 1. For t h e d e s i g n of anchors s e e DM-7.3,
Chapter 3.

REFERENCES
1.

Meyerhof, G.G., Influence of Roughness of Base and Ground Water Condition on the Ultimate Bearing Capacity of Foundations, Geotechnique,
1955.

2.

Meyerhof, G.G., The Bearing Capacity of Foundations Under Eccentric and

Inclined Loads, Proceedings, Third International Conference on Soil
Mechanics and Foundation Engineering, Zurich, 1953.

3.

Meyerhof, G.G., The Ultimate Bearing Capacity of Foundations on Slopes,

Proceedings, Fourth International Conference on Soil Mechanics and
Foundation Engineering, London, 1957.

4. Button, S.F.,

The Bearing Capacity of Footings on a Two-Layer Cohesive

Subsoil, Proceedings, Third International Conference on Soil Mechanics
and Foundation Engineering, Zurich, 1953.

5.

Vesic, A.S., Bearing Capacity of Shallow Foundations, Foundation Engineering Handbook, Winterkorn and Fang, eds., Van Nostrand Reinhold
Company, New York, Chapter 3, 1975.

6.

Bowles, J.E., Foundation Analysis and Design, McGraw Hill Book Co., New
York, pp. 137-139, 1977

7.

Peck, R.B., Hanson, W.E. and Thornburn, T.H., Foundation Engineering,

2nd Edition, John Wiley & Sons, Inc., New York, 1974.

8.

Canadian Geotechnical Society, Shallow Foundations, Canadian Foundation Engineering Manual, Montreal, Canada, Part 2, 1978.

9.

CP2004, Sulphates in Soils and Groundwaters, Classification and

Recommendations, BRS Digest, No. 90, Second Series, London, England,
1972.

10.

Hetenyi, M., Beams on Elastic Foundation, University of Michigan Press,

Ann Arbor, MI, 1946.

11.

ACI Committee 436, Suggested Design Procedures for Combined Footings

and Mats, American Concrete Institute, 1966.

12.

Terzaghi, K., Evaluation of Coefficient of Subgrade Reaction,

Geotechnique, Vol. 5, No. 4, 1955.

13.

Parcher, J.V. and Means, R.E., Soil Mechanics and Foundations, Charles
E. Merril Publishing Company, Columbus, OH, 1968.

14.

Lytton, R.L. and Woodburn, J.A., Design and Performance of Mat Foundations on Expansive Clay, Proceedings ot the Third International Conference on Expansive Soils, 1973.

15.

Chen, F.H., Foundations on Expansive Soils, Footing Foundations,

Elsevier Scientific Publishing Co., New York, Chapter 5, 1975.

16.

Teng, W.C., Foundation Drainage and Waterproofing, Foundation Design,

Prentice Hall, Englewood Cliffs, NJ, Chapter 5, 1962.

17.

NAVFAC TS-07110, Membrane Waterproofing, Naval Facilities, Engineering

Command, Guide Specifications, 1979.

18.

NAVFAC TS-07160, Bituminous Dampproofing, Naval Facilities, Engineering

Command, Guide Specifications, 1978.

19.

Littlejohn, G.S. and Bruce, D.A., Rock Anchors-State of the Art, Foundation Publications Ltd., England, 1977.

Out of Datc

'

This Page Intentionally Left Blank

CHAPTBR

5.

S e c t i o n 1.

DEEP FOUNDATIONS

INTRODUCTION

1.
SCOPE. T h i s c h a p t e r p r e s e n t s i n f o r m a t i o n on t h e common t y p e s of deep
f o u n d a t i o n s , a n a l y s i s and d e s i g n p r o c e d u r e s , and i n s t a l l a t i o n p r o c e d u r e s .
Deep f o u n d a t i o n s , a s used i n t h i s c h a p t e r , r e f e r t o f o u n d a t i o n s which o b t a i n
s u p p o r t a t some d e p t h below t h e s t r u c t u r e , g e n e r a l l y w i t h a f o u n d a t i o n d e p t h
t o width r a t i o (D/B) exceeding f i v e . These i n c l u d e d r i v e n p i l e s , d r i l l e d
p i l e s , d r i l l e d p i e r s / c a i s s o n s , and f o u n d a t i o n s i n s t a l l e d i n open o r b r a c e d
e x c a v a t i o n s w e l l below t h e g e n e r a l s t r u c t u r e . Diaphragm w a l l s a r e d i s c u s s e d
i n DM-7.3, Chapter 3.
APPLICATION.
2.
including :

Deep f o u n d a t i o n s a r e used i n a v a r i e t y of a p p l i c a t i o n s

( a ) To t r a n s m i t l o a d s through a n upper weak a n d / o r c o m p r e s s i b l e s t r a t u m

t o u n d e r l y i n g competent zone.
( b ) To p r o v i d e s u p p o r t i n a r e a s where s h a l l o w f o u n d a t i o n s a r e i m p r a c t i c a l , such a s underwater, i n c l o s e p r o x i m i t y t o e x i s t i n g s t r u c t u r e s , and o t h e r
conditions.
( c ) To p r o v i d e u p l i f t r e s i s t a n c e a n d / o r l a t e r a l l o a d c a p a c i t y .
3.
RELATED CRITERIA.
For a d d i t i o n a l c r i t e r i a r e l a t i - n g t o t h e d e s i g n of deep
f o u n d a t i o n s and t h e s e l e c t i o n of d r i v i n g equipment and a p p a r a t u s , s e e t h e f o l lowing s o u r c e s :
Source

Subject

P i l e Driving Equipment...................................
NAVFAC DM-38
DM-2!
General C r i t e r i a f o r P i l i n g i n W a t e r f r o n t Construction....NAVFAC

4.

LOCAL PRACTICE. The c h o i c e of t h e t y p e of deep f o u n d a t i o n s u c h a s p i l e

t y p e ( s ) , p i l e d e s i g n c a p a c i t y , and i n s t a l l a t i o n p r o c e d u r e s i s h i g h l y dependent
on l o c a l e x p e r i e n c e and p r a c t i c e . A d e s i g n e n g i n e e r u n f a m i l i a r w i t h t h e s e
l o c a l p r a c t i c e s should c o n t a c t l o c a l b u i l d i n g l e n g i n e e r i n g d e p a r t m e n t s , l o c a l
foundation c o n t r a c t o r s , and/or l o c a l foundation consultants.

5.

INVESTIGATION PROGRAM.
d e s i g n of p i l e foundations.

Adequate s u b s u r f a c e e x p l o r a t i o n must p r e c e d e t h e
I n v e s t i g a t i o n s must i n c l u d e t h e f o l l o w i n g :

( a ) Geological s e c t i o n showing p a t t e r n of major s t r a t a and p r e s e n c e o f

p o s s i b l e o b s t r u c t i o n s , such a s b o u l d e r s , b u r i e d d e b r i s , e t c .
( b ) S u f f i c i e n t t e s t d a t a t o e s t i m a t e s t r e n g t h and c o m p r e s s i b i l i t y paramet e r s of major s t r a t a .
( c ) Determination of probable p i l e b e a r i n g s t r a t u m .
For . f i e l d e x p l o r a t i o n s and t e s t i n g r e q u i r e m e n t s , s e e DM-7.1,

Chapter 2.

6.
CONSTRUCTION INSPECTION. The performance of a deep f o u n d a t i o n i s h i g h l y
dependent on t h e i n s t a l l a t i o n p r o c e d u r e s , q u a l i t y of workmanship, and i n s t a l l a t i o n l d e s i g n changes made i n t h e f i e l d . Thus, i n s p e c t i o n of t h e deep found a t i o n i n s t a l l a t i o n by a g e o t e c h n i c a l e n g i n e e r normally s h o u l d be r e q u i r e d .
S e c t i o n 2.

FOUNDATION TYPES AND DESIGN CRITERIA

1.
COMMON TYPES. T a b l e s 1 and 2 summarize t h e t y p e s of deep f o u n d a t i o n s ,
f a b r i c a t e d from wood, s t e e l , o r c o n c r e t e , i n common usage i n t h e United
S t a t e s . Table 1 p r e s e n t s p i l e t y p e s and Table 2 p r e s e n t s excavated f o u n d a t i o n
General comments on a p p l i c a b i l i t y of
types including d r i l l e d piers/caissons.
t h e v a r i o u s foundation t y p e s a r e g i v e n i n Table 2, b u t l o c a l e x p e r i e n c e and
p r a c t i c e s , comparative c o s t s , and c o n s t r u c t i o n c o n s t r a i n t s should be reviewed
c a r e f u l l y f o r each s i t e .
a. Driven P i l e s .
These a r e p i l e s which a r e d r i v e n i n t o t h e ground and
Low d i s p l a c e m e n t
i n c l u d e b o t h low displacement and h i g h displacement p i l e s .
p i l e s i n c l u d e H and I s e c t i o n s t e e l p i l e s .
Open end p i l e s which do n o t form a
p l u g , j e t t e d p i l e s , and pre-bored d r i v e n p i l e s may f u n c t i o n as low d i s p l a c e ment p i l e s .
S o l i d s e c t i o n p i l e s , hollow s e c t i o n c l o s e d end p i l e s , and open
end p i l e s forming a s o i l p l u g f u n c t i o n a s h i g h displacement p i l e s . A l l t h e
p i l e types i n Table 1 except auger-placed p i l e s a r e d r i v e n p i l e s .
b. Excavated Foundations. These f o u n d a t i o n s i n c l u d e b o t h d r i l l e d p i l e s
and p i e r s and f o u n d a t i o n s c o n s t r u c t e d i n open o r braced e x c a v a t i o n s ( s e e
Reference 1, Foundation Design, by Teng). ' ~ r i l l e dp i l e s i n c l u d e auger-placed
p i l e s and d r i l l e d p i e r s / c a i s s o n s e i t h e r s t r a i g h t s h a f t o r b e l l e d .
2.
OTHER DEEP FOUNDATION TYPES.
Tables 1 and 2 i n c l u d e o n l y t h e most commonly used p i l e t y p e s and deep f o u n d a t i o n c o n s t r u c t i o n procedures.
New and
i n n o v a t i v e t y p e s a r e being developed c o n s t a n t l y , and each must be a p p r a i s e d on
i t s own m e r i t s .
a.
D r i l l e d - i n Tubular P i l e s . These c o n s i s t of heavy-gauge s t e e l t u b u l a r
p i l e c a p a b l e of being r o t a t e d i n t o t h e ground f o r s t r u c t u r e s u p p o r t . S o i l s i n
t h e tube may be removed and r e p l a c e d w i t h c o n c r e t e .
Used i n p e n e t r a t i o n of
s o i l c o n t a i n i n g b o u l d e r s and o b s t r u c t i o n s , o r d r i l l i n g of rock s o c k e t t o res i s t u p l i f t and l a t e r a l f o r c e s . S t e e l H-sections w i t h i n c o n c r e t e c o r e s a r e
used t o develop f u l l end b e a r i n g f o r h i g h load c a p a c i t y .
b. TPT (Tapered P i l e T i p ) P i l e s .
These c o n s i s t of a mandrel d r i v e corr u g a t e d s h e l l w i t h a n e n l a r g e d p r e c a s t c o n c r e t e base.
This t y p e of p i l e i s
u s u a l l y considered i n c o n d i t i o n s s u i t a b l e f o r p r e s s u r e i n j e c t e d f o o t i n g s .
The
p r i n c i p a l claimed advantage i s t.he avoidance of punching through a r e l a t i v e l y
t h i n b e a r i n g stratum.
c. I n t e r p i l e s . These c o n s i s t of an uncased c o n c r e t e p i l e , formed by a
mandrel d r i v e n s t e e l p l a t e . A s t e e l p i p e mandrel of smaller d i a m e t e r t h a n t h e
p l a t e i s used, and t h e void c r e a t e d by t h e d r i v e n p l a t e i s k e p t c o n t i n u o u s l y
f i l l e d with c o n c r e t e .
It i s claimed t h a t t h i s p i l e develops g r e a t e r s i d e
f r i c t i o n i n a g r a n u l a r s o i l t h a n d r i l l e d p i e r s and c o n v e n t i o n a l d r i v e n p i l e s .

TABLE 1
Design C r i t e r i a f o r Bearing P i l e s
L

PILE TYPE
CONSIDER FOR
LENGTH OF

TIMBER

STEEL

H SECTIONS

3 0 -60 FT

40 -100 FT

APPLICABLE
MATERIAL SPECIFICATIONS.

ASTM -025

ASTM -A36

MAXIMUM
STRESSES.

MEASURED AT MOST CRITICAL PDINT, 1200 PSI

FOR SOUTHERN PINE AND DOUGLAS FIR. SEE
U.S.D.A. WOOD HANDBOOK NO72 FOR STRESS
VALUES OF OTHER SPECIES.

12,000 PSI.

CONSIDER FOR
DESIGN LOADS
OF.

10-50 TONS

4 0 -120 TONS

DISADVANTAGES

DIFFICULT TO SPLICE.
VULNERABLE TO DAMAGE IN HARD DRIVING,
TIP MAY HAVE TO BE PROTECTED.
VULNERABLE TO DECAY UNLESS TREATED,
WHEN PILES ARE INTERMITTENTLY SUBMERGED.

VULNERABLE TO CORROSION WHERE EXPOSED

H P SECTION MAY BE DAMAGED OR DEFLECTEDBY
MAJOR OBSTRUCTIONS.

ADVANTAGES

COMPARATIVELY LOW INITIAL COST.

PERMANENTLY SUBMERGED PILES ARE
RESISTANT TO DECAY.
EASY TO HANDLE.

REMARKS

BEST SUITED FOR FRICTION PILE IN GRANULAR BEST SUITED FOR ENDBEARING ON ROCK.
MATERIAL.
REDUCE ALLOWABLE CAWCITY FOR CORROSIVE
LOCATIONS

EASY TO SPLICE.
AVAILABLE IN VARIOUS LENGTHS AND SIZES.
HIGH CAPACITY.
SMALL DISPLACEMENT.
ABLETOPENETRATETHROUGHLIGHT
OBSTRUCTIONS.
HARDER OBSTRUCTIONS MAY BE PENETRATED
WITH APPROPRIATE POINT PROTECTION
OR WHERE PENETRATIW OF SOFT ROCK IS
REQUIRED.

BUTT DIA 12" TO 22" @

CROSS SECTION

TYPICAL
ILLUSTRATIONS.
CROSS SECTION

TIF' D U 5" TO 9"

TABLE 1 (continued)
Design C r i t e r i a f o r Bearing P i l e s
-

PILE TYPE

PRECAST CONCRETE (INCLUDING PRESlESSED)

CAST-IN-PLACE CONCRETE (THIN SHELL

DRIVEN WITH MANDREL )

CONSIDER FOR
LENGTH OF

40-50 FT. FOR PRECAST

00 I00FT FOR PRESTRESSED.

10-120 FT BUT TYPICALLY IN THE

5 0 80 fl RANGE

APPLWLE
MATERAL SPECIFICATIONS.

ACI 318 FOR CONCRETE

ASfM AIS-FDR REINFORCING STEEL

ACI CODE 318 -FOR CONCRETE.

MAXIMUM
STRESSES.

FOR PRECAST-33% OF 28 DAY STRENGTH OF

CONCRETE.
FOR PRESTRESSED- Fc = 0.33 F;-0.27 F~
(WHERE: FplS THE EFFECTIVE PRESTRESS
STRESS ON THE GROSS SIXTION 1.

33OlO OF 28-DAY STRENGTH OF CONCRETE,WITH

INCREASE TO 40/o OF 28 DAY !XRENGTH.
PROVIDlNG :
(A) CASING IS A MINIMUM 14 GAUGE THICKNESS
( BICASING IS SEAMLESS OR WITH WELDED SEAMS
(C) RATIO OFSTEELYIELD STRENGTH TO CONCRETE 28 DAY STRENGTH S NOT LESS THAN 6.
(D)PILE M E T E R IS NOT GREATER THAN 17 .

SPEC1FICALLY DESIGNED FOR A WIDE

RANGE OF W.

SPECIFICALLY DESGNED FOR A WIDE

RANGE OF U D S

UNLESS PRESTRESSED,WLNERABLE TO HANDLING

RELATIVEW HIGH BREAK= RATE ESPOClAUY
WHEN PILES ARE TO BE SPLICED.
HIGH INITIAL COST.
CONSIDERABLE DISPLACEMENT
PRESTRESSED DIFFICULT TO SPLICE.

DlFFICULT RI SPLICE AFTER CONCRETING.

REDRIVING NOT RECOMMENDED.
THIN SHELL VULNERABLE DURING DRIVING TO
EXCESSIVE EARTH PRESSURE OR IMPACT,

MSADVANTmS

ADVANTAGES

HIGH LOAD CARIICITIES.

CORROSION RESISTANCE CAN BE ATTAINED.
HARD DRIVING POSSIBLE.

REMARKS

CYLINDER PILES IN WRTICULAR ARE SUITED FOR

BENDING RESISTANCE.
GNRAL W I N G RAWE IS 40-400 TONS.

CONSIDERABLE DISPLACEMENT.
INITIAL ECONOMY.
TAPERED SECTIONS PROVIDE HIGHER BEARING
RESISTANCE IN GRANULAR STRATUM CAN BE
INTERNALLY INSPECTEDAFTER DRIVING
RELATIVLY LESS WASTE STEEL MATERIAL.
CAN BE DESIGNEDAS END BEARING OR FRICTION
PILE,GENERALLY LOADED IN THE 40-IOOTON
RANGE.
BEST SUITED FOR MEDIUM UMD FRICTION PILES
IN GRANULAR MATERIALS.
--

- -

--- -.

12" TO 24" DIA

RADE

TYPICAL
I U U S r n

12" TO 24" DIA.

8" T O 18" DIA

t-3

NOTE REINFORCING
MAY BE PRE-STRESSED
12" TO 54" DIA.

BE OMITTED
TYPICAL CROSS SECTIONS

CROSS
SECTION

CORRUGATED S H E L L
THICKNESS 1 2 GA.
T O 2 0 GA.
SIDES STRAIGHT
OR TAPERED

TABLE 1 (continued)
Design C r i t e r i a f o r Bearing P i l e s
i

PILE TYPE
CONSIDER FOR
LENGTH OF

CAST-IN -PLACE CONCRETE PILES (SHELLS

DRIVEN WITHOUT MANDREL)

10 TO 60 FT

3 0 - 8 0 FT

ACI CODE 318

AC I CODE 318
APPLICABLE
MATERIAL SPECIFICATION.
MAXIMUM
STRESSES

PRESSURE INJECTED FOOTINGS

33 % OF 2 8 -DAY STRENGTH OF CONCRETE.

SIOOO PSI IN SHELL,MORE THAN 1/6 INCHTHICK.

5 0 -70 TONS.
CONSIDER FOR
DESIGN LQllDS
OF
DISADVANT#iES HARD lD SPLICE AFTER CONCRETING.
CONS1DERABLE DISPLACEMENT.
ADVANTXES

CAN BE REDRIVEN.

REMARKS

BEST SUITED FOR FRICTION PILES OF MEDIUM

LENGTH.

SHELL NOT EASlLY DAMAGED.

3S0/o OF 28-DAY STRENGTH OF CONCRETE.

91000PSI FOR PIPE SHELL IF THICKNESS GREATER
THAN 1/8 INCH

6 0 -120 lDNS.
BASE OF FOOTING CANNOT BE MADE INCLAY OR
WHEN HARD SPOTS (E.G.ROCK LEDGES) ARE
PRESENT IN SOIL PENETRATED. WHEN CLAY
LAYERS MUST BE PENETRATED TO REACH
SUITABLE MATERAL, SPECIAL PRECAUTIONS
ARE REQUIRED FOR SHAFTS IF IN GROUPS.
PROVIDES MEANS OF PLACING HIGH CAPACITY
FOOTINGS ON BEARING STRATUM WITHOUT
NECESSITY FOR EX-@VATION OR DEWAERIEI- HlGH BLOW ENERGY AVAILABLE FOR OVERCOMING
OBSTRUCTIONS.
GREAT UPLIFT RESISTANCE IF SUITABLY REINFORCED
BEST SUITED FOR GRANULAR SOILS WHERE
BEARING IS ACHIEVED THROUGH COMMTION
AROUND BASE.
MINIMUM SPACING 4'-6"ON CENTER.

12" TO 18" DIA.

17" TO

IYPICAL
I L W W r n S

12" TO

TYPICAL CROSS SECTION_

(FLUTED SHELL)

TYPICAL CROSS SECTION

(SPIRAL WELDnD SHELL)
UNCASED
SHAFT

CASED
SHAFT

TABLE 1 (continued)
Design Criteria f o r Bearing P i l e s

+
PILE TYPE

COMPOSITE PILES

CONCRETE FILLED STEEL PIPE PILES

CONSIDER FOR
LENGTH OF

40-120FT OR MORE

60 - 200 FT

APPLICABLE
MATERIAL SPECIFICATIONS.

ASTM A36 - FOR CORE.

ASTM A252- FOR PIPE.
ACI CODE 318- FOR CONCRETE.

MAXIMUM
STRESSES.

9,000 PSI FOR PIPE SHELL

33% OF 28-DAY STRENGTH OFCONCRETE.
12,000 PSI ON STEEL CORES OF
STRUCTURAL REINFORCING STEEL.

ACI CODE 318- FOR CONCRETE.

ASTM A36 - FOR STRUCTURAL SECTION.
ASTM A252-FOR STEEL R E .
ASTM D25 -FOR TIMBER.
33% OF 26-DAY STRENGTH OF WKRETE.
9,000 PSI FOR STRUCTURAL AND PIPESECTlONS.
SAME AS TIMBER PILES FOR WOOD WMPOSITE.

CONSlDER FOR
DESIGN LOAD
OF

8 0 - 120 TONS WITHOUT CORES.

500-1,500 TONS WITH CORES.

3 0 - 100 TONS.

DISADVANTAGES

HIGH INITIAL COST

DISPLACEMENT FOR CLOSED END PIPE.

DIFFICULT TO ATTAIN GOOD JOINT BETWEENtWO

MATERIALS EXCEPT FOR PIPE COMPOSITE PILE

ADVANTAGES

BEST CONTROL DURING INSTALLATION.

NO DISPLACEMENT FOR OPEN END INSTALLATION.
OPEN END PIPE BESTAGAINST OBSTRUCTIONS.
CAN BECLEANED OUT AND DRIVEN FURTHER.
HIGH LOAD CAWITIES.
EASY TO SPLICE.

COFtSlDERABLE LENGTH CAN BE PROVIDED AT

COMPARATIVELY U M COST. FOR W000 00kl#)6m
PILES. HlGH CAPACITY FOR PlPE AND HP
COMPOSITE PIUS. INTERNAL INSPECTION FOR
PIPE COMPOSITE PILES.

REMARKS

PROVIDES HIGH BENDING RESISTANCE WHERE

UNSUPPORTED LENGTH IS LOADED LATERALLY.

THE WEAKEST OF ANY MATERIALUSED SHALL

GWERN ALLOWABLE STRESSES AND CAMCITY.

-8" TO 36" DIA.

..

.. .-.

- --

TYPICAL COMBINATIONS

TYPICAL
ILLUSTRATlONS

OF PIPE PILE
WITH CORE
SOCKET REQ'D
FOR VERTICAL
E m CLOSURE
MAY BE OMITTED

TABLE 1 (continued)
Design C r i t e r i a f o r Bearing P i l e s
AUGER -PLACED, PRESSUREINJECTED CONCRETE PILES

PILE TYPE

CONSIDER FOR 3 0 - 6 0 FT
LENGTH OF
AC I 318
APPLICABLE
MATERIAL SPECIFICATIONS.

MAXIMUM
!TRESSES.

33% OF 28-DAY STRENGTH OF CONCRETE.

CONSIDER FOR
DESlGN LQLID
OF

35 -70 TONS

THAN AVERSE DEPENDENCE ON QUALITY

~ ~ A M Z K Z MORE
S
WOAKMANSHIP.
NOT SUITABLE THRU PEAT OR SIMILAR HIGHLY
COMPRESSIBLE MATERIAL.
REWIRES RELATIVELY MORE EXTENSIVE
SUBSURFACE INVESTIGATION.
AMIANTAGES

ECONOMY.
COMPLETE NONDISPLACEMENT.
MINIMAL DRIVING VIBRATION TO ENDANGER
ADJACENT STRUCTURES.
HIGH SKIN FRICTION.
0000 CONTAM ON ROCK FOR END BEARING.
CONVENIENT FOR U)W-HEADROOM UNDERPINNING WORK.
VISUAL INSPECTION OF AUGERED MATERIAL.
NO SPLICING REWIRED.

REMARKS

BEST SUITED AS A FRICTION PILE.

T Y P I C A L CROSS SECTION

TYPICAL
ILLUSTRPITIONS

+*y:;
;*.
F L U I D CONCRETE
CAUSES EXPANSION
OF P I L E D I A 3 T E H
I F h%AK S O I L ZONES.
S O I L IS COldPACTED
AND CONSOLIDATJD.

DRILLED PILES CAN BE PROPERLY

SEATED
F~RM
SUBSTRATA

GENERAL NOTES
I. STRESSES GIVEN FOR STEEL PILES ARE FOR
NONCORROSIVE LOCATIONS. FOR CORROSIVE
WTIONS,ESTIMATE POSSIBLE REDUCTION
IN STEEL CROSS SECTION OR PROVIDE
PROTECTION FROM CORROSION.
2. LENGTHS AND LOADS INDICATED ARE FOR
FEASlBlLlTY GUIDANCE WY.THEY
GENERALLY REPRESENT TYPICAL CURRENT
PRACTICE,GREATER LENGTHS ARE OFTEN
USED.
3. OESlGN LOAD CAPACITY SHOULD BE DETER MINED BY SOIL MECHANICS PRINCIPLES,
LIMITING STRESSES IN PILES,AND TYPE AND
NNCTlON OF STRUCTURE.SEE TEXT

TABLE 2
C h a r a c t e r i s t i c s of Common ExcavatedIDrilled Foundations

1.

PIERS ( a l s o c a l l e d S h a f t s )

a.

Formed by d r i l l i n g o r e x c a v a t i n g a
D e s c r i p t i o n and Procedures
h o l e , removing t h e s o i l , and f i l l i n g with concrete.
Casing may b e
necessary f o r s t a b i l i z a t i o n , and/or t o a l l o w f o r i n s p e c t i o n and may
o r may n o t be p u l l e d a s t h e c o n c r e t e i s poured. *Types i n c l u d e
s t r a i g h t s h a f t p i e r s and b e l l e d o r underreamed p i e r s .
Drilled
s h a f t diameters a r e t y p i c a l l y 18 t o 36 i n c h e s but can exceed 8 4
inches; b e l l e d diameters vary but a r e g e n e r a l l y n o t l a r g e r t h a n 3
t i m e s t h e diameter of t h e s h a f t . Excavated p i e r s can be l a r g e r
( s h a f t diameters exceeding 12 f e e t w i t h b e l l e d diameters exceeding
30 f e e t have been c o n s t r u c t e d ) . Lengths can exceed 200 f e e t .
P i e r s i z e depends on design load and allowable s o i l l o a d s .

b.

Advantages
b

Completely non-displacement.
Excavated m a t e r i a l can be examined and bearing s u r f a c e can be
v i s u a l l y i n s p e c t e d i n cased p i e r s exceeding 30 i n c h e s i n diameter
( o r s m a l l e r using TV cameras).
Applicable f o r a wide v a r i e t y of s o i l c o n d i t i o n s .
P i l e caps u s u a l l y not needed s i n c e most loads can be c a r r i e d on a
single pier.
No d r i v i n g v i b r a t i o n .
With b e l l i n g , l a r g e u p l i f t c a p a c i t i e s p o s s i b l e .
Design p i e r depths and diameters r e a d i l y modified based on f i e l d
conditions.
Can be d r i l l e d i n t o bedrock t o c a r r y very h i g h loads.

c.

Disadvantages
More than average dependence on q u a l i t y of workmanship; i n s p e c t i o n
required.
Danger of l i f t i n g c o n c r e t e when p u l l i n g c a s i n g can r e s u l t i n v o i d s
o r i n c l u s i o n s of s o i l i n concrete.
Loose granuLar s o i l s below t h e water t a b l e can cause c o n s t r u c t i o n
problems.

TABLE 2 ( c o n t i n u e d )
C h a r a c t e r i s t i c s of Common ~ x c a v a t e d / D r i l l e dFoundations
O

d.

B e l l u s u a l l y cannot be formed i n g r a n u l a r s o i l s below t h e w a t e r

table.
Small d i a m e t e r p i e r s ( l e s s t h a n 30 i n c h e s ) c a n n o t be e a s i l y
i n s p e c t e d t o confirm bearing and a r e p a r t i c u l a r l y s u s c e p t i b l e t o
necking problems.

Typical I l l u s t r a t i o n
CASING PULLED WRING

2.

INTERNALLY-BRACED COFFERDAM I N OPEN WATER

a.

D e s c r i p t i o n and Procedures
e x t e n d s below mudline.

(1)

Generally o n l y a p p l i c a b l e i f s t r u c t u r e

Cofferdam c o n s t r u c t e d and dewatered b e f o r e pouring of

foundation.
(a)

I n s t a l l cofferdam and i n i t i a l b r a c i n g below water i n

Cofferdam s h e e t i n g d r i v e n i n t o
e x i s t i n g r i v e r / s e a bottom.
bearing s t r a t a t o c o n t r o l underseepage.

(b)

Pump down water i n s i d e cofferdam.

(c)

Excavate t o bearing s t r a t u m completing b r a c i n g s y s t e m

d u r i n g excavation.

(d)

C o n s t r u c t f o u n d a t i o n w i t h i n completed and dewatered

cofferdam.

(e)

Guide p i l e s o r t e m p l a t e r e q u i r e d f o r d r i v i n g cofferdams.

(f)

Cofferdam designed f o r h i g h water, i c e f o r c e s , o r l o a d o f

f l o a t i n g debris.

(g)

C e l l u l a r w a l l o r double-wall cofferdams w i l l e l i m i n a t e o r
reduce r e q u i r e d b r a c i n g system.

TABLE 2 ( c o n t i n u e d )
C h a r a c t e r i s t i c s of Common ~ x c a v a t e d / D r i l l e dF o u n d a t i o n s

(2)

Cofferdam excavated m d e r w a t e r
(a)

I n s t a l l cofferdam and i n i t i a l t r a c i n g below water+ t o

e x i s t i n g r i v e r / s e a bottom.

(b)

Excavate underwater and p l a c e a d d i t i o n a l b r a c i n g t o

subgrade i n b e a r i n g s t r a t u m .

(c)

S e a l bottom with t r e m i e mat of s u f f i c i e n t weight t o

b a l a n c e expected h y d r o s t a t i c u p l i f t .

(d)

Pump o u t cofferdam and e r e c t remainder of f o u n d a t i o n

structure.

( e ) , ( f ) and ( g ) same a s dewatered cofferdam.

(h)

R e l i e f of w a t e r p r e s s u r e s below t r e m i e s l a b may be used t o

d e c r e a s e weight of tremie s l a b .

b.

Advantages
G e n e r a l l y more economical t h a n c a i s s o n s i f f o u n d a t i o n
i s i n l e s s t h a n 40 f e e t of water.

c.

Disadvantages

d.

Typical I l l u s t r a t i o n

Requires complete dewatering o r t r e m i e mqt.

COFFERDAM EXCAVATED IN DRY

COFFERDAM EXCAVATED UNDER WATER

TABLE 2 ( c o n t i n u e d )
C h a r a c t e r i s t i c s of Common E x c a v a t e d l D r i l l e d F o u n d a t i o n s

3.

OPEN CAISSON
a.

D e s c r i p t i o n and Procedure - An open box o r c i r c u l a r s e c t i o n w i t h a

The c a i s s o n i s sunk i n t o p l a c e
c u t t i n g shoe on i t s lower edge.
under i t s own weight by removal of t h e s o i l i n s i d e t h e c a i s s o n ,
j e t t i n g on t h e o u t s i d e w a l l i s o f t e n used t o f a c i l i t a t e t h e p r o c e s s .

(1)

C a i s s o n s should be c o n s i d e r e d when one o r more of t h e f o l l o w i n g

conditions exist :
(a)

A s u b s t r u c t u r e i s r e q u i r e d t o extend t o o r below t h e
r i v e r / s e a bed.

(b)

The s o i l c o n t a i n s l a r g e b o u l d e r s which o b s t r u c t
p e n e t r a t i o n of p i l e s o r d r i l l e d p i e r s .

(c)

The f o u n d a t i o n i s s u b j e c t t o v e r y l a r g e l a t e r a l f o r c e s .

I f t h e s e c o n d i t i o n s do n o t e x i s t t h e u s e of a c a i s s o n i s n o t
w a r r a n t e d because i t i s g e n e r a l l y more e x p e n s i v e t h a n o t h e r t y p e s of
deep f o u n d a t i o n s . I n open w a t e r , i f t h e b e a r i n g s t r a t u m i s l e s s
t h a n about 40 f e e t below t h e w a t e r s u r f a c e , a s p r e a d f o o t i n g
f o u n d a t i o n c o n s t r u c t e d w i t h i n cofferdams i s g e n e r a l l y l e s s
expensive.
(2)

General method of c o n s t r u c t i o n i n c l u d e s :
(a)

Float caisson s h e l l i n t o position.

(b)

B u i l d up s h e l l i n v e r t i c a l l i f t s and p l a c e f i l l w i t h i n
s h e l l u n t i l i t s e t t l e s t o s e a bottom.

(c)

Continue buildup and e x c a v a t e by d r e d g i n g w i t h i n c a i s s o n

s o a s t o s i n k i t through u n s u i t a b l e upper, s t r a t a .

(d)

Upon r e a c h i n g f i n a l e l e v a t i o n i n b e a r i n g s t r a t u m , pour
t r e m i e base.

(e)

Provide anchorage o r g u i d e s f o r c a i s s o n s h e l l d u r i n g
sinking.

(f)

F l o a t i n g and s i n k i n g o p e r a t i o n s c a n be f a c i l i t a t e d by t h e
u s e of f a l s e bottoms o r temporary domes.

(g)

Dredging o p e r a t i o n s may be a s s i s t e d by t h e u s e of jets o r

airlifts.

I
I

TABLE 2 ( c o n t i n u e d )
C h a r a c t e r i s.*t J c s of Common ~ x c a v a t e d l ~ r i l l eFdo u n d a t i o n s

Generally a p p r o p r i a t e f o r d e p t h s exceeding 50 t o 60 f e e t and

when f i n a l subgrade i n t h e b e a r i n g s t r a t u m i s n o t t h r e a t e n e d by
u p l i f t from u n d e r l y i n g p e r v i o u s s t r a t a .

b.

Advantages

c.

Disadvantages

F e a s i b i l i t y of extending t o g r e a t d e p t h s .

Bottom of t h e c a i s s o n cannot be t h o r o u g h l y c l e a n e d and i n s p e c t e d .

Concrete s e a l placed i n water i s n o t a s s a t i s f a c t o r y a s placed i n
t h e dry.
S o i l d i r e c t l y under t h e haunched p o r t i o n n e a r t h e c u t t i n g edges
may r e q u i r e hand e x c a v a t i o n by d i v e r .
C o n s t r u c t i o n i s slowed down i f o b s t r u c t i o n of b o u l d e r s o r l o g s i s
encountered.
d.

Typical I l l u s t r a t i o n

WATER LEVEL

SHAFTS FOR
ANDCONSTRU

TREMIE

CIRCULAR TYPE

BOX TYPE

CROSS SECTIOP

4.

PNEUMATIC CAISSON
a.

S i m i l a r t o a n open c a i s s o n b u t t h e box
D e s c r i p t i o n and Procedure
i s c l o s e d and compressed a i r i s used t o keep water and mud from
flowing i n t o t h e box.
Because of h i g h c o s t s , i t i s g e n e r a l l y o n l y
used on l a r g e p r o j e c t s where an a c c e p t a b l e b e a r i n g s t r a t u m cannot b e
reached by open c a i s s o n methods because of e x c e s s i v e d e p t h of water.

(1)

G e n e r a l l y r e q u i r e d f o r s i n k i n g t o g r e a t d e p t h s where i n f l o w of
m a t e r i a l during e x c a v a t i o n can be damaging t o s u r r o u n d i n g a r e a s
a n d / o r where u p l i f t i s a t h r e a t from u n d e r l y i n g p e r v i o u s
strata.

TABLE 2 (continued)
C h a r a c t e r i s t i c s of Common ExcavatedIDrilled foundation^
(2)

General method of c o n s t r u c t i o n i n c l u d e s :
( a ) Float caisson i n t o position.
( b ) Build up on t o p of c a i s s o n i n v e r t i c a l l i f t s u n t i l t h e
s t r u c t u r e s e t t l e s t o s e a bottom.
( c ) Continue buildup and excavate beneath t h e c a i s s o n , u s i n g
compressed a i r when passing through u n s t a b l e s t r a t a .
( d ) Pour c o n c r e t e base i n t h e dry upon r e a c h i n g f i n a l p o s i t i o ~
i n t h e bearing stratum.
( e ) Provide anchorage o r guides f o r c a i s s o n during s i n k i n g .
For excavation i n t h e d r y , a i r p r e s s u r e i s g e n e r a l l y made
equal t o t o t a l head of water above bottom of caisson.

b.

Advantages
A l l work i s done i n t h e dry; t h e r e f o r e , c o n t r o l s over t h e
foundation p r e p a r a t i o n and m a t e r i a l s a r e b e t t e r .
Plumbness of t h e c a i s s o n i s e a s i e r t o c o n t r o l a s compared w i t h thc
open caisson.
O b s t r u c t i o n from boulders o r l o g s can be r e a d i l y removed.
Excavation by b l a s t i n g may be done i f necessary.

c.

Disadvantages
The c o n s t r u c t i o n c o s t i s h i g h due t o t h e u s e of compressed a i r .
The depth of p e n e t r a t i o n below water i s l i m i t e d t o about 120 f e e t
(50 p s i ) . Higher p r e s s u r e s a r e beyond t h e endurance of t h e human
body.
Use of compressed a i r r e s t r i c t s allowable working hours p e r man
and r e q u i r e s s t r i c t s a f e t y precautions.

d.

Typical I l l u s t r a t i o n
n A I R SHAFTS

WATER LEVEL?

y A l R LOCK

SEA BOT
BEARING

,COMPRESSED AIR
I N WORKING
CHAMBER UP TO

TABLE 2 ( c o n t i n u e d )
C h a r a c t e r i s t i c s of Common ~ x c a v a t e d / D r i l l e dF o u n d a t i o n s

5.

BOX CATSSON ( F l o a t i n g C a i s s o n )
E s s e n t i a l l y a cast-on-land
a.
D e s c r i p t i o n and Procedure
f o u n d a t i o n sunk i n t o p o s i t i o n by b a c k f i l l i n g .

floating

(1)

Used p r i m a r i l y f o r w h a r f s , p i e r s , bulkheads, and b r e a k w a t e r s i n

water n o t more t h a n 40 f e e t deep.

(2)

General c o n s t r u c t i o n method i n c l u d e s :
( a ) P r e p a r e subgrade a t s e a bottom by d r e d g i n g , f i l l i n g , o r
combination of dredging and f i l l i n g .
(b) Float caisson i n t o position.
( c ) S i n k c a i s s o n t o prepared f o u n d a t i o n a t t h e s e a bottom by
u s e of b a l l a s t .
( d ) Provide anchorage o r g u i d e s t o p r o t e c t f l o a t i n g c a i s s o n
a g a i n s t water currents.
( e ) B a c k f i l l f o r s u i t a b l e f o u n d a t i o n should be c l e a n g r a n u l a r
m a t e r i a l and may r e q u i r e compaction i n p l a c e under water.

b.

Advantages
The c o n s t r u c t i o n c o s t i s r e l a t i v e l y low.
B e n e f i t from p r e c a s t i n g c o n s t r u c t i o n .

c.

No dewatering necessary.
Disadvantages
The ground must be l e v e l o r excavated t o a l e v e l s u r f a c e .

Use i s l i m i t e d t o only t h o s e c o n d i t i o n s where b e a r i n g s t r a t u m i s

c l o s e t o ground s u r f a c e .
P r o v i s i o n s must be made t o p r o t e c t a g a i n s t undermining by scour.
The b e a r i n g s t r a t u m must be a d e q u a t e l y compacted t o a v o i d a d v e r s e
settlements.

d.

Typical I l l u s t r a t i o n

d. E a r t h S t a b i l i z a t i o n Columns. Many methods a r e a v a i l a b l e f o r f o r m i n g

compression r e i n f o r c e m e n t elements ( s e e DM-7.3, Chapter 2 ) i n c l u d i n g :
(1)
lime p i l e .

Mixed-In-Place

Piles.

A mixed-in-place

soil-cement o r s o i l -

( 2 ) Vibro-Replacement Stone Columns. A v i b r o f l o t o r o t h e r d e v i c e i s

used t o make a c y l i n d r i c a l , v e r t i c a l h o l e which i s f i l l e d w i t h compacted
g r a v e l o r crushed rock.
( 3 ) Grouted Stone Columns. This i s s i m i l a r t o t h e above b u t i n c l u d e s f i l l i n g v o i d s w i t h bentonite-cement o r water-sand-bentonite cement
mixtures.
( 4 ) Concrete Vibro Columns.
i n t r o d u c e d i n s t e a d of g r a v e l .
S e c t i o n 3.

S i m i l a r t o s t o n e columns b u t c o n c r e t e

BEARING CAPACITY AND SETTLEMENT

1.
DESIGN PROCEDURES. The d e s i g n of a deep f o u n d a t i o n system s h o u l d i n clude t h e following s t e p s :
( 1 ) Evaluate the subsurface conditions.
( 2 ) Review t h e f o u n d a t i o n requirements i n c l u d i n g d e s i g n l o a d s and
allowable settlement o r deflection.
(3)

valuate t h e a n t i c i p a t e d c o n s t r u c t i o n c o n d i t i o n s and p r o c e d u r e s .

( 4 ) I n c o r p o r a t e l o c a l e x p e r i e n c e and p r a c t i c e s .

(5) S e l e c t a p p r o p r i a t e f o u n d a t i o n t y p e ( s ) based on t h e above i t e m s ,

c o s t s , and comments on T a b l e s 1 and 2.
( 6 ) Determine t h e a l l o w a b l e a x i a l f o u n d a t i o n d e s i g n l o a d s based on a n
e v a l u a t i o n of u l t i m a t e f o u n d a t i o n c a p a c i t y i n c l u d i n g r e d u c t i o n s f o r group
a c t i o n o r downdrag i f a p p l i c a b l e , a n t i c i p a t e d s e t t l e m e n t and l o c a l r e q u i r e ments and p r a c t i c e s .
The a x i a l l o a d c a p a c i t y of deep f o u n d a t i o n s i s a f u n c t i o n of t h e
s t r u c t u r a l c a p a c i t y of t h e l o a d c a r r y i n g member ( w i t h a p p r o p r i a t e r e d u c t i o n
f o r column a c t i o n ) and t h e s o i l l o a d c a r r y i n g c a p a c i t y .
Usually, t h e l a t t e r
The methods a v a i l a b l e f o r e v a l u a t i n g t h e u l t i c o n s i d e r a t i o n c o n t r o l s design.
mate a x i a l l o a d c a p a c i t y a r e l i s t e d below.
Some o r a l l of t h e s e should b e
considered by t h e d e s i g n e n g i n e e r a s a p p r o p r i a t e .
(a) S t a t i c analysis u t i l i z i n g s o i l strength.
( b ) Empirical a n a l y s i s u t i l i z i n g standard f i e l d s o i l t e s t s .
( c ) B u i l d i n g code requirements and l o c a l experience.

(d) Full-scale load t e s t s .

( e ) Dynamic d r i v i n g r e s i s t a n c e .
( 7 ) Determine d e s i g n and c o n s t r u c t i o n r e q u i r e m e n t s , and i n c o r p o r a t e t h e
requirements i n t o c o n s t r u c t i o n s p e c i f i c a t i o n s .
I n s p e c t i o n of f o u n d a t i o n c o n s t r u c t i o n should be c o n s i d e r e d a n i n t e g r a l
The
p a r t of t h e d e s i g n procedures. Perform a p i l e t e s t program as r e q u i r e d .
p i l e t e s t can a l s o be used a s a d e s i g n t o o l i n i t e m ( 6 ) .
2.

BEARING CAPACITY OF SINGLE PILE

a. Allowable S t r e s s e s .
See Table 1 f o r a l l o w a b l e s t r e s s e s w i t h i n t h e
p i l e and q u a l i t y requirements f o r p i l e m a t e r i a l s . Allowable s t r e s s e s should
be reduced f o r column a c t i o n where- t h e p i l e e x t e n d s above f i r m ground, i.e.
through water and v e r y s o f t bottom sediments.
b. S o i l Support. The s o i l must be c a p a b l e of s u p p o r t i n g t h e element
when i t i s i n compression, t e n s i o n , and s u b j e c t t o l a t e r a l f o r c e s .
The s o i l
s u p p o r t can be computed from s o i l s t r e n g t h d a t a , determined by l o a d t e s t s ,
These d e t e r m i n a t i o n s s h o u l d i n c l u d e
and/or e s t i m a t e d from d r i v i n g r e s i s t a n c e .
t h e following stages:
( 1 ) Design Stage. Compute r e q u i r e d p i l e l e n g t h s from s o i l s t r e n g t h
d a t a t o determine bidding l e n g t h and p i l e type.
( 2 ) E a r l y i n C o n s t r u c t i o n Stage.
Drive test p i l e s a t s e l e c t e d l o c a tions.
For s m a l l p r o j e c t s where performance of nearby p i l e f o u n d a t i o n s i s
known, base d e s i g n l e n g t h and l o a d c a p a c i t y on knowledge of t h e s o i l p r o f i l e ,
nearby p i l e performance, and d r i v i n g r e s i s t a n c e of t e s t p i l e s .
On l a r g e proj e c t s where l i t t l e e x p e r i e n c e i s a v a i l a b l e , perform l o a d t e s t s on s e l e c t e d
p i l e s and i n t e r p r e t t h e r e s u l t s a s shown i n F i g u r e 7.

( 3 ) Throughout C o n s t r u c t i o n Stage. Record d r i v i n g r e s i s t a n c e of a l l

p i l e s f o r comparison w i t h t e s t p i l e s and t o i n s u r e a g a i n s t l o c a l weak subsurf a c e formations. Record a l s o t h e type and c o n d i t i o n of c u s h i o n i n g m a t e r i a l
used i n t h e p i l e hammer.
c. T h e o r e t i c a l Load Capacity.
See F i g u r e 1 f o r a n a l y s i s of u l t i m a t e
l o a d c a r r y i n g c a p a c i t y of s i n g l e p i l e s i n homogeneous g r a n u l a r s o i l s ; f o r p i l e
i n homogeneous c o h e s i v e s o i l s e e F i g u r e 2 (upper p a n e l r i g h t , Reference 2,
The Bearing Capacity of Clays, by Skempton; remainder of f i g u r e , Reference 3,
The Adhesion of P i l e s Driven i n Clay S o i l s , by Tomlinson).
( 1 ) Compression Load Capacity. Compression l o a d c a p a c i t y e q u a l s
end-bearing c a p a c i t y , p l u s f r i c t i o n a l c a p a c i t y on p e r i m e t e r s u r f a c e .
( 2 ) P u l l o u t Capacity. P u l l o u t c a p a c i t y e q u a l s t h e f r i c t i o n a l f o r c e
on t h e p e r i m e t e r s u r f a c e of t h e p i l e o r p i e r .

"'.
\' \

Y3 BEARING STRATUM
I,
C

7P B

PRESSURE DIAGRAM
K H c P ~ AND K H ~ P o

( A) ULTIMATE LOAD CAPACITY IN COMPRESSION

Quit = PT Nq AT

H=HotD
(KHcXP~TAN8 ) ( ~ )
H = HO

+C

WHERE

Quit 'ULTIMATE LOAD CAPACITY IN COMPRESSDN

PT = EFFECTIVE VERTICAL STRESS AT PlLE TIP (SEE NOTE I )
Nq = BEARING CAPACITY FKTOR (SEE TABLE, FIGURE I CONTINUED )
AT = AREA OF PlLE TIP
KHC= RATIO OF HORIZNTAL TO VERTICAL EFFECTIVE STRESS ON SIDE OF ELEMENT WHEN
ELEMENT IS IN COMPRESSION.
Po = EFFECTIVE VERTICAL STRESS OVER LENGTH OF EMBEDMENT, D (SEE NOTE I)
8 = FRICTION ANGLE BETWEEN PILE AND SOIL (SEE TABLE, FIGURE ICONTINUED)
S = SURFACE AREA OF PlLE PER UNIT LENGTH
FOR CALCULATING Qall ,USE FS OF 2 FOR TEMPORARY LOADS, 3 FOR PERMANENT WDS.(SEE NOTE 2)
(8) ULTIMATE LOAD CAPACITY IN TENSION
H=Ho+D
Tult'

C
H=Ho

(KH~)(P0)(TAN8) (s)(H)

WHERE: Tult = ULTIMATE LOAD CAPACITY IN TENSION, PULLOUT

KHT = RATIO OF HORIZONTAL TO VERTICAL EFFECTIVE STRESS ON SlDE OF ELEMENT WHEN ELEMENT
IS IN TENSION

V+wp

USE FS = 3 ONTul+ PLUS THE WEIGHT OFTHE PIG (Wp),THUS Tall =

(SEE NOTE 2
NOTE-I :EXPERIMENTAL AND FIEU) EVIDENCE INDICATE THAT BEARING PRESSURE AND SKIN FRICTION INCREASE
WITH VERTICAL EFFECTIVE STRESS Po UPTO A LIMITING DEPTH WEMBEDMENT, DEPENDING ON
THE RELATIVE DENSITY OFTHE GRANULAR SOIL AND POSITION OF THE WATER TABLE. BEYOND THIS
LIMITING DEPTH ( IOB k TO 4 0 8 ) THERE IS VERY LITTLE INCREASEIN END BEARING, AND INCREASE
IN SlDE FRICTION IS DIRECTLY PROPORTIONALTOM E SURFACE AREAOF THE PILE. THEREFORE,IF
D IS GREATER THAN 20 9, Ll MlT Po AT THE PlLE TIP TO THAT VALUE CORRESPONDING TO D = 209.
NOTE.2: IF BUILDING LOADS AND SUBSURFACE CONDITION ARE WELL DOCUMENTED IN THE OPINION OF THE ENGINEER, A
LESSER FACTOR OF SAFETY CAN BE USED BUT NOT LESS THAN 2.0 PROVIDED PlLE CAPACITY IS MRlFlED BY
LOAD TEST AND SETTLEMENTS ARE ACCEPTABLE.
FOR CALCULATING Tall

FIGURE 1
Load Carrying Capacity of S i n g l e P i l e i n Granular S o i l s

BEARING CAPACITY FACTORS - Nq

>

di*

26

Nq
(DRIVENP~~E 10
DISPLKEMENT)

**

Nq
(DRILLED
PIERS)

28 30 31 32 33

34

35

36

37

39

38

40

15

21

29 35

42

50

62

n as

146

I0

I2

14 17

21

25

30

38

60

72

43

EARTH PRESSURE COEFFICIENTS KHC AND KHT

J

PILE TYPE

K HT

KHC

DRIVEN SINGLE H -PILE

0.5

- 1.0

0.3

- 0.5

DRIVEN SINGLE DISPLACEMENT

PlLE

1.0

- 1.5

0.6

- 1.0

DRIVEN SINGLE DISPLACEMENT

TAPERED PlLE

1.5

2.0

1.0

DRIVEN JETTED PILE

0.4

0.9

0.3

- 0.6

1.3

DRILLED PILE (LESS THAN

24" DIAMETER)

FRICTION ANGLE

-8

>

PILE TYPE

STEEL

20

CONCRETE

3wj

TIMBER

v4

*
**

0.4

0.7

UMlT
TO 28' IF JETTING IS USED
(A) IN CASE A BAILER OR GRAB BUCKET IS USED BELOW GROUNDWATERTABLE,CALCULATE END
BEARING BASED ON NOT EXCEEDING 28'.
(0) FOR PIERS GREATER THAN 24-INCH DIAMETER,SETTLEMENT RATHER THAN BEARING CAPACITY
USUALLY CONTROLS THE DESIGN. FOR ESTIMATING SETTLEMENT, TAKE 50% OF THE SETTLEMENT
FOR AN EQUIVALENT FOOTING RESTING ON THE SURFACE OF COMPARABLE GRANULAR SOILS.
(CHAPTER 5 ,DM -7. I).

.-

FIGURE 1 (continued)
Load Carrying Capacity of Single P i l e i n Granular S o i l s

BEARING STRATUM
165 PCF
DENSE SAND ,

EFFECTIVE VERTICAL STRESS, Po, FOR

PILE DESIGN
FOR A DIAMETER CLOSED END, DRIVEN P I E PILE, CONCRETE FILLED, FIND Qdl
A =FOOT LONG PILE.
Po MAX OCCURS AT 208, OR 20' INTO BEARING STRATUM.
30, Nq = 21
KHC=1.5,8 = 20
KHT = 10
.
AT = r X 0.5?=0.78 SF
CIRCUM. AREA/If = IX r =3.14SF/If

AND Tal

FOR

+=

Quit

'1.535 ~ 2 x0.78+
1

( 1.5 X(0'235;1.535

) x TAN 20 ~20x314)t (1.5 xL535xTAN 20 x 5~3.14)

~68.64K
FOR Fs =3,0qll
TUlt = 1.0 x ( 0'235

=2

68 64
3

= 22.9 K

) x TAN 20x20~314 1.0 x 1.535 xTAN 20x 5 x 3.14

FIGURE 1 ( c o n t i n u e d )
Load Carrying Capacity of S i n g l e P i l e i n Granular S o i l s

1.25

Y .n
4

.SO

.25

500

1000 I500 2000

COHESION C, PSF

2500

JOOO

I
I1
I

POSITION OF GROUND

ONLY. PILE WEIGHT IS

BALANCED BY WEIGHT
OF OVERBURDEN AND
IS NOT CONSIDERED.

(Nee)

PILE
TYPE

~~ONSIS~YCT
OF SOIL

TIMBER

1 SOFT

,C

VERY SOFT

250

IADHESION~
I

250
500

PSF

250

- 250

- 480

QuH IS APPLIED LO*D

Quit =c ( N s ) T R ~ + Q 2 r R ~

RECOMMENDED VALUES OF ADHESON

WNER HAS NO EFFECT

ON ULTIMATE WAD
CAPACITY UNLESS
COHESION IS CHANGED.

ULTIMATE L M D CAPACITY IN COMPRESSION

I
2
3
RATIO OF DEPTH TO WIDTH FOUNMTION
Z / B OR Z/2R

0
0

WITH WIDTH, &AND LENGTH, L,THE

BEARING CAPACIM FACTOR IS
NCR = NCC ( 1+0.2 B/L)

VERY SOFT
STEEL

250

250
250-460

SOFT

0
250-

MED. STIFF

500-1000

460-700

STIFF

DOO-2000

700-720

2000-4000

720-750

VEmm

500

ULTIMATE LOAD CAPACITY IN TENSION

Tult = CA 2 r R z
Tu(t UNDER SUSTAINED LOAD MAY BE
LIMITED BY OTHER FACTORS, SEE TEXT.

vTS1JPF 2
U l t i m a t e Load Canacity of S i n g l e P i l e or P i e r i n Cohesive Soils

I1

( 3 ) D r i l l e d P i e r s . For d r i l l e d p i e r s g r e a t e r t h a n 24 i n c h e s i n
A reduced end
diameter s e t t l e m e n t r a t h e r t h a n b e a r i n g c a p a c i t y may c o n t r o l .
b e a r i n g r e s i s t a n c e may r e s u l t from entrapment of b e n t o n i t e s l u r r y i f used t o
m a i n t a i n a n open e x c a v a t i o n t o t h e p i e r ' s t i p .
Bells, o r enlarged bases, a r e
usually not s t a b l e i n granular s o i l s .
( 4 ) P i l e s and D r i l l e d P i e r s i n Cohesive S o i l s . See F i g u r e 2 and
Table 3. Experience demonstrates t h a t p i l e d r i v i n g permanently alters s u r f a c e adhesion of c l a y s having a s h e a r s t r e n g t h g r e a t e r t h a n 500 p s f ( s e e
F i g u r e 2). I n s o f t e r c l a y s t h e remolded m a t e r i a l c o n s o l i d a t e s with t i m e ,
r e g a i n i n g adhesion approximately e q u a l t o o r i g i n a l s t r e n g t h .
Shear s t r e n g t h
For
f o r point-bearing r e s i s t a n c e i s e s s e n t i a l l y unchanged by p i l e d r i v i n g .
d r i l l e d p i e r s , u s e Table 3 from Reference 4, S o i l s and Geology, P r o c e d u r e s
f o r Foundation Design of B u i l d i n g s and Other S t r u c t u r e s , by t h e Departments of
Army and A i r Force, f o r determining s i d e f r i c t i o n .
Ultimate r e s i s t a n c e t o
p u l l o u t cannot exceed t h e t o t a l r e s i s t a n c e of reduced adhesion a c t i n g o v e r t h e
p i l e s u r f a c e o r t h e e f f e c t i v e weight of t h e s o i l mass which i s a v a i l a b l e t o
r e a c t a g a i n s t p u l l o u t . The a l l o w a b l e s u s t a i n e d p u l l o u t l o a d u s u a l l y i s l i m i t e d
by t h e tendency f o r t h e p i l e t o move upward g r a d u a l l y w h i l e m o b i l i z i n g a n
adhesion l e s s t h a n t h e f a i l u r e value.
Adhesion f a c t o r s i n F i g u r e 2 may be v e r y c o n s e r v a t i v e f o r e v a l u a t i n g p i l e s d r i v e n i n t o s t i f f but normally c o n s o l i d a t e d c l a y s . A v a i l a b l e d a t a
s u g g e s t s t h a t f o r p i l e s d r i v e n i n t o normally t o s l i g h t l y o v e r c o n s o l i d a t e d
c l a y s , t h e s i d e f r i c t i o n i s about 0.25 t o 0.4 t i m e s t h e e f f e c t i v e overburden.

( 5 ) P i l e s P e n e t r a t i n g Multi-layered S o i l P r o f i l e . Where p i l e s
p e n e t r a t e s e v e r a l d i f f e r e n t s t r a t a , a simple approach i s t o add s u p p o r t i n g
c a p a c i t y of t h e i n d i v i d u a l l a y e r s , e x c e p t where a s o f t l a y e r may c o n s o l i d a t e
and r e l i e v e l o a d o r cause drag on t h e p i l e . For f u r t h e r guidance on b e a r i n g
c a p a c i t y when a p i l e p e n e t r a t e s l a y e r e d s o i l and t e r m i n a t e s i n g r a n u l a r s t r a t a
s e e Reference 5, U l t i m a t e Bearing Capacity of Foundations on Layered S o i l s
Under I n c l i n e d Loads, by Meyerhoff and Hanna, which c o n s i d e r s t h e u l t i m a t e
b e a r i n g c a p a c i t y of a deep member i n sand underlying a c l a y l a y e r and f o r t h e
c a s e of a sand b e a r i n g s t r a t u m o v e r l y i n g a weak c l a y l a y e r .

( 6 ) P i l e Buckling. For f u l l y embedded p i l e s , b u c k l i n g u s u a l l y i s

n o t a problem.
For a f u l l y embedded, f r e e headed p i l e w i t h l e n g t h e q u a l t o o r
g r e a t e r t h a n 4T, t h e c r i t i c a l l o a d f o r buckling i s a s f o l l o w s ( a f t e r Reference
6 , Design of P i l e Foundations, by Vesic):
Pcrit
where :

Pcrit

= 0.78 ~~f

f o r L>
- 4T

= c r i t i c a l l o a d f o r buckling

f = c o e f f i c i e n t of v a r i a t i o n of l a t e r a l s u b g r a d e
r e a c t i o n ( s e e Figure 10)
T = r e l a t i v e s t i f f n e s s f a c t o r ( s e e F i g u r e 10)
L = l e n g t h of p i l e .

TABLE 3
Design Parameters f o r S i d e F r i c t i o n f o r D r i l l e d P i e r s i n Cohesive S o i l s
L

Side Resistance
Design Category
A.

B.

cA/~

Limit on s i d e s h e a r

tsf

Remarks

Straight-sided s h a f t s i n e i t h e r
homogeneous o r l a y e r e d s o i l w i t h
no s o i l of e x c e p t i o n a l s t i f f n e s s
below t h e base
1.

S h a f t s i n s t a l l e d d r y o r by t h e
s l u r r y displacement met hod

0.6

2.

S h a f t s i n s t a l l e d with d r i l l i n g
mud a l o n g some p o r t i o n of t h e
h o l e w i t h p o s s i b l e mud entrapment

0.3(a)

( a ) CA/C may b e
i n c r e a s e d t o 0.6 and s i d e
s h e a r i n c r e a s e d t o 2.0
t s f f o r segments d r i l l e d
dry

Belled s h a f t s i n e i t h e r
homogeneous o r l a y e r e d c l a y s w i t h
no s o i l of e x c e p t i o n a l s t i f f n e s s
below t h e base
1.
2.

S h a f t s i n s t a l l e d d r y o r by t h e
s l u r r y displacement methods

0.3

S h a f t s i n s t a l l e d with d r i l l i n g mud along some p o r t i o n of

t h e h o l e w i t h p o s s i b l e mud
entrapment

0.15(b)

( b ) CA/c may be
i n c r e a s e d t o 0.3 and s i d e
s h e a r i n c r e a s e d t o 0.5
t s f f o r segments d r i l l e d
dry

TABLE 3 ( c o n t i n u e d )
Design Parameters f o r S i d e F r i c t i o n f o r D r i l l e d P i e r s i n Cohesive S o i l s

Side Resistance
Design Category

C.

D.

Note:

CA/~

S t r a i g h t - s i d e d s h a f t s with b a s e
r e s t i n g on s o i l s i g n i f i c a n t l y
s t i f f e r t h a n s o i l around s t em

B e l l e d s h a f t s w i t h base r e s t i n g
on s o i l s i g n i f i c a n t l y s t i f f e r t h a n
s o i l around stem

Limit on s i d e s h e a r

tsf

Remarks

I n c a l c u l a t i n g load c a p a c i t y , exclude: (1) t o p 5 f e e t of d r i l l e d s h a f t : ( 2 ) p e r i p h e r y of b e l l : and

( 3 ) bottom 5 f e e t of s t r a i g h t s h a f t and bottom 5 f e e t of stem of s h a f t above b e l l .

For p i l e s w i t h t h e head f i x e d a g a i n s t r o t a t i o n and t r a n s l a t i o n ,

i n c r e a s e Pcrit by 13%. I f t h e p i l e head i s pinned (i.e. prevented from
t r a n s l a t i o n but f r e e t o r o t a t e ) , i n c r e a s e Pcrit by 62%.
For a p a r t i a l l y embedded p i l e , assume a f r e e s t a n d i n g column
f i x e d a t depth 1.8T below t h e s o i l surface. Compute t h e c r i t i c a l buckling
l o a d by methods of s t r u c t u r a l a n a l y s i s . For such p i l e s compute a l l o w a b l e p i l e
s t r e s s e s t o avoid buckling. For t h e c a s e where t h e c o e f f i c i e n t of l a t e r a l
subgrade r e a c t i o n (Kh) of t h e embe merit s o i l is c o n s t a n t w i t h depth, calcul a t e t h e depth of f i x i t y a s 1 . 4 ~ 4 , h e r t i E I is t h e f l e x u r a l r i g i d i t y o f
t h e p i l e , B is p i l e width (diameter) and Kh i s defined i n t h e u n i t s of
f o r a f u l l y embedded l e n g t h of o t h e r p i l e types
~ o r c e ~ ~ e n g t Buckling
h~.
does not c o n t r o l p i l e s t r e s s . For f u r t h e r guidance see Reference 6.
d. Empirical Bearing Capacity. R e s u l t s from t h e Standard P e n e t r a t i o n
Test, S t a t i c Cone penetrometer (Dutch Cone with f r i c t i o n s l e e v e ) , and Pressuremeter have been c o r r e l a t e d w i t h model and f u l l s c a l e f i e l d tests on p i l e s
and deep foundations s o t h a t e m p i r i c a l expressions a r e a v a i l a b l e t o estimate
foundation c a p a c i t i e s .
( 1 ) Standard Penetration. Use of t h e Standard P e n e t r a t i o n T e s t t o
p r e d i c t c a p a c i t i e s of deep foundations should be l i m i t e d t o g r a n u l a r s o i l s and
must be considered a crude estimate.
Tip Resistance of d r i v e n p i l e s ( a f t e r Reference 7, Bearing
Capacity and Settlement of P i l e Foundations, by Meyerhof):
q ult

where :
N = standard p e n e t r a t i o n r e s i s t a n c e ( b l o w l f t )
near p i l e t i p
20
( f o r p> 0.25 TSF)
CN = 0.77 l o g l o
P

p = e f f e c t i v e overburden stress a t p i l e t i p (TSF)

quit =

u l t i m a t e p o i n t r e s i s t a n c e of d r i v e n p i l e (TSF)

N = average c o r r e c t e d Standard P e n e t r a t i o n R e s i s t a n c e
near p i l e t i p ( b l o w s l f t )

D = depth d r i v e n i n t o g r a n u l a r bearing s t r a t u m ( f t )
B = width o r diameter of p i l e t i p ( f e e t )

q 1 = l i m i t i n g p o i n t r e s i s t a n c e (TSF), equal t o
4N f o r sand and 3N f o r non-plastic s i l t .

For d r i l l e d p i e r s , use 113 times

quit

computed from t h e above

expression.

t ance

..

Use a f a c t o r of s a f e t y of 3 t o compute allowable t i p resis-

Skin F r i c t i o n of d r i v e n p i l e s :

where :

N = average standard p e n e t r a t i o n along p i l e s h a f t

f s = u l t i m a t e s k i n f r i c t i o n f o r d r i v e n p i l e (TSF)
f l = l i m i t i n g s k i n f r i c t i o n ( f o r d r i v e n p i l e , f l = 1 TSF)
Use f a c t o r of s a f e t y of 3 f o r allowable s k i n f r i c t i o n .
For d r i v e n p i l e s tapered more t h a n 1 p e r c e n t , use 1.5 t i m e s
above expression.
For d r i l l e d p i e r s , use 50 p e r c e n t of above expression
( 2 ) The Cone Penetrometer. The Cone Penetrometer provides u s e f u l
information a s a "model p i l e " and i s b e s t s u i t e d f o r l o o s e t o dense sands and
s i l t s . Penetrometer r e s u l t s a r e not considered a c c u r a t e f o r very dense sands
o r d e p o s i t s with gravel.
Point Resistance:
quit
where :

quit

= qc

= ultimate t i p resistance for driven p i l e

qc = cone p e n e t r a t i o n r e s i s t a n c e
Depth of p e n e t r a t i o n t o g r a n u l a r bearing s t r a t u m i s a t l e a s t 1 0
times t h e p i l e t i p width.
S h a f t Resistance :
fult
where:

fC

f u l t = u l t i m a t e s h a f t f r i c t i o n of d r i v e n c y l i n d r i c a l p i l e
f c = u n i t r e s i s t a n c e of l o c a l f r i c t i o n s l e e v e of s t a t i c
penetrometer
Use f a c t o r of s a f e t y of 3 f o r allowable s k i n f r i c t i o n .

For d r i l l e d p i e r s i n cohesionless s o i l , u s e 1/2 of ,I+ o r

based on t h e above expressions f o r d r i v e n p i l e s .

quit.

(3) Pressuremeter. R e s u l t s from pressuremeter t e s t s can be used t o

e s t i m a t e d e s i-m c a v a c i t v of deep foundation elements. See Reference 8.= - The
Pressuremeter and Foundation Engineering, by Baguelin, e t a l . , o r Reference 9,
Canadian Foundation Engineering Manual, by t h e Canadian Geotechnical S o c i e t y ,
f o r d e t a i l s of design c o r r e l a t i o n .
The pressuremeter method i s u s e f u l i n s o f t rock, weathered o r
c l o s e l y jointed rock, g r a n u l a r s o i l s , and very s t i f f cohesive s o i l s . R e s u l t s
a r e g e n e r a l l y not s u i t a b l e i n s o f t c l a y s because of t h e d i s t u r b a n c e during
d r i l l i n g . The self-boring pressuremeter i s designed t o reduce t h i s problem.

e.

Bearing Capacity from Dynamic Driving Resistance.

(1) General. The u l t i m a t e c a p a c i t y of a p i l e may be estimated on

t h e b a s i s of d r i v i n g r e s i s t a n c e during i n s t a l l a t i o n ' o f t h e p i l e .
The r e s u l t s
a r e not always r e l i a b l e , and may over-predict o r g r o s s l y under-predict p i l e
c a p a c i t i e s , and t h e r e f o r e should be used with caution. Use must be supported
Dynamic r e s i s t a n c e based on t h e wave e q u a t i o n
by l o c a l experience o r t e s t i n g .
a n a l y s i s i s a more r a t i o n a l approach t o c a l c u l a t i n g p i l e c a p a c i t i e s .
(2)

P i l e Driving Formulas:

( a ) General. Because of t h e u n c e r t a i n t i e s of t h e dynamics of

p i l e d r i v i n g , t h e use of formulas more e l a b o r a t e than those i n Table 4 i s n o t
warranted. A minimum of t h r e e test p i l e s should be d r i v e n f o r each i n s t a l l a t i o n , with more t e s t s i f subsurface c o n d i t i o n s a r e e r r a t i c .
( b ) Control During Construction. The embedment of p i l e s should
be c o n t r o l l e d by s p e c i f y i n g a minimum t i p e l e v a t i o n on t h e b a s i s of t h e subs u r f a c e p r o f i l e and d r i v i n g t e s t s o r load t e s t s , i f a v a i l a b l e , and a l s o by
r e q u i r i n g t h a t t h e p i l e s be d r i v e n beyond t h e s p e c i f i e d e l e v a t i o n u n t i l t h e
d r i v i n g r e s i s t a n c e equals o r exceeds t h e value e s t a b l i s h e d a s necessary from
t h e r e s u l t s of t h e t e s t p i l e s . However, i f t h e p i l e p e n e t r a t i o n c o n s i s t e n t l y
overruns t h e a n t i c i p a t e d depth, t h e b a s i s f o r t h e s p e c i f i e d depth and d r i v i n g
r e s i s t a n c e should be reviewed.
( c ) Formulas. Dynamic p i l e d r i v i n g formulas should not be used
a s c r i t e r i a f o r e s t a b l i s h i n g load c a p a c i t y without c o r r e l a t i o n with t h e res u l t s of an adequate program of s o i l e x p l o r a t i o n . For c r i t i c a l s t r u c t u r e s and
where l o c a l experience i s l i m i t e d , o r where u n f a m i l i a r p i l e types o r equipment
a r e being used, load t e s t s should be performed.

( 3 ) Wave Equation Analysis. The wave equation a n a l y s i s i s based on

For t h e a n a l y s i s t h e p i l e i s
t h e theory of one dimensional wave propagation.
divided i n t o a s e r i e s of masses connected by s p r i n g s which c h a r a c t e r i z e t h e
p i l e s t i f f n e s s , and dashpots which s i m u l a t e t h e damping below t h e p i l e t i p and
along p i l e embedded length.
T h i s method was f i r s t put i n t o p r a c t i c a l form i n 1962 (Reference
10, P i l e Driving by t h e Wave ~ ~ u a t i o hby, ~ m i i h ) . The wave equation a n a l y s i s
provides a means of e v a l u a t i n g t h e s u i t a b i l i t y of t h e p i l e s t i f f n e s s t o t r a n s m i t d r i v i n g energy t o t h e t i p - t o achieve p i l e - p e n e t r a t i o n , a s w e l l a s t h e
a b i l i t y of p i l e s e c t i o n t o withstand d r i v i n g s t r e s s e s without damage. The
r e s u l t s of t h e a n a l y s i s can be t n t e r p r e t e d t o g i v e t h e following:

TABLE 4
Application of P i l e Driving Resistance Formulas
BASIC PlLE DRIVING FORMULAS (SEE COMMENT IN SECTION 2 )

FOR DROP HAMMER

FOR SINGLE ACTING HAMMER

2WH {USE WHEN D R M N W E m

Qall= S+O.I

FOR DOUBLE-ACTING DlFFEREHllAL HAMMER

Pall = *{USE

ARE SMALLER THAN

STRIKING WEIGHTS.

2 WH

Qa11' s+l
QaW

WH
S+O.I- WD

{ USE WHEN DRIVEN WEIGHTS

Ws

ARE LARGER THAN

STRIKING WEIGHTS.

2E

all=

S+O.l-

Ws

WHEN DRIVEN
WEIGHTS AR SMALLER
THEN STRIKING WEIGHTS.
{USE WHEN DRIVEN WEIGHTS
ARE LARGER THAN
STRIKING WEIGHTS.

Qall = ALLOWABLE PlLE LOAD IN POUNDS.

= WEIGHT OF STRIKING

W
H
E
S
WD
WS

=
=
=
=
=

PARTS OF HAMMER IN POUNDS.

THE EFFECTIVE HEIGHT OF FALL IN FEET.
THE ACTUAL ENERGY DELIVERED BY HAMMER PER BLOW IN FOOT- POUNDS.
AVERAGE NET PENETRATION IN INCHES PER BLOW FOR THE LAST 6 IN. OF DRIVING.
DRIVEN WEIGHTS
NOTE: RATIO OF DRIVEN WEIGHTS TO STRIKING WEIGHTS SHOULD NOT
WEIGHTS OF STRIKING B W S
EXCEED 3.

MODIFICATONS OF BASIC PlLE DRIVING FORMULAS

A. FOR PILES DRIVEN TO AND SEATED IN ROCK AS HIGH CAPACITY END-BEARING PILES:
DRIVE TO REFUSAL (APPROXIMATELY 4 TO 5 BLOWS FOR THE LAST QUARTER INCH OF DRIVING).
REDRIVE OPEN END PIPE PILES REPEATEDLY UNTIL RESISTANCE FOR REFUSAL IS REACHED
WITH IN I IN. OF ADDITIONAL PENETRATION.
8. PILES DRIVEN THROUGH STIFF COMPRESSIBLE MATERIALS UNSUITABLE FOR PlLE BEARING TO AN
UNDERLYlNG BEARING STRATUM :
ADD BLOWS ATTAINED BEFORE REACHING BEARING STRATUM TO REQUIRED BU)WS ATTAINED IN
BEARING STRATUM (SEE EXAMPLE).
PILE
EXAMPLE: REQUIRED LOAD W I T Y OF PlLE Qall =25TONS
HAMMER ENERGY
////Ip
E = 15,000 FT.-LB.

fi

COMPRESS1BLE

v/"/"/>;

..-....-:. :.:.::
i....

:.'BEARING .
::.STRATUM

...
....;...:.;.-; .
.....
.::...::::.::..

wd ( I
ws

PENETRAm(S) AS PER BASlC FORMULA = 1/2" OR 2 BUWS PER

4 BU)WS/FT:
2

INCH (24 BUIWS/FT).

REQUIRED BLOWS FOR PILE 24 + I8 = 42 BUIWS/FT.
I

C. PILES DRIVEN INTO LIMITED THIN BEARING STRATUM, DRIVE TO PREDETERMINED TIP ELEVATION.
DETERMINE ALIDWABLE IDAD BY U)AD TEST.

STRATUM

LBUJ UNSUITABLE FWZ P O W BEARING

( a ) Equipment compatibility:,appropriate

hammer s i z e and

cushion.
(b) Driving s t r e s s e s : p l o t s of stress vs. set can be made t o
evaluate the potential f o r p i l e overstress.
( c ) P i l e capacity:

p l o t of u l t i m a t e p i l e c a p a c i t y vs. set can

be developed.
The s o i l i s modeled by approximating t h e s t a t i c r e s i s t a n c e
(quake), t h e viscous r e s i s t a n c e (damping), and t h e d i s t r i b u t i o n of t h e s o i l
r e s i s t a n c e along t h e p i l e . The assigned parameter f o r s p r i n g s and dashpots
cannot be r e l a t e d t o r o u t i n e l y measured s o i l parameters which c o n s t i t u t e s t h e
major draw back of t h e wave equation a n a l y s i s . The i n p u t f o r t h e d r i v i n g
system i s provided by t h e a n t i c i p a t e d hammer performance, c o e f f i c i e n t of
r e s t i t u t i o n of t h e cushion, and s t i f f n e s s of t h e p i l e .
Computer programs a r e
a v a i l a b l e t o perform t h e lengthy c a l c u l a t i o n s .

( 4 ) Case Method. The wave equation a n a l y s i s can be used i n conjunct i o n with f i e l d measurements by using t h e Case Method (Reference 11, S o i l
Resistance P r e d i c t i o n s from P i l e Dynamics, by Rausche, e t a l . ) .
This procedure e l e c t r o n i c a l l y measures t h e a c c e l e r a t i o n and s t r a i n n e a r t h e top of .the
p i l e , and by usingv t h e wave equation a n a l y s i s e s t i m a t e s t h e s t a t i c s b i l r e s i s tance f o r each blow of t h e hammer. Energy t r a n s f e r r e d t o t h e p i l e i s computed
by i n t e g r a t i n g t h e product of f o r c e and v e l o c i t y . A d i s t r i b u t i o n of t h e s o i l
r e s i s t a n c e along t h e p i l e l e n g t h i s assumed and t h e wave equation a n a l y s i s i s
performed.
The assumed s o i l s t r e n g t h parameters a r e checked a g a i n s t t h e measured f o r c e a t t h e p i l e top and t h e s e a r e then a d j u s t e d t o r e s u l t i n a n i m proved match between t h e a n a l y t i c a l and measured p i l e f o r c e a t t h e top.

3.

BEARING CAPACITY OF PILE GROUPS.

a. General. The bearing c a p a c i t y of p i l e groups i n s o i l s i s normally

l e s s than t h e sum of i n d i v i d u a l p i l e s i n t h e group and must be considered i n
design. Group e f f i c i e n c y i s a term used f o r t h e r a t i o of t h e c a p a c i t y of a
p i l e group t o t h e sum of t h e c a p a c i t i e s of s i n g l e p i l e s a t t h e same depth i n
t h e same s o i l d e p o s i t . I n e v a l u a t i n g t h e performance of p i l e groups i n compression, s e t t l e m e n t i s a major consideration.
Expressions f o r e s t i m a t i n g
u p l i f t r e s i s t a n c e of p i l e groups a r e included i n t h i s s e c t i o n .
b. Group Capacity i n Rock. The group c a p a c i t y of p i l e s i n s t a l l e d t o
rock i s t h e number of members times t h e i n d i v i d u a l c a p a c i t y of each member.
Block f a i l u r e i s a c o n s i d e r a t i o n only i f foundations a r e on a s l o p i n g rock
formation, and s l i d i n g may occur along unfavorable dipping, weak planes. The
p o s s i b i l i t y of such a n occurrence must be evaluated from t h e s i t e geology and
f i e l d exploration.
c. Group Capacity i n Granular S o i l . P i l e s d r i v e n i n t o c o h e s i o n l e s s s o i l
i n a group c o n f i g u r a t i o n a c t a s i n d i v i d u a l p i l e s i f t h e spacing i s g r e a t e r
than 7 times t h e average p i l e diameter. They a c t a s a group a t c l o s e spacings. Center t o c e n t e r spacing of a d j a c e n t p i l e s i n a group should be a t
l e a s t two times t h e b u t t diameter.

Block f a i l u r e of a p i l e group i n g r a n u l a r s o i l s i s n o t a d e s i g n cons i d e r a t i o n provided each i n d i v i d u a l p i l e has an adequate f a c t o r of s a f e t y

a g a i n s t bearing f a i l u r e and t h e c o h e s i o n l e s s s o i l i s n o t u n d e r l a i n by a weaker
d e p o s i t . I n l o o s e sand a n d / o r g r a v e l d e p o s i t s , t h e l o a d c a r r y i n g c a p a c i t y of
a n i n d i v i d u a l p i l e may be g r e a t e r i n t h e group t h a n s i n g l e because of d e n s i f i c a t i o n d u r i n g d r i v i n g . T h i s i n c r e a s e d e f f i c i e n c y s h o u l d be i n c l u d e d i n d e s i g n
w i t h c a u t i o n , and o n l y where demonstrated by f i e l d e x p e r i e n c e o r t e s t s .
The u l t i m a t e c a p a c i t y of a p i l e group founded i n dense c o h e s i o n l e s s
s o i l of l i m i t e d t h i c k n e s s u n d e r l a i n by a weak d e p o s i t i s t h e s m a l l e r o f :
(1)

sum of t h e s i n g l e p i l e c a p a c i t i e s

( 2 ) block f a i l u r e of a p i e r e q u i v a l e n t i n s i z e t o t h e p i l e s a n d
enclosed s o i l mass, punching through t h e dense d e p o s i t i n t o t h e u n d e r l y i n g
weak d e p o s i t (Reference 12, U l t i m a t e Bearing Capacity of F o o t i n g s on Sand
Layer Overlying Clay, by Meyerhof).
d. Group C a p a c i t y i n Cohesive S o i l . E s t i m a t e t h e group c a p a c i t y u s i n g
he method i n F i g u r e 3 (upper p a n e l , Reference 13, Experiments w i t h Model
P i l e s i n Groups, by Whitaker).
e.

U ~ l i f tR e s i s t a n c e of G ~ O U D S .

(1)
l e s s e r of:

Granular Soil.

U l t i m a t e u p l i f t r e s i s t a n c e of p i l e group i s

( a ) Sum of s k i n f r i c t i o n on t h e p i l e s i n t h e group (no reduct i o n f o r t a p e r e d p i l e s ) , u s e a f a c t o r of s a f e t y of 3.0.

( b ) E f f e c t i v e weight of block of s o i l w i t h i n t h e group and
w i t h i n a 4 v e r t i c a l on 1 h o r i z o n t a l wedge extending up from p i l e t i p s
weight
of p i l e s ' assumeil e q u a l t o volume of s o i l they d i s p l a c e .
F a c t o r of s a f e t y
should be u n i t y .

(2)
l e s s e r of:

Cohesive S o i l .

(a)

where:

Ultimate u p l i f t r e s i s t a n c e of p i l e group i s t h e

Sum of s k i n f r i c t i o n on t h e p i l e s i n t h e group

Tu = u l t i m a t e u p l i f t r e s i s t a n c e of p i l e group
A = l e n g t h of group
B = width of group

L = d e p t h of s o i l block below p i l e cap

C = average undrained s t r e n g t h of s o i l around t h e s i d e s of t h e group
Wp = weight of p i l e s , p i l e cap, and block of s o i l e n c l o s e d by t h e
piles.

3 x 3 PILE GROUP

3 x 3 PlLE GRWP
9 x 9 PlLE GROUP

PlLE GROUP EFFICIENCY

FOR COHESIVE SOILS

a
1.5

2O
.

2.5
3.O
SPACING IN PILE DIAMETERS

3.5

4.0

4.5

PERIMETER

pO""l

PlLE
SPACING

DEFlNITIONS
QG = ULTIMATE LOAD CAMITY OF PlLE IN GROUP
Quit = ULTIMATE LOAD W I T Y OF ISOLATED PILE
n = NUMBER OF PILES IN GROUP
G

OG

= Qult
2R = PILE

FOR COHESIVE SOILS

DIAMETER
QG AND Quit ARE APPLIED LOADS ONLY. WEIGHT OF
PILES AND ENCLOSED SOIL IS BALANCED BY WEIGHT
OF OVERBURDEN AND IS NOT CONSIDERED.

BEARING CAWlTY
B

BEARING CAPACITY OF PILE GROUP

R ~ CA 2 T R L (OBTAIN CA AND Nc FROM FIGURE 2 )
ULTIMATE LOAD OF GROUP = nQG = Ge n Quit

Quit = (cNc) W

FIGURE 3
Bearing Capacity of P i l e Groups i n Cohesive S o i l s

F a c t o r s of S a f e t y :
u p l i f t i n g loading.

4.

2 f o r short-term l o a d s , 3 f o r s u s t a i n e d

SETTLEMENTS OF PILE FOUNDATIONS

The s e t t l e m e n t a t t h e t o p of p i l e can be broken down

a. S i n g l e P i l e .
i n t o t h r e e components ( a f t e r Reference 6 ) .

(1)

where:

S e t t l e m e n t due t o a x i a l deformation of p i l e s h a f t ; W s

= p o i n t l o a d t r a n s m i t t e d t o t h e p i l e t i p i n t h e working

stress

range.

Qs = s h a f t f r i c t i o n load t r a n s m i t t e d by t h e p i l e i n t h e working
s t r e s s range(in force units)
= 0.5

f o r p a r a b o l i c o r uniform d i s t r i b u t i o n of s h a f t f r i c t i o n

0.67 f o r t r i a n g u l a r d i s t r i b u t i o n of s h a f t f r i c t i o n s t a r t i n g
from z e r o f r i c t i o n a t p i l e head t o a maximum v a l u e a t p i l e
point
0.33 f o r t r i a n g u l a r d i s t r i b u t i o n of s h a f t f r i c t i o n
s t a r t i n g from a maximum a t p i l e head t o - z e r o a t t h e
p i l e point.
L = pile length
A = p i l e cross sectional area

Ep = modulus of e l a s t i c i t y of t h e p i l e

(2)
W

where :

S e t t l e m e n t of p i l e p o i n t caused by l o a d t r a n s m i t t e d a t t h e p o i n t

Cp = e m p i r i c a l c o e f f i c i e n t depending on s o i l type and

method of c o n s t r u c t i o n , s e e Table 5
B = p i l e diameter

q0 = u l t i m a t e end b e a r i n g c a p a c i t y

( 3 ) S e t t l e m e n t of p i l e p o i n t s caused by l o a d t r a n s m i t t e d a l o n g t h e
p i l e s h a f t , Wps;

TABLE 5
Typical* Values of C o e f f i c i e n t C f o r Estimating
Settlement of a Sing e P i l e

S o i l Type

Driven P i l e s

Bored P i l e s

Sand (dense t o l o o s e )

0.02 t o 0.04

0.09 t o 0.18

Clay ( s t i f f t o s o f t )

0.02 t o 0.03

0.03 t o 0.06

S i l t (dense t o l o o s e )

0.03 t o 0.05

0.09

t o 0.12

Bearing s t r a t u m under p i l e t i p assumed t o extend a t l e a s t 10 p i l e

diameters below t i p and s o i l below t i p i s of comparable o r h i g h e r
stiffness.

D = embedded l e n g t h
(4)

b.

T o t a l s e t t l e m e n t of a s i n g l e p i l e , Wo:

Settlement of P i l e Group i n Granular S o i l s .

Compute group s e t t l e m e n t

Wg based on ( a f t e r Reference 6):

where :

B = t h e s m a l l e s t dimension of p i l e group
B = diameter of i n d i v i d u a l p i l e

Wo = Settlement of a s i n g l e p i l e estimated o r determined

from load t e s t s

c. Settlement of P i l e Groups i n S a t u r a t e d Cohesive S o i l s .

group s e t t l e m e n t a s shown i n Figure 4.

Compute t h e

d. Limitations. The above a n a l y s e s may be used t o e s t i m a t e s e t t l e m e n t ,

however, s e t t l e m e n t estimated from t h e r e s u l t s of load t e s t s a r e g e n e r a l l y
considered more a c c u r a t e and r e l i a b l e .

5.

NEGATIVE SKIN FRICTION.

a. General.
Deep foundation elements i n s t a l l e d through compressible
m a t e r i a l s can experience "downdrag" f o r c e s o r n e g a t i v e s k i n f r i c t i o n along t h e
s h a f t which r e s u l t s from downward movement of adjacent s o i l r e l a t i v e t o t h e
p i l e . Negative s k i n f r i c t i o n r e s u l t s p r i m a r i l y from c o n s o l i d a t i o n of a s o f t
d e p o s i t caused by dewatering o r t h e placement of f i l l .
Negative s k i n f r i c t i o n i s p a r t i c u l a r l y severe on b a t t e r p i l e i n s t a l l a t i o n s because t h e f o r c e of subsiding s o i l i s l a r g e on t h e o u t e r s i d e of t h e
This can
b a t t e r p i l e and s o i l s e t t l e s away from t h e i n n e r s i d e of t h e p i l e .
r e s u l t i n bending of t h e p i l e .
B a t t e r p i l e i n s t a l l a t i o n s should be avoided
where negative s k i n f r i c t i o n i s expected t o develop.
b. D i s t r i b u t i o n of Negative Skin F r i c t i o n on S i n g l e P i l e . The d i s t r i b u t i o n and magnitude of negative s k i n f r i c t i o n along a p i l e s h a f t depends on:
(1)

r e l a t i v e movement between compressible s o i l and p i l e s h a f t ;

(2)

r e l a t i v e movement between upper f i l l and p i l e s h a f t ;

(3)

e l a s t i c compression of p i l e under working load;

(4)

r a t e of c o n s o l i d a t i o n of compressible s o i l s .
--

1 FRICTION PILES IN CLAY 1

FRICTION PILES IN SAND UNDERLAIN BY CLAY

n Qall

L, Y
SOFT
CLAY

nQall
-

............
. . . . ....!
.. I
.:.......
SAND
.....
......
. . ..:(':;:.-.
...:...:.
......\
.....
: ... .: :
: ...: :.
~w.
~ S F ..
T C L -A. Y
.. :. .........
.......
. .:;.:. ::.:-.=.sspfl ::
:. . .:.....
V

..*

-I

II

SETTLEMENT OF PILE GROUP = COMPRESSION OF

LAYER H UNDER PRESSURE DISTRIBUTION SHOWN.

' n ~ a l l +rLl,
q = i m T

POINT BEARING PILES IN SAND UNDERLAIN BY CLAY

\\

n e

\\

(B) (A)

OD = DRAG PER PlLE FOR LENGTH = L 3

L3 = DEPTH TO TOP OF BEARING STRATUM OR
2/3 (L2 FOR FRICTION PILES.

FRICTION PILES IN a A y WITH RECENTFILL

NUfES: I. PLAN AREA TO OUTSIDE OF PlLE GROUP = B x A.

2FOR RELATlVEW RIGID PlLE CAP, PRESSURE DISTRIBUTION IS ASUMED TD VARY WITH DEPTH AS SHOWN.
3FOR FLEXIBLE SLAB OR GROUP OF SMALL SEPARATE CAPS,COMWTE PRESSURES BY ELASTIC SOUJTONS
(DM-?. 1 CHAPTER 4) FOR LOAD APPLIED N LEVEL SHOWN.
4. COMPUTE SETTLEMENTS BY METHODS OF DM 7.1 CHAPTER 5.

FIGURE 4
Settlement of Pile Groups

Negative s k i n f r i c t i o n develops along t h a t p o r t i o n of t h e p i l e s h a f t

where s e t t l e m e n t of t h e a d j a c e n t s o i l exceeds t h e downward displacement of t h e
s h a f t . The " n e u t r a l p o i n t " i s t h a t p o i n t of no r e l a t i v e movement between t h e
p i l e and adjacent s o i l .
Below t h i s p o i n t , s k i n f r i c t i o n a c t s t o s u p p o r t p i l e
loads. The r a t i o of t h e depth of t h e n e u t r a l p o i n t t o t h e l e n g t h of t h e p i l e
The p o s i t i o n of
i n compressible s t r a t a may be roughly approximated a s 0.75.
t h e n e u t r a l p o i n t can be estimated by a t r i a l and e r r o r procedure which comp a r e s t h e s e t t l e m e n t , o f t h e s o i l t o t h e displacement of a d j a c e n t s e c t i o n s of
,
(For f u r t h e r guidance s e e Reference 14, P i l e Design and Constructhe pile.
t i o n P r a c t i c e , by Tomlinson. )
Observations i n d i c a t e t h a t a r e l a t i v e downward movement of 0.6 i n c h
i s expected t o be s u f f i c i e n t t o mobilize f u l l n e g a t i v e s k i n f r i c t i o n (Reference 6 ) .
The peak negac. Magnitude of Negative Skin F r i c t i o n on S i n g l e P i l e .
t i v e s k i n f r i c t i o n i n g r a n u l a r s o i l s and cohesive s o i l s i s determined as f o r
positive skin friction.
The peak u n i t n e g a t i v e s k i n f r i c t i o n can a l s o be estimated from
( a f t e r Reference 15, P r e d i c t i o n of Downdrag Load a t t h e C u t l e r C i r c l e Bridge,
by Garlanger):

where :

f n = u n i t n e g a t i v e s k i n f r i c t i o n ( t o be m u l t i p l i e d by
a r e a of s h a f t i n zone of subsiding s o i l r e l a t i v e t o p i l e )
Po = e f f e c t i v e v e r t i c a l stress

= e m p i r i c a l f a c t o r from f u l l s c a l e t e s t s

Soil
Clay
Silt
Sand
Since n e g a t i v e s k i n f r i c d. S a f e t y F a c t o r f o r Negative Skin F r i c t i o n .
t i o n i s u s u a l l y estimated on t h e s a f e s i d e , t h e f a c t o r of s a f e t y a s s o c i a t e d
w i t h t h i s load i s u s u a l l y unity. Thus:

where :

Q a l l = allowable p i l e l o a d
Qult

= ultimate p i l e load

F, = f a c t o r of s a f e t y
P,

= ultimate negative skin f r i c t i o n load

For f u r t h e r d i s c u s s i o n of f a c t o r of s a f e t y i n d e s i g n i n c l u d i n g
t r a n s i e n t l o a d s , s e e Reference 16, Downdrag on P i l e s Due t o - ~ e ~ a t i vs ke i n
F r i c t i o n , by F e l l e n i u s .
e. Negative Skin F r i c t i o n on P i l e Groups.
The n e g a t i v e s k i n f r i c t i o n on
a p i l e group does n o t u s u a l l y exceed t h e t o t a l weight of f i l l a n d / o r comp r e s s i b l e s o i l enclosed by t h e p i l e s i n t h e group. For t h e c a s e of r e c e n t
f i l l u n d e r l a i n by a compressible d e p o s i t over t h e b e a r i n g s t r a t u m :

where :

l'total

= t o t a l l o a d on p i l e group

W = working l o a d on p i l e group
B = width of p i l e group

L = l e n g t h of p i l e group

3 , y2

= e f f e c t i v e u n i t weight of f i l l and u n d e r l y i n g

compressible s o i l respectively
D l , D2 = d e p t h over which f i l l and compressible s o i l
i s moving downward r e l a t i v e t o t h e p i l e s
f . Reduction of Negative Skin F r i c t i o n .
S e v e r a l methods have been
developed t o reduce t h e expected n e g a t i v e s k i n f r i c t i o n on deep f o u n d a t i o n s .
These i n c l u d e :
( a ) Use of s l e n d e r p i l e s , such as H-sections,
s u b j e c t t o drag.

t o reduce s h a f t a r e a

( b ) P r e d r i l l e d o v e r s i z e d h o l e through compressible m a t e r i a l p r i o r t o
i n s e r t i o n of p i l e ( r e s u l t i n g a n n u l a r space f i l l e d w i t h b e n t o n i t e s l u r r y o r
vermiculite)
( c ) P r o v i d e c a s i n g o r s l e e v e around p i l e t o p r e v e n t d i r e c t c o n t a c t
with s e t t l i n g s o i l .
( d ) Coat p i l e s h a f t with bitumen t o a l l o w s l i p p a g e .
Bitumen compounds which can be sprayed o r poured on c l e a n p i l e s a r e
a v a i l a b l e t o reduce n e g a t i v e s k i n f r i c t i o n .
Coatings should be a p p l i e d o n l y
t o t h o s e p o r t i o n s of t h e p i l e a n t i c i p a t e d t o be w i t h i n a zone of BLbsidence
and t h e lower p o r t i o n of t h e p i l e ( a t l e a s t t e n times t h e d i a m e t e r ) should
remain uncoated so t h a t t h e f;ll ldwer s h a f t and p o i n t r e s i s t a n c e may be
mobilized.
Reductions of n e g a t i v e f r i c t i o n of 50% o r g r e a t e r have been meas u r e d f o r bituminous c o a t i n g s on c o n c r e t e and s t e e l p i l i n g ( s e e Reference 1 7 ,
Reducing Negative Skin F r i c t i o n w i t h Bitumen Layers, by Claessen and Horvat,
and Reference 18, Reduction of Negative Skin F r i c t i o n on S t e e l P i l e s t o Rock,
by Bjerrum, e t a l . ) .

S e c t i o n 4.

1.

PILE INSTALLATION AND LOAD TESTS

PILE INSTALLATION.
a.

General C r i t e r i a .

See Table 6.

b.
I n s t a l l a t i o n Techniques. Table 7 summarizes t h e more common s u p p l e mentary procedures and appurtenances used i n d r i v e n p i l e i n s t a l l a t i o n s .
c. P i l e Driving Hammers. Table 8 (Reference 6) summarizes t h e
Figure
c h a r a c t e r i s t i c s of t h e more common types of hammers i n u s e i n t h e U.S.
5 shows p r i n c i p a l o p e r a t i o n of p i l e d r i v e r s (modified from Reference 6 ) :
( 1 ) Drop Hammer. Generally, i t i s only a p p r o p r i a t e on s m a l l ,
r e l a t i v e l y i n a c c e s s i b l e jobs due t o t h e i r slow r a t e of blows.
( 2 ) S i n g l e Action Steam o r Air Hammers. Blow r a t e i s h i g h e r t h a n
drop hammer with maximum speeds g e n e r a l l y ranging from about 35 t o 60 blows
per minute. S i n g l e a c t i n g hammers have an advantage over double a c t i n g
hammers when d r i v i n g pi.les i n f i r m cohesive s o i l s s i n c e t h e slower r a t e a l l o w s
t h e s o i l and p i l e t o r e l a x before s t r i k i n g t h e next blow; thereby , g i v i n g
g r e a t e r p e n e t r a t i o n p e r blow.
I n d r i v i n g b a t t e r p i l e s , s i n g l e a c t i n g hammers
can l o s e c o n s i d e r a b l e energy due t o t h e s h o r t e n i n g f a l l and i n c r e a s e s i n
friction.

( 3 ) Double Acting Steam o r A i r Hammers. They provide a blow r a t e

n e a r l y double t h a t of t h e s i n g l e a c t i n g hammers and l o s e less energy d r i v i n g
b a t t e r p i l e s . They a r e g e n e r a l l y b e s t s u i t e d f o r d r i v i n g p i l e s i n g r a n u l a r
s o i l s o r i n s o f t clays. The energy per blow d e l i v e r e d by a double-acting
hammer decreases r a p i d l y a s i t s speed of o p e r a t i o n drops below t h e r a t e d
speed.

( 4 ) D i e s e l Hammers. They have a r e l a t i v e l y low f u e l consumption,

o p e r a t e without a u x i l i a r y equipment, and can o p e r a t e a t low temperatures and
a r e more e f f i c i e n t f o r d r i v i n g b a t t e r p i l e s . Maximum blow r a t e s a r e about 35
t o 60 blows p e r minute f o r s i n g l e a c t i n g and about 80 t o 100 blows p e r minute
f o r double a c t i n g .
Diesel hammers o p e r a t e b e s t i n medium t o hard ground; i n
s o f t ground t h e r e s i s t a n c e and r e s u l t i n g compression may be too low t o i g n i t e
the fuel.
(5) Vibratory Hammers. They a r e b e s t s u i t e d t o w e t s o i l s and low
displacement p i l e s but o c c a s i o n a l l y have been used s u c c e s s f u l l y i n c o h e s i v e
s o i l s and 'with h i g h displacement p i l e s . They can a l s o be e f f e c t i v e i n ext r a c t i n g p i l e s . When c o n d i t i o n s a r e s u i t a b l e , v i b r a t o r y hammers have s e v e r a l
advantages over impact hammers i n c l u d i n g lower d r i v i n g v i b r a t i o n s , reduced
n o i s e , g r e a t e r speed of p e n e t r a t i o n and v i r t u a l l y complete e l i m i n a t i o n of
p i l e damage. However, t h e r e i s t h e p o s s i b i l i t y t h a t t h e . p i l e may not be e f f ic i e n t l y advanced, o b s t r u c t i o n s g e n e r a l l y can not be p e n e t r a t e d , and t h e r e i s
no g e n e r a l l y accepted method of determining u l t i m a t e p i l e c a p a c i t y based on
t h e r a t e of p e n e t r a t i o n .

TABLE 6
General Criteria for I n s t a l l a t i o n of P i l e Foundations
-

--

GEOMETRIC REQUIREMENTS

PW

OVER BURDEN

SKETCH A

SUM OF PILE LOPDS

LMINIMUM
AREA 2
A W A B L E BEARING CAPAClTY

AT LEAST 2 INTERIOR ANGLES

60'

REQUIRED MIN. PlLE SPACING

SKETCH B

ITEM
CRITERIA AND LIMITATIONS
WNERAL REPUIRFMENTS
MINIMUM SWING
(CENTER TO CENTER) (I) PlLES TO ROCK : TWICE THE AVERAGE PlLE DIAMETER OR 1.75 TIMES THE
DIAGONAL DIMENSION OF P I E CROSS SECTION, BUT NO LESS THAN 24':

(2)

ALL OTHER PILES: TWICE THE AVERAGE MAMETER OFTHE PlLE OR 1.75 VMES
THE DIAGONAL DIMENSION OF PlLE CROSS SECTION, BUT NO LESS THAN 30: IN
ADDITION ,THE MINIMUM SPACING SHALL BE LIMITED BY THE REQUIREMENT
THAT THE PlLE LOAD DISTRIBUTED INTO THE BEARING STRATUM SHALL NOf
EXCEED THE NOMINAL BEARING CAWITY OF THE STRATUM (TABLE I,
CHAPTER 4. ).PILES OR PlLE GROUPS SHALL BE ASSUMED TO TRANSFER THEIR
LOADS TO THE UNDERLYING MATERIALS BY SPREADING THE LDAD UNIFORMLY AT
AN ANGLE OF 6j1 WITH THE HORIZONTAL, STARTING AT A POLYGON
CIRCUMSCRIBING THE PILES AT THE TOP OF THE BEARING !7RATUM IN WHICH
THEY ARE EMBEDDED. THE AREA CONSIDERED AS SUPPORTING THE LOAD SHALL
NOT EXTEND BEYOND THE INTERSECTION OF THE 60' PLANES OF ADJACENT
PlLES OR PlLE GROUPS. (SEE SKETCH A )

MINIMUM NUMBER OF
PILES IN GROUP

8-

PlLE GROUPS SUPPORTING SUPERSTRUCTURE UMS NORMALLY CONSIST OF AT

LEAST 3 PlLES (FOR ARRANGEMENT SEE SKETCH B),EXCEPT FOR INDIVIDUAL PILES
SUPPORTING THE FLOOR SLAB OR IN CASES WHERE LATERALTIES ARE PRUUIDED.

TA.BLE 6 (continued)
General C r i t e r i a f o r I n s t a l l a t i o n of P i l e Foundations
C r i t e r i a and L i m i t a t i o n s

Item

S i n g l e p i l e s u p p o r t s may be used i f t h e p i l e has a b u t t diameter of 12" o r

g r e a t e r , i f t h e upper s o i l s a r e not of a weak n a t u r e , and i f proper
c o n s i d e r a t i o n i s given t o reinforcement of column and p i l e t o accommodate
potential eccentricities.
Embedment i n p i l e cap.
Pile length

...........

Tolerances i n p i l e
l o c a t i o n and alinement

Tops of p i l e s s h a l l extend a t l e a s t 4" i n t o t h e p i l e cap.

No p i l e s h a l l be s h o r t e r t h a n 10 f e e t .

( 1 ) V e r t i c a l p i l e s s h a l l n o t vary more than 2 p e r c e n t from t h e plumb p o s i t i o n .

( 2 ) No p i l e s h a l l be d r i v e n more t h a n 4" i n h o r i z o n t a l dimension from i t s design
l o c a t i o n , u n l e s s t h e e f f e c t of t h i s d e v i a t i o n i s analyzed and found a c c e p t a b l e

(3) E c c e n t r i c i t y of r e a c t i o n of t h e p i l e group with r e s p e c t t o t h e l o a d

r e s u l t a n t s h a l l not exceed a dimension t h a t would produce overloads of
more t h a n 10 percent i n any p i l e .
Driving Order.........

P i l e groups s h a l l be d r i v e n from t h e i n t e r i o r outward t o preclude d e n s i f i c a t i o n

and e x c e s s i v e l y hard d r i v i n g c o n d i t i o n s on t h e i n t e r i o r .

Allowable loads:

.... ..

Allowable overload of
piles-.
0.

(1)

Up t o 10 percent overload i s permitted due t o e c c e n t r i c i t y of r e a c t i o n

of t h e p i l e group.

(2)

Overload due t o wind i s permitted i f i t does n o t exceed 33 p e r c e n t of

allowable c a p a c i t y of p i l e under dead p l u s l i v e loads.

TABLE 6 (continued)
General C r i t e r i a f o r I n s t a l l a t i o n of P i l e Foundations

Item
L a t e r a l l o a d s on
v e r t i c a l piles........

R e l a t i v e load c a p a c i t y
of p i l e s i n a group...
Maximum allowable p i l e
load..................
S t a t i c and dynamic
pick-up loads.......

Splices.............,.

C r i t e r i a and L i m i t a t i o n s
Maximum 1 t o n p e r p i l e , i f p i l e i s embedded i n s o i l f o r i t s e n t i r e l e n g t h ,
except t h a t no l a t e r a l load i s permitted on v e r t i c a l p i l e s i n very s o f t f i n e grained s o i l s o r very l o o s e coarse-grained s o i l s . For p i l e s with unsupported
l e n g t h o r f o r l a r g e r h o r i z o n t a l l o a d s , use b a t t e r p i l e s o r use a n a l y s i s of
Figure 10 t o determine l a t e r a l load c a p a c i t y of v e r t i c a l p i l e s .
A l l bearing p i l e s w i t h i n a group s h a l l be of t h e same type and be of e q u a l
load capacity.

S h a l l be l i m i t e d by both allowable stress i n p i l e a s given i n Table 1 and

supporting c a p a c i t y of s o i l .
Induced f l e x u r a l s t r e s s e s i n c u r r e d during pick-up and placement of long conc r e t e p i l e s s h a l l not exceed t h e allowable bending s t r e s s e s p r e s c r i b e d f o r
t h a t p i l e length.
S h a l l be a b l e t o t r a n s m i t t h e r e s u l t a n t v e r t i c a l and l a t e r a l f o r c e s adequately.

Load t e s t s :

o.............. Load t e s t s t o

Conditions r e q u i r i n g
tests..

be performed f o r any of t h e following c o n d i t i o n :

( 1 ) To v e r i f y o r modify e s t i m a t e of p i l e load c a p a c i t y determined by o t h e r

means.

TABLE 6 (continued)
General C r i t e r i a f o r I n s t a l l a t i o n of P i l e Foundations

C r i t e r i a and L i m i t a t i o n s

Item

( 2 ) Where s i z e of p r o j e c t and s o i l c o n d i t i o n s i n d i c a t e a s i g n i f i c a n t s a v i n g s
i s possible.

(3) Where unique o r u n f a m i l i a r types a r e t o be used.

(4)
Number of load t e s t s . .

Where bearing stratum i s u n d e r l a i n by a more compressible o r quest i o n a b l e stratum.

A minimum of 3 test p i l e s s h a l l be driven p e r i n s t a l l a t i o n with uniform subs o i l conditions. Two of t h e s e p i l e s s h a l l be test loaded, but no l e s s than 1
load t e s t f o r each 15,000 square f e e t of b u i l d i n g area.

Supervision:
Inspection............

A l l p i l e d r i v i n g p r o j e c t s s h a l l have on t h e s i t e i n s p e c t i o n by a person who

has experience i n such work, p r e f e r a b l y a Registered P r o f e s s i o n a l Engineer.

Records...............

Records s h a l l be kept f o r t h e d r i v i n g of each p i l e . The record s h a l l include:

d a t e of d r i v i n g , type, s i z e , l e n g t h , d e v i a t i o n from design l o c a t i o n and a l i g n ment, p i l e hammer used, hammer speed, type and c o n d i t i o n of cushion, and blows
per f o o t f o r each foot of p e n e t r a t i o n f o r t h e f u l l l e n g t h of t h e p i l e , blows
p e r i n c h f o r t h e f i n a l 6 inches of d r i v i n g , except where an abrupt high
i n c r e a s e i n r e s i s t a n c e i s encountered, t h e f i n a l counts may be reduced t o
p e n e t r a t i o n f o r t h e l a s t 5 blows.

General items t o be
checked..............,

M a t e r i a l , q u a l i t y of t h e p i l e s t r a i g h t n e s s , a p p l i c a t i o n of p r e s e r v a t i v e s ,
radiographic i n s p e c t i o n of marine p i l i n g welds.
For l i g h t weight mandrel
d r i v e n s h e l l p i l e s , check i n t e r i o r f o r damage p r i o r t o concreting, check
d r i v i n g equipment f o r o p e r a t i o n a l c a p a b i l i t i e s .

TABLE 7
Supplementary P r o c e d u r e s and Appurtenances Used i n P i l e D r i v i n g
Method

Equipment and procedure utilized

Means of reducing driving

resistance above bearing
stratum:
.
Temporary casing..

.. . .

Precoring..

Spudding

........... .

. ......... ....

Applicability

Open end pipe casing driven and

cleaned out. May be pulled later.

a.
b.
c.
d.

By continuous flight auger or churn

drill, a hole is formed into which
the pile is lowered. P i l e is then
driven t o bearing below the cored
hole.

a.

Heavy structural sections or closed

end pipes are alternately raised
and dropped t o form a hole into
which pile is lowered. P i l e is
then driven to bearing below the

b.
c.
d.
a.
b.

T o drive through minor obstructions.

T o minimize displacement.
To prevent caving or squeezing of holes.
T o permit concretingof pile before excavation
to subgrade of foundation.
To drive through thick stratum of stiff to
hard cloy.
T o avoid displacement and heave of surrounding soil.
To avoid injury to timber and thin shell pipes.
To eliminate driving resistance in strata unsuitable for bearing.
To drive past individual obstruction
To drive through strata of fill with large
boulders or rock fragments.

jets are sometimes

driven with large butt downward.

timber or steel pipes.

jacks are used to advance pile.

a. T o be used instead of pile hammer where

access is difficult.

TABLE 8
Impact ana V i b r a t o r y P i l e - D r i v e r Data
'\

1.

IMPACT PILE HAMMER

**

Rated
Energy
Kip - f t .
180.0
130.0
120.0
113.5
97.5
79.6
60.0
60.0
56.5
50.2
48.7
48.7
44.5
42.0
40.6
39.8
37.5
36.0
32.5
32.5
32.5
32.0
30.2
26.3
26.0
26.0
26.0
24.4
24.4
24.3
24.0
22.6
22.4
24.4
19.8
19.8
19.5
19.2
18.2

Make of
Hammer*

Model No.

Vulcan
MKT
Vulcan
S-Vulcan

S-A
S-A
S-A
Diff.
S-A

KObe
Vulcan
MKT
Kobe
S-Vulcan
Vulcan
Raymond
Kobe
Vulcan
R v n d
Delmag

Dies.

rn

rn

S-Vulcan
MKT
Vulcan
Raymond
MKT
Vulcan
Link-Belt
MKT
Vulcan
MKT
S-Vulcan
Vulcan
Vulcan
MKT
Dehg
MKT
Kobe
Union
MKT
Vulcan
S-Vulcan
Link-Belt

S-A
S-A
Dies.
Mff.
S-A
S-A
Dies.
S-A
S-A
Dies.
S-A
Diff.
S-A
S-A
S-A
Dies.
S-A
Mes.
D-A

S-A
S-A
Diff.
Mff.
S-A
D-A
Dies.

Dies.
Dies.
D-A
D-A

S-A
Mff.
Mes.

Blows
per min

Stroke
a t Rated
Energy

62
55
60
100
60
52
60
60
52
98
60
46
52
60
50
52
60
103
55
50
50
48
50,
82
81
50
55
111
111
50
90
51
48
52
110
95
60
117
88

36
39
36
16.5
39
98
36
36
98
15.5
36
39
98
36
39
N/A
32
15.5
39
39
39
96
39
43.2
20
39
39
16.2
N/A
39
18
N/A
96
98
24
19
36
15.5
36.9

Weight
Strikirg
Parts
Kips
60.0
40.0
40.0
40.0
30.0
9.2
20.0
20.0
7.0
20.0
16.2
15.0
4.8
14.0
12.5
4.8
14.0
14.0
10.0
10.0
10.0
4.0
9.3
5.0
8.0
8.0
8.0
8.0
8.0
7.5
8.0
2.7
2.8
2.8
3.0
5.0
6.5
6.5
4.0

Total
Weigh
Kips
121.0
96.0
87.5
83.0
- 86.0
22.0
39.0
38.6
15.4
39.0
30.2
23.0
10.6
27.5
21.0
10.0
31.6
27.9
22.2
18.7
18.5
11.2
16.7
12.5
18.7
16.7
18.1
17.8
18.4
16.2
17.7
5.4
9.0
6.4
14.5
14.5
11.2
14.8
10.3

TABLE 8 ( c o n t i n u e d )
Impact and V i b r a t o r y P i l e - D r i v e r Data

Rated**
Energy
Kip-f t

Make of
Hammer*

16.2
16.0
16.0
15.1
15.1
15.0
15.0
13.1
12.7
9.0
9.0
9 .O
8.8
8.7
8.2
8.1
7.2
7.2
7.2
6.5
4.9
3.6
3.6
.4
.4
.4
.3

MKT

Mm.
MKT
S-Vulcan
Vulcan
Vulcan
Link-Belt

Ma.'
Union
DeI=
MKT
MKT
MKT

MKT
Union
Link-Belt
Vulcan
S-Vulcan
Vulcan
Link-Belt
Vulcan
Union
MKT
Union
Vulcan
MKT
Union

Blows
Model No.
S5
DE-20
C5
50C

Types*

per min

S-A
Dies.
Comp
Dif f.
Diff.
S-A
Dies.
D-A
D-A
Dies.
P A
S-A
Dies.
D-A
D-A
Dies.
S-A
Diff.
Diff.
Dies.
Diff.
D-A
D-A
D-A
D if f
D-A
D-A

5M

1
312
10B3
1
D5
C-3
S3
DE- 10
9B3
1.5A
180
2
30C
3M

105
DGH900
3
7
6
DGHl OOA
3
7A

60
48
110
120
120
60
100
105
125
51
130
65
48
145
135
92
70
133
133
94
238
160
225
340
303
400
400

Stroke
atRated
Energy

39
96
18
15.5
15.5
36
30.9
19
21
N/A

16
36
96
17
18
37.6
29.7
12.5

N/A
35.2
10
14
9.5
7
6
5.7
6

Weight
Striking
Parts
Kips

5.0
2 .O
5.0
5 .O
5.0
5.0
3.8
3.0
1.6
1.1
3.0
3.0
11.0
1.6
1.5
1.7
3.0
3.0
3.0
1.4
.9
.7
.8
.1
.1
.06
-08

Total
Weight
Kips

12.3
6.3
11.8
11.7
12.9
10.1
10.3
10.6
10.0
2.4
8.5
8.8
3.5
7.0
9.2
4.5
7.1
7.0
8.4
3.8
5.0
4.7
5.0
-9
.8
-7

-5

Codes

MKT
McKiernan-Terry
S-Vulcan
Su'per-Vulcan
Single-Acting
S-A

D-A
Double-Acting
Diff.
Differential
Dies.
Diesel

Comp.

** In

- Compound

calculations of p i l e capacities by dynamic formula, e f f e c t i v e energy delivered by

hammr should be used. Hammer energy i s affected by pressures used t o operate t h e
hammer, stroke r a t e , etc. Double-acting, d i f f e r e n t i a l , and d i e s e l hammers may
operate a t less than rated energies; double-acting hammrs deliver s i g n i f i c a n t l y less
than rated energy when operated a t l e s s than rated speed. Consult manufacturers.

TABLE 8 (continued)
Impact and Vibratory Pile-Driver Data

2.

VIBRATORY DRNWS

Total Weight
Kips

Available

HP

Frequency
Range
cps

2-17
2-35
2-50

6.2
9.1
11.2

34
70
100

18-2 1
14-19
11-17

Men&
(Germany)

M\r 622-30

MVB65-30
IWB44-30

4.8
2.0
8.6

50
7.5
100

Muller
(Germany)

MS-26
MS-26D

9.6
16.1

72
145

Uraga
(Japan)

VHW1
VHD-2
VHD-3

8.4
11.9
15.4

40
80
120

Bodine
(USA)

Make
Foster
(France)

(Russia)

*** Forces

hodel

BT-5
WP-2
100
VP
VP-4

22

2.9
4.9
4.0
11.0
25.9

1000

37
54
37
80
208

Force Kips***,
Frequency
cps

62/19
101117
481
141
971

16-20
16-20
16-20

0-1%

42
25
13
6.7

43/20
86/20
129120

631100

- 175/100

48/42
49/25
44/13
3517
1981

g i w n a r e present maximums. These can usually be raised o r lor~eredby

changing w i g h t s i n the oscillator.

AIR OR STEAM

WEIGHT

(A) DROP
HAMMER

(6) SINGLE-ACTING
HAMMERS

(C) DIFFERENTIAL
AND
DOUBLE-ACTING
HAMMERS

(D) DIESEL
HAMMERS

FIGURE 5
Principles of Operation of P i l e Drivers

(E) VIBRATORY
MilVER

See Table 6 f o r g e n e r a l guidance and Referd. I n s p e c t i o n Guidelines.

ence 19, I n s p e c t o r s ' Manual f o r P i l e Foundations, by t h e Deep Foundation
Institute.
.

( 1 ) Driven P i l e s . The i n s p e c t o r should normally a s s e s s t h e performance of t h e d r i v i n g equipment, record t h e d r i v i n g r e s i s t a n c e s , p a r t i c u l a r l y

t h e f i n a l s e t ( n e t p e n e t r a t i o n p e r blow), record t h e d r i v e n depth and t i p
e l e v a t i o n , and c o n t i n u a l l y observe t h e p i l e f o r evidence of damage o r e r r a t i c
driving. The c r i t e r i a f o r t e r m i n a t i o n of p i l e d r i v i n g i s normally a p e n e t r a Normally, a set
t i o n r e s i s t a n c e c r i t e r i a o r a r e q u i r e d depth of p e n e t r a t i o n .
c r i t e r i a would be used f o r end bearing p i l e s o r p i l e s where s o i l f r e e z e i s n o t
a major f a c t o r while p e n e t r a t i o n c r i t e r i a would be more a p p r o p r i a t e f o r f r i c t i o n p i l e s , p i l e s i n t o c l a y , and/or when s o i l f r e e z e i s a major f a c t o r .
( a ) Timber P i l e s .
(Reference 20, AWPI Technical G u i d e l i n e s
f o r Pressure-Treated Wood, Timber P i l i n g , and A S R l Standard D25, Round Timber
P i l e s . ) S i t e E n g i n e e r l I n s p e c t o r should check t h e following items:

O v e r s t r e s s i n g a t t h e top of p i l e , u s u a l l y v i s i b l e
brooming.

- Properly

f i t t e d d r i v i n g cap.

- Straightness.
- Sound wood f r e e of decay
- Pressure treatment.
- Low frequency of knots.

and i n s e c t a t t a c k .

( b ) Concrete P i l e s .
(Reference 21, Recommendations f o r
Design, Manufacture, and I n s t a l l a t i o n of Concrete P i l e s , by t h e American
Concrete I n s t i t u t e . )
S i t e Engineer/Inspector should check t h e f o l l o w i n g
items:

(c)
following items:

That p i l e l e n g t h , geometry, t h i c k n e s s , and s t r a i g h t n e s s

conforms t o s p e c i f i c a t i o n s .

Note e x t e n t , amount, and l o c a t i o n of s p a l l i n g o r cracki n g i n t h e p i l e during d r i v i n g and p i c k up, and set.

Thickness and type of cushion

specification.

S t e e l Piles.

should comply w i t h

S i t e Engineer/Inspector should check t h e

- Compliance with

a p p l i c a b l e codes and s p e c i f i c a t i o n s .

S t r u c t u r a l damage t o p i l e due t o over-driving/

overstressing.

P i l e o r i e n t a t i o n conforms t o t h e plans.

( 2 ) D r i l l e d P i e r s . Minimum requirements f o r proper i n s p e c t i o n of

d r i l l e d s h a f t c o n s t r u c t i o n a r e a s follows:
(a)

For Dry o r Casing Method of Construction;

-A

q u a l i f i e d i n s p e c t o r should record t h e m a t e r i a l t y p e s
being removed from t h e hole a s excavation proceeds.

- When

t h e bearing s o i l has been encountered and

i d e n t i f i e d and/or t h e designated t i p e l e v a t i o n has been
reached, t h e s h a f t w a l l s and base should be observed f o r
anomalies, unexpected s o f t s o i l c o n d i t i o n s , o b s t r u c t i o n s
o r caving.

(b)

Concrete placed f r e e f a l l should not be allowed t o h i t

t h e s i d e w a l l s of t h e excavation.

S t r u c t u r a l s t a b i l i t y of t h e r e b a r cage should be maint a i n e d during t h e c o n c r e t e pour t o prevent buckling.

The volume of c o n c r e t e should be checked t o ensure v o i d s

d i d not r e s u l t during e x t r a c t i o n of t h e casing.

Concrete must be tremied i n t o p l a c e with an adequate

head t o d i s p l a c e water o r s l u r r y i f groundwater has
e n t e r e d t h e bore hole.

P u l l i n g c a s i n g with i n s u f f i c i e n t c o n c r e t e i n s i d e should
be r e s t r i c t e d .

Bottom of hole should be cleaned.

For S l u r r y Displacement Method of Construction.

A check on t h e c o n c r e t e volume and recording t h e mater i a l types and depth of s h a f t apply t h e same a s above.

The tremie p i p e should be w a t e r t i g h t and should be

f i t t e d with some form of valve a t t h e lower end.

( 3 ) Caissons on Rock.
accomplished by e i t h e r :

I n s p e c t i o n of c a i s s o n bottom i s u s u a l l y

( a ) Probing with a 2-112" diameter probe hole t o a minimum of 8

f e e t o r 1.5 times t h e c a i s s o n s h a f t diameter (whichever i s l a r g e r ) .
( b ) Visual i n s p e c t i o n by a q u a l i f i e d g e o l o g i s t a t c a i s s o n bottom with proper s a f e t y precautions o r from t h e s u r f a c e u t i l i z i n g a borehole
camera. The purpose of t h e i n s p e c t i o n i s t o determine t h e e x t e n t of seams,
c a v i t i e s and f r a c t u r e s . The allowable cumulative seam t h i c k n e s s w i t h i n t h e
probe depth v a r i e s depending on performance c r i t e r i a . Values a s low a s 114"
of cumulative t h i c k n e s s can be s p e c i f i e d f o r t h e top 112 diameter.

e.

I n s t a l l a t i o n Guidelines.
(1)

Driven P i l e s .

( a ) For p i l e groups, d r i v e i n t e r i o r p i l e s f i r s t t o a v o i d hard

d r i v i n g c o n d i t i o n s , o v e r s t r e s s i n g , and t o minimize heave.
(b)

Make s u r e p i l e d r i v i n g caps and/or cushions are a p p r o p r i -

ate.
( c ) Check f o r compression bands around t h e t o p of c o n c r e t e and
timber p i l e s t o avoid o v e r s t r e s s i n g .
(d)

Check f o r proper alignment of t h e d r i v i n g head.

( e ) I f t h e p i l e suddenly changes d i r e c t i o n s o r a s u b s t a n t i a l l y
reduced d r i v i n g r e s i s t a n c e i s noted, t h e p i l e i s probably broken.
Table 9 summarizes some of t h e common i n s t a l l a t i o n problems and
recommended procedures.
Table 10 (Reference 22, D r i l l e d S h a f t s : Design and
Construction Guideline Manual. Vol 1: Construction Procedures and Desien f o r
Axial Load, by Reese and Wright) summarizes some of t h e more common i n s t a l l a t i o n problems and procedures f o r d r i l l e d p i e r s .

( 2 ) Performance Tolerance. It i s normal p r a c t i c e t o t a i l o r t h e

s p e c i f i c a t i o n s t o p a r t i c u l a r s i t e c o n d i t i o n s and t o s t r u c t u r a l performance
c r i t e r i a . I n many a p p l i c a t i o n s t h e following c r i t e r i a may apply:
( a ) Allowable Deviation,from S p e c i f i e d Location. I n t h e
absence of another over-riding p r o j e c t s p e c i f i c a t i o n c r i t e r i a , use 4 i n c h e s .
Consider t h e t e c h n i c a l f e a s i b i l i t y of i n c r e a s i n g t o more than 4 i n c h e s f o r
caps with 4 p i l e s o r less.
( b ) Allowable out-of-vertical.
I n t h e absence of t h e overr i d i n g p r o j e c t s p e c i f i c a t i o n c r i t e r i a , use 2% provided t h a t t h e a l l o w a b l e
d e v i a t i o n i s not exceeded. Values of 4%, 2% and 1/4 i n c h o u t of plumb have
been used.
( c ) Allowable Heave Before Redriving. Require r e d r i v i n g of
p i l e s i f heave exceeds 0.01 f e e t f o r e s s e n t i a l l y f r i c t i o n p i l e s , o r any
d e t e c t a b l e heave i f p i l e s a r e known t o be e s s e n t i a l l y end-bearing.
( d ) Minimum Distance of P i l e Being Driven from Fresh Concrete.
I n t h e absence of over-riding p r o j e c t s p e c i f i c a t i o n c r i t e r i a , u s e 15 f e e t .
Values of 10 f e e t t o 50 f e e t have been used i n p r a c t i c e .

TABLE 9
Treatment of F i e l d Problems Encountered During P i l e D r i v i n p

Description of problem

Procedures to be applied

Category:
Obstructions: Old foundations, boulders, rubble
fill, cemented lenses, and similar obstacles to
driving.
General problems:
Vibration in Driving: May compact loose granular
materials causing settlement of existing struc( tures near piles. Effect most pronounced i n
driving displacement piles.
Damage to Thin Shells: Driven shells may have
been crimped, buckled, or torn, or be leaking a t
joints a s the results of driving difficulties or
presence of obstructions.
Inappropriate Use of P i l e Driving Formula: P i l e s
driven t o a penetration determined solely by
driving resistance may be bearing i n a compressible stratum. This may occur i n thick strata of
silty fine sarid, varved silts and clays, or medium stiff cohesive soils.
Difficulties a t pile tip:
Fracturing of Bearing Materials: Fracturing of material immediately below tips of piles driven t o
required resistance a s a result of driving adjacent piles. Brittle weathered rock, clay-shale,
shale, siltstone, and sandstone are vulnerable
materials. Swelling of stiff fissured clays or
shales a t pile tip may complicate this problem.
Steeply Sloping Rock Surface: Tips of high capacity end bearing piles may slide or move laterally
on a steeply sloping surface of sound hard rock
which h a s little or no overlying weathered material.
L o s s of Ground: May occur during installation of
open end pipe piles. Materials vulnerable t o
piping, particularly fine sands or silts, may flow
into pipe under the influence of a n outside differential head, causing settlement i n surrounding
areas or l o s s of ground beneath tips of adjacent
piles.
Movement of piles subsequent to driving:
Heave: Completed piles rise vertically a s the result of driving adjacent piles. Particularly common for displacement piles i n soft clays and medium compact granular soils. Heave becomes
serious i n soft clays when volume displaced by
piles exceeds 2%% of volume of soil enclosed
within the limits of the pile foundation.

Excavate or break up shallow obstruction if practical. For

deeper obstructions use spudding, jetting, or temporary c a s ings, or u s e drive shoes and reinforced tips where pile is
strong enough to be driven through obstructions.
Select pile type with minimum disp!acement, and/or precore or
jet with temporary casing or substitute jacking for pile driv1 ing.
Each pile is inspected with light beam. If diameter a t any location varies more than 15% from original diameter or if other
damage t o shell cannot be repaired, pile is abandoned, filled
with sand and a replacement is driven. Concrete shall b e
vlaced in dry shell only.
Unsuitable bearing strata should be determined by exploration
-program. P i l e s should not be permitted to stop in these
strata, regardless of driving resistance. For bearing i n stiff
and-brittle cohesive soils and i n soft rock. load t e s t s a r e
particularly important.

I-

For piles bearing in these materials specify driving resistance

t e s t o n selected piles after completion of driving adjacent
piles. If damage .to the bearing stratum is evidenced, require
redriving until specified resistance is met.

Provide special shoes or pointed tips or use open end pipe

pile socketed into sound rock.

Avoid cleaning i n advance of pile cutting edge, and/or retain

sufficient material within pipe t o prevent inflow of s o i l from
below.

For piles of solid cross sections (timber, steel, precast concrete), survey top elevations during driving of adjacent piles
t o determine possible heave. For piles that have risen more
than 0.01 ft, redrive to at least the former tip elevation, and
beyond that a s necessary to reach required driving resistance.
Heave is minimized by driving temporary open-end casing,
precoring, or jetting s o that total volume displaced by pile
driving is l e s s than 2 or 3% of total volume enclosed within
limits of pile foundation.
Lateral Movement of Piles: Completed piles move Survey horizontal position of completed piles during the driving
horizontally a s the result of driving adjacent
of adjacent piles. Movement is controlled by procedures used
piles.
to minimize heave.

Drilled Piers:
Problem

TABLE 10
Construction Problems
Solution

Pouring c o n c r e t e through wqter

Removal of water by b a i l i n g o r use o f

tremie

Segregation of c o n c r e t e during
placing

I f f r e e - f a l l i s employed, e x e r c i s i n g c a r e
t o see t h a t concrete f a l l s t o f i n a l
l o c a t i o n without s t r i k i n g anything, o r u s e
of t r emie

R e s t r i c t e d flow of c o n c r e t e
through o r arouna r e b a r cage

Designing of r e b a r cage with adequate

spacing f o r normal c o n c r e t e ( a l l c l e a r
spaces a t l e a s t t h r e e times t h e s i z e of
l a r g e s t aggregate) o r u s e of s p e c i a l mix
with small-sized c o a r s e aggregate

Torsional buckling of r e b a r
cage during c o n c r e t e placement
with casing method

Strengthening r e b a r cage by use of

c i r c u m f e r e n t i a l bands welded t o lower
p o r t i o n of cage, u s e of c o n c r e t e w i t h
improved flow c h a r a c t e r i s t i c s , use of
r e t a r d e r i n c o n c r e t e allowing c a s i n g t o be
p u l l e d very slowly

P u l l i n g casing with
i n s u f f i c i e n t concrete i n s i d e

Always having casing extending above

ground s u r f a c e and always having c a s i n g
f i l l e d w i t h a s u f f i c i e n t head of c o n c r e t e
with good flow c h a r a c t e r i s t i c s b e f o r e
casing i s p u l l e d

Weak s o i l o r undetected c a v i t y
beneath base of foundation

Requiring e x p l o r a t i o n t o a depth of a few

diameters below t h e bottom of t h e
excavation

Deformation o r c o l l a p s e of s o i l

Such problems a r e r e a d i l y detected by

even t h e minimums of i n s p e c t i o n

2.

PILE LOAD TEST.

a. ~ e n e r a l . The r e s u l t s of p i l e l o a d t e s t s a r e t h e most r e l i a b l e means

of e v a l u a t i n g t h e l o a d c a p a c i t y of a deep foundation. Load tests can be p e r formed d u r i n g t h e d e s i g n phase as a d e s i g n t o o l and/or d u r i n g c o n s t r u c t i o n t o
v e r i f y d e s i g n loads. P i l e l o a d tests should be considered f o r l a r g e and/ o r
c r i t i c a l p r o j e c t s , f o r p i l e t y p e s and s o i l c o n d i t i o n s f o r which t h e r e i s
l i m i t e d p r e v i o u s l o c a l experience, when proposed d e s i g n l o a d s exceed t h o s e
normally used, and f o r o t h e r d e s i g n / s i t e c o n d i t i o n s such a s t h e need t o u s e
lower t h a n s p e c i f i e d f a c t o r of s a f e t y i n t h e design.
The t y p e s of p i l e l o a d t e s t s normally performed i n c l u d e :
( 1 ) Standard Loading Procedures o r Slow Maintained-Load T e s t Method.
For procedure, r e f e r t o ASTM Standard D3689, I n d i v i d u a l P i l e s under S t a t i c
A x i a l T e n s i l e Load. It i s t h e most common l o a d t e s t c u r r e n t l y used.
It i s a
long d u r a t i o n t e s t ( t y p i c a l l y 70 hours o r l o n g e r ) loaded t o 200 p e r c e n t of t h e
d e s i g n l o a d , o r t o f a i l u r e . To determine curve of p l a s t i c deformation, t h e
t e s t procedure should be a l t e r e d t o i n c l u d e a t l e a s t t h r e e unload-reload
c y c l e s . T h i s procedure i s d e s c r i b e d i n ASTM Standard D1143, P i l e Under A x i a l
Compressive Load.
( 2 ) Quick Maintained-Load T e s t Method. For p r o c e d u r e , r e f e r t o ASTM
Standard D1143. This i s a s h o r t d u r a t i o n t e s t , t y p i c a l l y 1 t o 4 h o u r s , genIt i s s u i t a b l e
e r a l l y loaded t o 300 p e r c e n t of t h e d e s i g n l o a d o r f a i l u r e .
f o r d e s i g n l o a d t e s t and can be e f f e c t i v e l y used f o r l o a d proof t e s t i n g d u r i n g
c o n s t r u c t ion.
( 3 ) Constant Rate of P e n e t r a t i o n ( o r U p l i f t ) T e s t Method. A d i s placement-controlled method. For procedure, r e f e r t o ASTM S t a n d a r d Dl143 o r
ASTM Standard D3689. It i s a s h o r t d u r a t i o n t e s t , t y p i c a l l y 2 t o 3 h o u r s , and
may r e q u i r e s p e c i a l l o a d i n g equipment a s d e s c r i b e d i n Reference 23, A Device
f o r t h e Constant Rate of P e n e t r a t i o n T e s t f o r P i l e s , by Garneau and Samson.
This method i s recommended f o r t e s t i n g p i l e s i n cohesive s o i l s and f o r a l l
t e s t s where o n l y t h e u l t i m a t e c a p a c i t y i s t o be measured. The method can
provide i n f o r m a t i o n r e g a r d i n g behavior of f r i c t i o n p i l e s and i s w e l l s u i t e d
f o r l o a d t e s t s d u r i n g design.
b. I n t e r p r e t a t i o n of R e s u l t s . There a r e numerous procedures f o r i n t e r p r e t a t i o n of p i l e l o a d t e s t r e s u l t s i n c l u d i n g t h o s e s p e c i f i e d by l o c a l b u i l d i n g codes. A d e f l e c t i o n c r i t e r i a i s normally used t o d e f i n e f a i l u r e . I n t h e
absence of a n o v e r - r i d i n g p r o j e c t s p e c i f i c a t i o n c r i t e r i a , u s e 314 i n c h n e t
s e t t l e m e n t a t twice t h e d e s i g n load. Values of 114 and 1 i n c h a t twice t h e
design l o a d and 1/4 i n c h a t t h r e e t i m e s t h e d e s i g n l o a d have been used.
Figu r e 6 p r e s e n t s a procedure f o r determining t h e f a i l u r e load based on a perman e n t s e t of 0.15 + D/120 i n c h e s (where D i s t h e p i l e diameter i n i n c h e s ) . T h i s
procedure can be used f o r e i t h e r of t h e t h r e e t e s t methods p r e s e n t e d above.
Where n e g a t i v e s k i n f r i c t i o n (downdrag) may a c t on t h e p i l e , o n l y
l o a d c a r r i e d by t h e p i l e below t h e compressible zone should be considered.
T h i s may be determined by minimizing s h a f t r e s i s t a n c e d u r i n g t h e l o a d t e s t
(e.g., p r e d r i l l i n g o v e r s i z e d h o l e , c a s e and c l e a n , u s i n g b e n t o n i t e s l u r r y ,
e t c . ) o r by measuring movement of t i p d i r e c t l y by e x t e n s i o n r o d s a t t a c h e d t o
t h e p i l e t i p and a n a l y z i n g t e s t r e s u l t s i n accordance w i t h F i g u r e 7.

APPLIED

LOAD (TONS)

TYPICAL TEST PLOT

column by:

"

aE= %L
AE

Q = t e s t load, l b s

Lp = p i l e l e n g t h , i n . ( f o r end-bearing p i l e )
A = c r o s s - s e c t i o n a l a r e a of p i l e m a t e r i a l ,
sq i n
E = Young's Modulus f o r p i l e m a t e r i a l , p s i

2.

Determine s c a l e s of p l o t such t h a t s l o p e of p i l e e l a s t i c compression

l i n e i s approximately 20'.

3.

P l o t p i l e head t o t a l displacment vs. a p p l i e d l o a d .

4.

F a i l u r e l o a d i s d e f i n e d a s t h a t l o a d which produces a displacement of

t h e p i l e head e q u a l t o :
D
sf.=SEt (.15+-)120

S f = displacement a t f a i l u r e , i n .
D = p i l e diameter, in.

5.

Plot f a i l u r e c r i t e r i o n a s described i n ( 4 ) , represented a s a s t r a i g h t

l i n e , p a r a l l e l t o l i n e of p i l e e l a s t i c compression.
I n t e r s e c t i o n of
f a i l u r e c r i t e r i o n with observed l o a d d e f l e c t i o n curve d e f i n e s f a i l u r e
l o a d , Qf.

'6.

Where observed l o a d displacement curve does n o t i n t e r s e c t f a i l u r e

c r i t e r i o n , t h e maximum t e s t l o a d should be t a k e n a s t h e f a i l u r e l o a d .

7.

Apply f a c t o r of s a f e t y of a t l e a s t 2.0
a l l o w a b l e load.

to f a i l u r e load t o determine

FIGURE 6
I n t e r p r e t a t i o n of P i l e Load T e s t

c. P u l l o u t T e s t s . Methods or a e ~ e m ~ l ~ fi anigl u r e load f o r t e n s i o n l o a d

In g e n e r a l ,
t e s t s vary depending on t h e t o l e r a b l e movement of t h e s t r u c t u r e .
f a i l u r e load i s more e a s i l y defined than f o r compression load tests s i n c e
a v a i l a b l e r e s i s t a n c e g e n e r a l l y de r e a s e s more d i s t i n c t l y a f t e r reaching f a i l t h a t value a t which upward movement suddenure. F a i l u r e load may be taken
l y i n c r e a s e s d i s p r o p o r t i o n a t e l y t o l o a d a p p l i e d , i.e. t h e p o i n t of s h a r p e s t
c u r v a t u r e on t h e load-displacement curve.
d. L a t e r a l Load Tests. L a t e r a l load t e s t s a r e u s u a l l y performed by
jacking a p a r t two adjacent p i l e and recording d e f l e c t i o n s of t h e p i l e s f o r
See Reference 24, Model Study of L a t e r a l l y Loaded P i l e ,
each load increment.
by Davisson and S a l l e y , f o r f u r t h e r guidance. In some a p p l i c a t i o n s t e s t i n g of
a- p i l e group may be required.
e. Other Comments. A response of a d r i v e n p i l e i n a load t e s t can be
I n most
g r e a t l y a f f e c t e d by t h e time elapsed between d r i v i n g and t e s t i n g .
c a s e s , a g a i n i n p i l e bearing c a p a c i t y i s experienced w i t h time and i s governed by t h e r a t e of d i s s i p a t i o n of excess pore water p r e s s u r e s generated by
d r i v i n g t h e p i l e throughout t h e surrounding s o i l mass. This i s f r e q u e n t l y
termed "freezing." The time r e q u i r e d f o r t h e s o i l t o r e g a i n i t s maximum s h e a r
s t r e n g t h can range from a minimum of 3 t o 30 days o r longer. The a c t u a l req u i r e d waiting period may be determined by r e d r i v i n g p i l e s o r from previous
experience. Generally, however, e a r l y t e s t i n g w i l l r e s u l t i n an underestimate
of t h e a c t u a l p i l e c a p a c i t y e s p e c i a l l y f o r p i l e s d e r i v i n g t h e i r c a p a c i t y from
s a t u r a t e d cohesive s o i l s .
P i l e s d r i v e n through s a t u r a t e d dense f i n e sands and s i l t s may experience l o s s of d r i v i n g r e s i s t a n c e a f t e r periods of r e s t . When r e d r i v e n a f t e r
p e r i o d s of rest t h e d r i v i n g r e s i s t a n c e (and bearing c a p a c i t y ) w i l l be less
compared t o t h e i n i t i a l d r i v i n g r e s i s t a n c e (and c a p a c i t y ) . This phenomenon i s
commonly r e f e r r e d t o a s r e l a x a t i o n .
S e c t i o n 5.

1.

D I S T R I B ~ I O N OF LOADS ON PILE GROUPS

VERTICAL PILE GROUPS.

a. E c c e n t r i c V e r t i c a l Loading. D i s t r i b u t i o n of design load on p i l e s i n

groups i s analyzed by r o u t i n e procedures a s follows:
(1) For d i s t r i b u t i o n of a p p l i e d load e c c e n t r i c about one o r two
axes, s e e Reference 6.

( 2 ) Overload from e c c e n t r i c i t y between a p p l i e d l o a d and c e n t e r of

g r a v i t y of p i l e group s h a l l be permitted up t o 10 percent of allowable working
load when a s a f e t y ' f a c t o r of 2-112 t o 3 i s a v a i l a b l e f o r t h e working load.
( 3 ) Overload from wind plus o t h e r temporary l i v e l o a d s up t o 33 perc e n t of t h e allowable working load i s permitted, when a s a f e t y f a c t o r of 2-112
t o 3 i s a v a i l a b l e f o r t h e working load.
( 4 ) Except i n unusual circumstances, a l l bearing p i l e s i n a group
s h a l l be of t h e same type, and of equal load capacity.

I.

IF SKlN FRICTION ACTING ON TEST PlLE MAY BE REVERSED IN THE PROTOTYPE BY CONSOLIDATION
OF MATERIALS ABOVE THE BFARING CrRATUM,ANALYZE UADTEST TD DETERMINE RELATION

2.
3.

OF U)AD VS SETTLEMENT FOR PlLE TIP AUNE .

COMPUTE THEORETICAL ELASTIC SHORTENING ASSUMING SEVERAL
POSSIBU VARIATIONS OF SKIN
FRICTION ON PlLE AS SHOWN BELOW FOR A CYLINDRICAL PILE.
COMPARE THEORETICAL WltH OBSERVED ELASTIC SHORTENING AND DETERMINE PROBABLE
VARIATION OF SKlN FRICTION ON PILE. USING THIS VARIATION OF SKlN FRICTUN, COMPUTE LaAD
AT TIP.
CYLINDRICAL PILE: MODULUS OF ELASTICITY =E

CA=MAXIMUM
SKlN FRICTION

I
I
'

BEARING
STRATUM
R =RADIUS A = AREA

/acA

DIVISION OF APPLIED LOAD

BETWEEN TIP LOAD ,AND
SKlN FRICTION
F = TOTAL SKIN FRICTION

8E = ELASTIC SHORTENING

OF PILE WITH
LOAD QA AT BUTT AND Qp' AT TIP.

BE = ( a * - 2 n ~ ~ ~ (

-3

,'

IN~ENSITYOF SKIN
FRICTION

CASE
,SKIN FRICTION CONSTANT
WITH DEPTH :
L
8~ = (QA-rr R C A L I AE

ap' =
CASE @ ,SKIN FRICTION DECREASING TD a CA
AT TIP :

CASE @ ,SKIN FRICTION DECREASING TO

ZERO AT TIP :

BE = ( Q A -

4 T R3C A L

'

Ln

-+

~ A E ~ E
QP'=
2,
*

FIGURE 7
Load Test Analysis Where Downdrag Acts on Pile

2.
GROUPS WITH VERTICAL AND BATTER PILES. Analyze d i s t r i b u t i o n of p i l e
l o a d s according t o c r i t e r i a i n Reference 25, P i l e Foundations, by C h e l l i s .
The f o l l o w i n g l i m i t a t i o n s apply:
( 1 ) Assume i n c l i n a t i o n of b a t t e r p i l e s no f l a t t e r t h a n 1 h o r i z o n t a l
t o 3 v e r t i c a l u n l e s s s p e c i a l d r i v i n g equipment i s s p e c i f i e d .

( 2 ) When b a t t e r p i l e s a r e i n c l u d e d i n a group, no allowance i s made

f o r p o s s i b l e r e s i s t a n c e of v e r t i c a l p i l e s t o h o r i z o n t a l f o r c e s .

( 3 ) For a n a l y s i s of l o a d s on p i l e s i n r e l i e v i n g p l a t f o r m s , s e e
Reference 26, American C i v i l Engineering P r a c t i c e , Vol. 1, by Abbett.

(4)

For a n a l y s i s of b a t t e r p i l e anchorage f o r tower guys, s e e F i g u r e

8.

S e c t i o n 6.

DEEP FOUNDATIONS ON ROCK

1.
GENERAL. For o r d i n a r y s t r u c t u r e s , most rock f o r m a t i o n s p r o v i d e an i d e a l
f o u n d a t i o n capable of s u p p o r t i n g l a r g e l o a d s w i t h n e g l i g i b l e s e t t l e m e n t .
Norm a l l y , t h e a l l o w a b l e l o a d s on p i l e s d r i v e n i n t o rock a r e based on p i l e s t r u c t u r a l c a p a c i t y while t h e allowable b e a r i n g p r e s s u r e s f o r f o o t i n g s / p i e r s on
rock a r e based on a nominal v a l u e s of a l l o w a b l e b e a r i n g c a p a c i t y ( s e e Chapter
4 1.
There a r e however c e r t a i n u n f a v o r a b l e r o c k c o n d i t i o n s ( e . g. , cavernous
l i m e s t o n e , s e e DM-7.1, Chapter 1 ) which can r e s u l t i n e x c e s s i v e s e t t l e m e n t
and/or f a i l u r e . These p o t e n t i a l h a z a r d s must be c o n s i d e r e d i n t h e d e s i g n and
c o n s t r u c t i o n of f o u n d a t i o n s on rock.
2.
PILES DRIVEN INTO ROCK. P i l e s d r i v e n i n t o rock normally meet r e f u s a l a t
a nominal d e p t h below t h e weathered zone and can be designed based on t h e
s t r u c t u r a l c a p a c i t y of t h e p i l e imposed by b o t h t h e dynamic d r i v i n g s t r e s s e s
and t h e s t a t i c stresses. Highly weathered r o c k s such as decomposed g r a n i t e o r
l i m e s t o n e and weakly cemented rocks such as s o f t c l a y - s h a l e s can be t r e a t e d a s
soils.
The p o s s i b i l i t y of buckling below t h e mudline should b e e v a l u a t e d f o r
h i g h c a p a c i t y p i l e d r i v e n through s o f t s o i l s i n t o bedrock ( s e e Reference 27,
The Design of Foundations f o r B u i l d i n g s , by Johnson and Kavanaugh).

3.
ALLOWABLE LOADS ON PIERS I N ROCK.
P i e r s d r i l l e d through s o i l and a
nominal d e p t h i n t o bedrock shciuld be designed on t h e b a s i s of a n a l l o w a b l e
b e a r i n g p r e s s u r e g i v e n i n Chapter 4 o r o t h e r c r i t e r i a ( s e e Reference 28,
Foundation ~ n ~ i n e e r i nby~ peck,
,
e t al.).
P i e r s a r e normally d r i l l e d a nominal d e p t h i n t o t h e rock t o e n s u r e b e a r i n g e n t i r e l y on rock and t o e x t e n d
t h e p i e r through t h e upper, more f r a c t u r e d zones of t h e rock. I n c r e a s e i n
a l l o w a b l e b e a r i n g with embedment depth should be based on e n c o u n t e r i n g more
competent rock w i t h depth.

EL-33
VERTICAL EFFECTIVE STRESS IN
BEARING STRATUM
FOR A SIX PILE GROUP -4 TENSION, 2 COMPRESSION ASSUME A SQUARE STRAIGHT CONCRETE PILE,
PILE CAP WEIGHT (DW)=10 X ll X 3 X 0.b KCF
AS SHOWN , ~ = 2 0 '(D(20B)
=*.5K
FIND Fs AGAINST Quit AND Tult

DETERMINE PILE FORCES BY A FORCE DIMRAM.

IGNORE RESISTANCE ABOVE FIRM SAND STRATUM.
BEARING STRATUM
= 30, Nq = 2 1
KHC =I.5, K~~ = 1.0,8=) (-=22d0

(mFIGURE I)

A ~ = ( # ) ~1=. 3 6 ~ ~
PERIM. AREA /lf
=4 X

Quit = 1.98 X 21 X 1.36

+$= 4.7 SF&(

. --

+ (1.5 x ( "'l

x TAN 22.5 x4.7 i 2 0 )

= !5654+81.47
= 138 K
COMPRESSION LOAD ON PILES FROM FORCE MAGRAM IS 70KIPS. UMD PER PILE 70K h = 35K
F ~ = ~ 3 . 9 )~,REQ'D Fs
) xTAN 225 x 4.7 x 20
T u l t = I.Ox( 0.81+Isg8

= 54.31 K
TENSION LOAD ON PILES FROM FORCE DIAGRAM IS 80 KIPS. LOIO PO1PILE

= 2 0K

WEIGHT OF PlLE ~0.204Kp/' X 37 = Z6 K

-4.3 > 3 REQ'D FS
Fs- 54.3
(20.0 -7.6)

FIGURE 8

Example Problem

- Batter

Pile Group as Guy Anchorage

7.2-233 -

Rock-socketed d r i l l e d p i e r s extending more t h a n a nominal depth i n t o rock

d e r i v e capacity from both s h a f t r e s i s t a n c e and end bearing.
The p r o p o r t i o n
of t h e load t r a n s f e r r e d t o end bearing depends on t h e r e l a t i v e s t i f f n e s s of
t h e rock t o concrete and t h e s h a f t geometry.
Generally, t h e p r o p o r t i o n t r a n s f e r r e d t o end bearing decreases f o r i n c r e a s i n g depth of embedment and f o r inc r e a s i n g rock s t i f f n e s s . This proportion i n c r e a s e s with i n c r e a s e d loading.
F i e l d t e s t s i n d i c a t e t h a t t h e u l t i m a t e s h a f t r e s i s t a n c e i s developed w i t h v e r y
l i t t l e deformation ( u s u a l l y less t h a n 0.25 i n c h e s ) and t h a t t h e peak r e s i s t a n c e developed tends t o remain c o n s t a n t with f u r t h e r movement. Based on load
test d a t a , t h e u l t i m a t e s h a f t r e s i s t a n c e can be estimated approximately from:
Sr = (2.3 t o 3 ) ( f w ~ ) l / ~( p i e r diameter >16 i n c h e s )
Sr = ( 3 t o 4 ) ( f w ' ) l I 2 ( p i e r diameter (16 i n c h e s )
where :

Sr

ultimate shaft resistance i n force per s h a f t contact area

fw' = unconfined compressive s t r e n g t h of e i t h e r t h e rock o r t h e

concrete, whichever i s weakest.
See Reference 29, S h a f t Resistance of Rock Socketed D r i l l e d P i e r s , by Horvath
and Kenney.
Settlement i s normally n e g l i g i 4.
SETTLEMENT OF DEEP FOUNDATIONS I N ROCK.
b l e and need not be evaluated f o r foundations on rock designed f o r an approp r i a t e allowable bearing pressure.
For very heavy o r f o r extremely s e t t l e m e n t s e n s i t i v e s t r u c t u r e s , t h e s e t tlement can be computed based on t h e s o l u t i o n f o r e l a s t i c s e t t l e m e n t presented
i n Chapter 5 of DM-7.1.
The choice of the e l a s t i c modulus, E, t o use i n t h e
a n a l y s i s should be based on t h e rock mass modulus which r e q u i r e s f i e l d invest i g a t i o n . For guidance s e e Reference 9 and Reference 30, Rock Mechanics i n
Engineering P r a c t i c e , by Stagg and Zienkiewicz, eds. In c a s e s where t h e
seismic Young's modulus is known, t h e s t a t i c modulus can be c o n s e r v a t i v e l y
assumed t o be 1110th t h e seismic modulus.
S e c t i o n 7.

1.
DESIGN OONCEPTS. A
top, resists t h e load by
ing s o i l . The magnitude
f u n c t i o n of t h e r e l a t i v e

LATERAL LOAD CAPACITY

p i l e loaded by l a t e r a l t h r u s t and/or moment a t i t s

d e f l e c t i n g t o mobilize t h e r e a c t i o n of t h e surroundand d i s t r i b u t i o n of t h e r e s i s t i n g p r e s s u r e s a r e a
s t i f f n e s s of p i l e and s o i l .

Design c r i t e r i a i s based on maximum combined stress i n t h e p i l i n g , allowa b l e d e f l e c t i o n a t t h e top o r permissible bearing on t h e surrounding s o i l .
Although 114-inch a t t h e p i l e top i s o f t e n used a s a l i m i t , t h e allowable
l a t e r a l d e f l e c t i o n should be based on t h e s p e c i f i c requirements of t h e
structure.

2.

DEFORMATION ANALYSIS

SINGLE PILE.

a . General. Methods a r e a v a i l a b l e (- e o-n . ,- Reference 9 and Reference 31,

Non-Dimensional S o l u t i o n s f o r L a t e r a l l y Loaded P i l e s , w i t h S o i l Modulus
Assumed P r o p o r t i o n a l t o Depth, by Reese and Matlock) f o r computing l a t e r a l
p i l e load-deformation based on complex s o i l c o n d i t i o n s and/or non-linear s o i l
s t r e s s - s t r a i n r e l a t i o n s h i p s . The COM 622 computer program (Reference 32,
L a t e r a l l y Loaded P i l e s : Program Documentation, by Reese) has been documented
and i s widely used. Use of t h e s e methods should o n l y be considered when t h e
s o i l s t r e s s - s t r a i n p r o p e r t i e s a r e w e l l understood.
P i l e deformation and s t r e s s can be approximated through a p p l i c a t i o n
of s e v e r a l s i m p l i f i e d procedures based on i d e a l i z e d assumptions. The two
b a s i c approaches presented below depend on u t i l i z i n g t h e concept of c o e f f i It i s assumed t h a t t h e l a t e r a l l o a d does
c i e n t of l a t e r a l subgrade r e a c t i o n .
not exceed about 113 of t h e u l t i m a t e l a t e r a l load c a p a c i t y .
b. Granular S o i l and Normally t o S l i g h t l y Overconsolidated Cohesive
S o i l s . P i l e deformation can be estimated assuming t h a t t h e c o e f f i c i e n t of
subgrade r e a c t i o n , Kh, i n c r e a s e s l i n e a r l y with depth i n accordance with:
fz
Kh =
D
where :

Kh = c o e f f i c i e n t of l a t e r a l subgrade r e a c t i o n ( t o n s i f t 3 )

f = c o e f f i c i e n t of v a r i a t i o n of l a t e r a l subgrade r e a c t i o n
(tons/f t3)
z = depth ( f e e t )
D = widthldiameter of loaded a r e a ( f e e t )

Guidance f o r s e l e c t i o n of f i s given i n Figure 9 f o r fine-grained and

coarse-grained s o i l s .
c. Heavily Overconsolidated Cohesive S o i l s . For h e a v i l y overconsolidated hard cohesive s o i l s , t h e c o e f f i c i e n t of l a t e r a l subgrade r e a c t i o n can
be assumed t o be c o n s t a n t w i t h depth. The methods presented i n Chapter 4
can be used f o r t h e a n a l y s i s ; Kh v a r i e s between 35c and 70c ( u n i t s of
force/length3) where c i s t h e undrained shear s t r e n g t h .
d. Loading Conditions. Three p r i n c i p a l loading c o n d i t i o n s a r e i l l u s t r a t e d with t h e design procedures i n Figure 10, using t h e i n f l u e n c e diagrams
of Figure 11, 12 and 13 ( a l l from Reference 31). Loading may be l i m i t e d by
allowable d e f l e c t i o n of p i l e top o r by p i l e s t r e s s e s .
Case I. P i l e with f l e x i b l e cap o r hinged end condition. Thrust and
moment a r e a p p l i e d a t t h e t o p , which is f r e e t o r o t a t e . Obtain t o t a l d e f l e c t i o n , moment, and s h e a r i n t h e p i l e by a l g e b r a i c sum of t h e e f f e c t s of t h r u s t
and moment, given i n Figure 11.

FIGURE 9

Coefficient of Variation of Subgrade Reaction

CASE I.
FLEXIBLE CAP, ELEVATED POSITION
LQLID AT
DESIGN PROCEDURE
GROUND LINE
FOR DEFINITION OF PARAMETERS SEE FIGURE 12
FOR EACH PILE:

CONDITION

"r==?
L
!

I.

PH

2.

3. OBTAIN COEFFICIENTS Fs, FM, FV AT DEPTHS DESIRED.

4. COMPUTE DEFLECTION, MOMENT AND SHEAR AT
DESIRED DEPTHS USING FORMULAS OF FEURE II

TT
mnTITmm,'Tnrtrz
I1

P =

COMPUTE RELATIVE STIFFNESS FACTOR.

E I )ID
T =(f
SELECT CURVE FOR FROPER
IN FIGURE II.

NOTE : 'If I' VAWES FROM FIGURE 9 AND CONVERT

TO LB/IN?

DEFLECTED
POSITION

n = NUMBER OF PILES

CASE 1.PILES WITH RIGID CAP AT GROUND SURFACE

PT

T-

1
CASE

m.RIGID

I.
2.

3.

PROCEED ASINSTEP 1,CASEI.

COMPUTE DEFLECTION AND MOMENT AT DESIRED
DEPTHS USING COEFFICIENTS 4,FM AND
FORMULAS OF FIGURE 12.
MAX!MUM SHEAR OCCURS AT TOP OF PlLE
AND EQUALS p = Pf IN EACH PILE.

CAP, ELEVATED POSITION

DEFLECTED
I. ASSUME A HINGE AT POINT A WlTH A BALANCING

MOMENT M APPLl ED #r POINT A.

2. COMPUTE SLOPE e2 ABOVE GROUND AS A FUNCTION
OF M FROM CHARACTERISTICS OF SUPERSTRUCTURE.
3. COMPUTE SLOPE el FROM SLOPE COEFFICIENTS
OF FIGURE 13 AS FOUMIVS:

8, =Fe ( &E) I+ F ~

MT

4. EQUATE
= e2 AND SOLVE FOR VALUE OF M.
5. KNOWING VALUES OF P AND M, SOLVE FOR DEFLECTION,
SHEAR,AND MOMENT AS IN CASE I.
NOTE : IF GROUND SURFACE AT PlLE LOCATION IS
INCLINED, LOAD P TAKEN BY EACH PlLE IS
PROPORTIONAL TO 1 1 ~ ~ 3 .

FIGURE 10
Design Procedure f o r L a t e r a l l y Loaded P i l e s

FIGURE 11
Influence Values for Pile with Applied Lateral Load and Moment
(Case I . Flexible Cap or Hinged End Condition)

ND GROUND S U R F . .

ES=f(Z) SOIL MODULUS OF ELASTICITY

f = COEFFICIENT OF VARIATION OF LATERAL SUBGRAOE
REACTION (SEE FWRE 9 )
L= LENGTH OF PlLE BELOW GROUND SURFACE
T = RELATIVE STIFFNESS FAClDf?
E- MODUU S OF ELASTICITY OF PlLE
I = MOMENT OF INERTIA OF PILE CROSS SECTON

Mp ,Vp=DERECT(ONIMOMENT,8 SHEAR AT ANY DEPTH

Z DUE TO FORCE P.

FIGURE 12
Influence Values for Laterally Loaded Pile
(Case 11. Fixed Against Rotation at Ground Surface)
7.2-239

ADDITIONAL DEFINITIONS OF PARAMETERS

-3.0

-25

-2.0
-1.5
SLOPE COEFFICIENT, Fg

- 1.0

-0.5

SU)PE COEFFICIENT, Fg

FIGURE 13
Slope Coefficient for P i l e with Lateral Load or Moment

Case 11. P i l e w i t h r i g i d cap f i x e d a g a i n s t r o t a t i o n a t ground surface.

Thrust i s a p p l i e d a t t h e t o p , which must m a i n t a i n a v e r t i c a l t a n g e n t .
Obtain d e f l e c t i o n and moment from i n f l u e n c e v a l u e s of F i g u r e 12.
Case 111. P i l e w i t h r i g i d cap above ground s u r f a c e .
R o t a t i o n of
p i l e top depends on combined e f f e c t of s u p e r s t r u c t u r e and r e s i s t a n c e below
ground. Express r o t a t i o n a s a f u n c t i o n of t h e i n f l u e n c e v a l u e s of F i g u r e 1 3
Knowing t h r u s t and moment a p p l i e d a t p i l e
and determine moment a t p i l e top.
top, o b t a i n t o t a l d e f l e c t i o n , moment and s h e a r i n t h e p i l e by a l g e b r a i c sum of
t h e s e p a r a t e e f f e c t s from F i g u r e 11.
3.

CYCLIC LOADS.

L a t e r a l subgrade c o e f f i c i e n t v a l u e s d e c r e a s e t o about 25% t h e i n i t i a l v a l u e

due t o c y c l i c l o a d i n g f o r s o f t / l o o s e s o i l s and t o about 50% t h e i n i t i a l v a l u e
for stiffldense soils.
4.
LONG-TERM LOADING. Long-term l o a d i n g w i l l i n c r e a s e p i l e d e f l e c t i o n c o r responding t o a d e c r e a s e i n l a t e r a l subgrade r e a c t i o n . To approximate t h i s
c o n d i t i o n reduce t h e subgrade r e a c t i o n v a l u e s t o 25% t o 50% of t h e i r i n i t i a l
v a l u e f o r s t i f f c l a y s , t o 20% t o 30% f o r s o f t c l a y s , and t o 80% t o 90% f o r
sands.

5.
ULTIMATE LOAD CAPACITY
SINGLE PILES. A l a t e r a l l y loaded p i l e c a n f a i l
by exceeding t h e s t r e n g t h of t h e surrounding s o i l o r by exceeding t h e bending
moment c a p a c i t y of t h e p i l e r e s u l t i n g i n a s t r u c t u r a l f a i l u r e .
Several methods a r e a v a i l a b l e f o r e s t i m a t i n g t h e u l t i m a t e l o a d c a p a c i t y .
The method p r e s e n t e d i n Reference 33, L a t e r a l R e s i s t a n c e of P i l e s i n Cohesive
S o i l s , by Broms, p r o v i d e s a simple procedure f o r e s t i m a t i n g u l t i m a t e l a t e r a l
c a p a c i t y of p i l e s .
6.
GROUP ACTION. Group a c t i o n should be c o n s i d e r e d when t h e p i l e s p a c i n g i n
t h e d i r e c t i o n of l o a d i n g i s l e s s t h a n 6 t o 8 p i l e diameters.
Group a c t i o n c a n
be e v a l u a t e d by reducing t h e e f f e c t i v e c o e f f i c i e n t of l a t e r a l subgrade react i o n i n t h e d i r e c t i o n of l o a d i n g by a r e d u c t i o n f a c t o r R (Reference 9 ) a s f o l lows :
P i l e Spacing i n
D i r e c t i o n of Loading
D = P i l e Diameter
8D
6D

4D
3D

Subgrade R e a c t i o n
Reduction F a c t o r
R
1-00
0.70
0.40
0.25

REFERENCES

I.

Teng, W . C . , u-**-.lation
Design, Prentice Hall International, 1962

2.

Skempton, A.W., The Bearing Capacity of Clays, Proceedings, Building

Research Congress, London, 1951.

3.

Tomlinson, M.F., The Adhesion of Piles Driven in Clay Soils,

Proceedings, Fourth International Conference on Soil Mechanics and
Foundation Engineering, London, 1957.

4.

Departments of the Army and Air Force, Soils and Geology, Procedures for
Foundation Design of Buildings and Other Structures (~xceptHydraulic
Structures), TM51818-1lAFM88-3, Chapter 7, Washington, D.C. 1979.

5.

Meyerhof, G.G., and Hanna, A.M., Ultimate Bearing Capacity of

Foundations on Layered Soils Under Inclined Load, Canadian Geotechnical
Journal, Vol. 15, No. 4, 1978.

6.

Vesic, A.S., Design of Pile Foundations, National Cooperative Highway

Research Program Synthesis 42, Transportation Research Board, 1977.

7.

Meyerhof, G.G., Bearing Capacity and Settlement of Pile Foundations,

Journal of Geotechnical Engineering Division, ASCE, Vol. 102, No. GT3,
1976.

8. Baguelin, F., Jexequel, J.F., and Shields, D.H., The Pressuremeter and
Foundation Engineering, TransTech Publications, 1978.
9.

Canadian Geotechnical Society, Canadian Foundation Engineering Manual,

Canadian Geotechnical Society, 1978.

10.

Smith, E.A., Pile Driving by the Wave Equation, Transactions, American

Society of Civil Engineers, Vol. 127, Part 11, pp 1145-193, 1962.

11.

Rausche, F., Moses, F., and Goble, G.G., Soil Resistance Predictions
from Pile Dynamics, Journal of the Soil Mechanics and Foundation
Division, ASCE, Vol. 98, No. SM9, 1972.

12.

Meyerhof, G.G., Ultimate Bearing Capacity of Footings on Sand Layer

Overlying Clay, Canadian Geotechnical Journal, Vol. 11, No. 2, 1974.

13.

Whitaker, T., Experiments with Model Piles in Groups, Geotechnique,

London, 1957.

14.

Tomlinson, M.J., Pile Design and Construction Practice, Viewpoint

Publications, Cement and Concrete Association, London, 1957.

15.

Garlanger, J.E., Prediction of the Downdrag Load at Culter Circle

Bridge, Symposium on Downdrag of Piles, Massachusetts Institute of
Technology, 1973.

16.

Fellenius, B.H., Downdrag on Piles Due to Negative Skin Friction,

Canadian Geotechnical Journal, Vol. 9, No. 4, 1972.

17.

Claessen, A.I.M. and Horvat, E., Reducing Negative Skin Friction with
Bitumen Slip Layers, Journal of the Geotechnical Engineering Division,
ASCE, Vol. 100, No. GT8, 1974.

18.

Bjerrum, L., Johannessin, I.J., and Eide, O., Reduction of Negative

Skin Friction on Steel Piles to Rock, Proceedings of the Seventh
International Conference on Soil Mechanics and Foundation Engineering,
Vol. 2, pp 27-34, 1960.

19.

Deep Foundation Institute, Inspectorsf Manual for Deep Foundations, The

Deep Foundations Institute, Springfield, NJ, 1978.

20.

AWPI, Technical Guidelines for Pressure-Treated Wood, Timber Piling, P1

American Wood Preservers Institute, 1976.

21.

ACI Committee 543, Recommendations for Design, Manufacture and

Installation of Concrete Piles, ACI Manual of Concrete Practice,
American Concrete Institute, Part 3, October, 1974.

22.

Reese, L.C. and Wright,S.J., Drilled Shafts: Design and Construction,

Guideline Manual, Vol. 1; Construction Procedures and Design for Axial
Load, Federal Highway Authority, July, 1977.

23.

Garneau, R., and Samson, L., A Device for the Constant Rate of
Penetration Test for Piles, Canadian Geotechnical Journal, Vol. 11, No.
2, 1974.

24.

Davisson, M.T. and Salley, J.R., Model Study of Laterally Loaded Pile,
Journal of Soil Mechanics and Foundation Division, ASCE, Vol. 96, No.
SM5, 1970.

25.

Chellis, R.D.,

26.

Abbett, American Civil Engineering Practice, Vol. 1.

27.

Johnson, S.M. and Kavanaugh, T.C., The Design of Foundations for

Buildings, McGraw Hill Book Company, 1968.

28.

Peck, R.B., Hanson, W.E., and Thornburn, T.H., Foundation Engineering,

John Wiley & Sons, Inc. , 1974.

29.

Horvath, N.G. and Kenney, T.C., Shaft Resistance of Rock-Socketed

Drilled Pier. ASCE, Preprint #3698. 1979.

30.

Stagg, K.G. and Zienkiewiez, O.C., Eds., Rock Mechanics in Engineering

Practice, John Wiley & Sons, Inc., 1968.

31.

Reese, L.C. and Matlock, H., Non-Dimensional Solutions for Laterally

Loaded Piles with Soil Modulus Assumed Proportional to Depth,
Proceedings, Eighth Texas Conference on Soil Mechanics and Foundation
Engineering, Austin, Texas, ASCE, 1956.

Pile Foundations, McGraw Hill Book Company, 1961

32.

Reese, L.C., Laterally Loaded Piles: Program Documentation, Journal of

Geotechnical Engineering Division, ASCE, Vol. 103, No. GT4, 1977.

33.

Broms, B.B., Lateral Resistance of Piles in Cohesive Soils, Journal of

Soil Mechanics and Foundations Division, ASCE, Vol. 90, No. S M ~and
SM3, 1964.

)ut of Date

BIBLIOGRAPHY
American Petroleum Institute, Recommended Practice for Planning,
Designing and Constructing Fixed Offshore Platforms, API RP 2A, January
1971.
'

Casagrande, L., Comments on Conventional Design of Retaining Wall

Structures, Journal of the Soil Mechanics and Foundation Engineering
Division, ASCE, Vol. 99, No. SM2, 1973.
Davisson, M.T., Inspection of Pile Driving Operations, Tech. Report M-22,
Cold Regions Research Engineering Laboratories Corps of Engineers, U.S.
Department of the Army, 1972.
Foster, C.R., Field Problems: Compaction, Foundation Engineering,
Leonards, G.A., Editor, McGraw-Hill Book Co., Inc., New York, Chapter
12, 1952.
Fuller, F.N. and Hoy, H.E., Pile Load Tests Including Quick Load Test
Method, Conventional Methods and Interpretations, Highway Research Record
No. 333, HRB U.S. National Research Council, pp 74-86, 1970.
Hunt, H.W., Design and Installation of Pile Foundations, Associated Pile
Fitting Corporation, Clifton, NJ, 1974.
McClelland, Be, Design of Deep Penetration Piles for Ocean Structures,
Terzaghi Lectures: 1963-1972, ASCE, New York, pp 383-421, 1974.
Meyerhof, G.G., Bearing Capacity and Settlement of Pile Foundations,
Journal of the Geotechnical Engineering Division, ASCE, Vol. 102, No.
GT3, 1976.
National Bureau of Standards, Corrosion of Steel Pilings in Soils,
Monographs 58 and 127, U.S. Department of Commerce, Washington, D.C.
Reese, L.C. and Welch, R.C., Lateral Loading of Deep Foundations in Stiff
Clay, Journal of the Geotechnical Engineering Division, ASCE, Vol. 101,
NO. GT7, 1975.
USBR, Earth Manual, Second Edition, U.S. Department of Interior, Bureau
of Reclamation, U.S. Government Printing Office, Washington, D.C., 1974.
Vesic, A.S., Ultimate Loads and Settlements of Deep Foundations in Sand,
Procs., Symposium on Bearing Capacity and Settlement of Foundations, Duke
University, Durham, NC. , 1967.
Winterkorn, H.F., and Fang, H.Y., Editors, Foundation Engineering
Handbook, Van Nostrand Reinhold Co., New York, 1975.
Woodward, R.J., Gardner, W.S. and Greer, D.M.,
McGraw-Hill Book Co., Inc., New York, 1972.

Drilled Pier Foundations,

APPENDIX A
Listing of Computer Programs
,

Subject
Shallow Foundations
(Chapter 4)

Excavation, and Earth

Pressures
(Chapter 1) and
(Chapter 3)

Deep Foundations
(Chapter 5)

Program
QULT
GESA Catalog No.
E03-0001-00043

Description

Availability

Bearing capacity analysis by

Balla, Brinch Hansen, MeyerhofPrandtl, Sokoluvski and
Terzaghi Methods.

Geotechnical Engineering
Software Activity
University of Colorado
Boulder, CO 80309

SOIL-STRUCT

Two dimensional finite element

program to analyze tieback
walls.

Stanford University

SSTINCS-2DFE

Two dimensional finite element

program to analyze tieback
walls.

Virginia Polytechnic
Institute and State
University, Blacksburg,
VA 24061

Program solves for deflection

and bending moment in a laterally loaded pile based on
theory of a beam on an elastic
foundation using finite difference techniques.
Soil properties are defined by a set of
load-deflection curves.

GESA or University of
Texas at Austin

Program for analysis of pile

driving by the Wave Equation;
developed at Texas A&M
University.

U.S. Department of
Transportation FHWA R&D
Implementation Div.

COM622
GESA Catalog No.
E04-0003-00044

TTI

WEAP
GESA Catalog No.
E04-0004-00046

Wave Equation analysis for pile

driven by impact hammers,
diesel hammers and airlsteam
hammers.

GESA

APPENDIX A
Listing of Computer Programs (continued)
A

Subject
Deep Foundations
(Chapter 5 )

Program

Description

Availability
GESA

WINIT
GESA Catalog No.
E04-005-00047

Auxillary program for WEAP.

WEHAM
GESA Catalog No.
E04-006-00048

Hammer data f o r WEAP.

I.

WEAP data generator.

I.

WDATA
GESA Catalog No.
E04-007-00049

GLOSSARY
-

Downdrag. Force induced on deep foundation r e s u l t i n g from downward movement

of a d j a c e n t s o i l r e l a t i v e t o foundation element. Also r e f e r r e d t o a s negative skin friction.
Homogeneous Earth Dam. An e a r t h dam whose embankment i s formed of one s o i l
type without a s y s t e m a t i c zoning of f i l l m a t e r i a l s .
Modulus of Subgrade Reaction. The r a t i o between t h e bearing p r e s s u r e of a
foundation and t h e corresponding s e t t l e m e n t a t a given point.
Nominal ~ e a r i n gPressures. Allowable bearing p r e s s u r e s f o r spread foundation
on v a r i o u s s o i l t y p e s , derived from experience and g e n e r a l usage, which
provide s a f e t y a g a i n s t s h e a r f a i l u r e o r excessive s e t t l e m e n t .
Optimum Moisture Content. The moisture c o n t e n t , determined from a l a b o r a t o r y
compaction t e s t , a t which t h e maximum dry d e n s i t y of a s o i l i s obtained u s i n g
a s p e c i f i c e f f o r t of compaction.
Piping. The movement of s o i l p a r t i c l e s a s t h e r e s u l t of unbalanced seepage
f o r c e s produced by p e r c o l a t i n g water, l e a d i n g t o t h e development of b o i l s o r
e r o s i o n channels.
Swell. Increase i n s o i l volume, t y p i c a l l y r e f e r r i n g t o volumetric expansion
of p a r t i c u l a r s o i l s due t o changes i n water content.
Zoned E a r t h Dam. An e a r t h dam embankment zoned by t h e systematic
d i s t r i b u t i o n of s o i l types according t o t h e i r s t r e n g t h and permeability
c h a r a c t e r i s t i c s , u s u a l l y with a c e n t r a l impervious c o r e and s h e l l s of c o a r s e r
materials.

SYMBOLS
Designation

Symbol

Cross-sectional a r e a .
Anchor p u l l i n t i e b a c k system f o r f l e x i b l e wall.
Width i n g e n e r a l , o r narrow dimension of a foundation u n i t .
Unit adhesion between s o i l and p i l e s u r f a c e o r s u r f a c e of some
o t h e r foundation m a t e r i a l .
Allowable cohesion t h a t can be mobilized t o resist shear
stresses.
Shape f a c t o r c o e f f i c i e n t f o r computation of immediate
settlement.
Cohesion i n t e r c e p t f o r Mohrts envelope of s h e a r s t r e n g t h based on
total stresses.
Cohesion i n t e r c e p t f o r Mohrts envelope of s h e a r s t r e n g t h based on
effective stresses.
C o e f f i c i e n t of consolidation.
Depth, diameter, o r d i s t a n c e .
Relative density.
Grain s i z e d i v i s i o n of a s o i l sample, percent of dry weight
smaller than t h i s g r a i n s i z e i s i n d i c a t e d by s u b s c r i p t .
Modulus of e l a s t i c i t y of s t r u c t u r a l m a t e r i a l .
Modulus of e l a s t i c i t y o r "modulus of deformation" of s o i l .
Void r a t i o .
Safety f a c t o r i n s t a b i l i t y o r shear s t r e n g t h a n a l y s i s .
C o e f f i c i e n t of - v a r i a t i o n of s o i l modulus o f - e l a s t i c i t y w i t h d e p t h
f o r a n a l y s i s of l a t e r a l l y loaded p i l e s .
~ ~ e c i f i gk r' a v i t y of s o l i d p a r t i c l e s i n s o i l sample, o r s h e a r
modulus of s o i l .
In general, height o r thickness.
Height of groundwater o r of open water above a base l e v e l .
Influence value f o r v e r t i c a l s t r e s s produced by superimposed
l o a d , equals r a t i o of s t r e s s e s a t a p o i n t i n t h e foundation
t o i n t e n s i t y of applied load.
Gradient of groundwater pressures i n underseepage a n a l y s i s .
C o e f f i c i e n t of a c t i v e e a r t h pressures.
Ratio of h o r i z o n t a l t o v e r t i c a l e a r t h p r e s s u r e s on s i d e of p i l e
o r o t h e r foundation.
C o e f f i c i e n t of l a t e r a l subgrade r e a c t i o n .
C o e f f i c i e n t of passive e a r t h p r e s s u r e s .
Modulus of subgrade r e a c t i o n f o r bearing p l a t e o r foundation of
width b
Modulus of subgrade r e a c t i o n f o r 1 f t square bearing p l a t e a t
ground s u r f ace.
C o e f f i c i e n t of permeability.
Kips per s q f t pressure i n t e n s i t y .
Kips per sq i n pressure i n t e n s i t y .

.k
ksf
ksi

Designation

Symbol

Lengtn l u g e n e r a l o r l o n g e z t dimension 9f f o u n d a t i c r u n i t .
Bearing c a p a c i t y f a c t o r s .

S t a b i l i t y number f o r s l o p e s t a b i l i t y .
P o r o s i t y of s o i l sample.
Effective porosity.
Optimum moisture c o n t e n t of compacted s o i l .
Resultant active e a r t h force.
Component of r e s u l t a n t a c t i v e f o r c e i n h o r i z o n t a l d i r e c t i o n .
Density i n pounds p e r c u b i c f o o t .
Resultant horizontal e a r t h force.
Resultant passive e a r t h force.
Component of r e s u l t a n t p a s s i v e e a r t h f o r c e i n h o r i z o n t a l
direction.
Resultant v e r t i c a l e a r t h force.
R e s u l t a n t f o r c e of water p r e s s u r e .
I n t e n s i t y of a p p l i e d l o a d .
E x i s t i n g e f f e c t i v e overburden p r e s s u r e a c t i n g a t a s p e c i f i c
height i n the s o i l profile.
Preconsolidation pressure.
Allowable l o a d c a p a c i t y of deep f o u n d a t i o n element.
U l t i m a t e load t h a t causes s h e a r f a i l u r e of f o u n d a t i o n u n i t .
I n t e n s i t y of v e r t i c a l l o a d a p p l i e d t o f o u n d a t i o n u n i t .
Allowable b e a r i n g c a p a c i t y of s h a l l o w f o u n d a t i o n u n i t .
Unconfined compressive s t r e n g t h of s o i l sample.
U l t i m a t e b e a r i n g p r e s s u r e t h a t c a u s e s s h e a r f a i l u r e of
foundation uni t
Radius of w e l l o r o t h e r r i g h t c i r c u l a r c y l i n d e r .
Shear s t r e n g t h of s o i l f o r a s p e c i f i c s t r e s s o r c o n d i t i o n i n s i t u ,
used i n s t e a d of s t r e n g t h parameters c and 0.
Thickness of s o i l s t r a t u m , o r r e l a t i v e s t i f f n e s s f a c t o r of s o i l
and p i l e i n a n a l y s i s of l a t e r a l l y loaded p i l e s .
Depth.
Dry u n i t weight of s o i l .
E f f e c t i v e u n i t weight of s o i l .
Maximum d r y u n i t weight of s o i l determined from m o i s t u r e c o n t e n t
d r y u n i t weight curve; o r , f o r c o h e s i o n l e s s s o i l , by v i b r a t o r y
compaction.
Minimum d r y u n i t weight.
Submerged (buoyant) u n i t weight of s o i l mass.
W e t u n i t weight of s o i l above t h e groundwater t a b l e .
Unit weight of w a t e r , v a r y i n g from 6 2 . 4 pcf f o r f r e s h w a t e r t o 64
pcf f o r s e a water.
Magnitude of s e t t l e m e n t f o r v a r i o u s c o n d i t i o n s .
Angle of i n t e r n a l f r i c t i o n o r "angle of s h e a r i n g r e s i s t a n c e , "
o b t a i n e d from Mohr's f a i l u r e envelope f o r s h e a r s t r e n g t h .
P o i s s o n ' s Ratio.

INDEX

A
Anchorages, tower guy..........7.2-169
See Foundations, shallow,
Tower Guy Anchorages

Embankment compacted, compaction procedures, and hydraulic fills

(continued)
Cross-section design (continued)
Material type influence..7.2-38
Utilization...........7.2-38
Settlement...............7.2-38

Embankment consolidation................7.2-38

Bibliography...................7.2-B-1

C
Cofferdams, double-wall........7.2-116
See Walls and retaining
structures
Compaction procedures..........7.2-45
Computer Programs, Listing of..7.2-A-1

E
Embankments compacted, compaction procedures, and hydraulic fill~..............o..o.o7o2-37
Applications................7.2-37

Compaction control, embankment......................7.2-50

Analysis of control
test data..............7.2-51
Compactive effort.....7.2-52
Moisture contro1......7.2-52
Statistical study.....7.2-52
Number of field density
tests..................7.2-51

Number of laboratory
compaction tests.......7.2-51
Compaction requirements
and procedures............7.2-45
Material type influence..7.2-45
Oversize effect
-7.2-45
Soils insensitive to
compaction moisture .7.2-45
Soils sensitive to
compaction moisture.7.2-45
Methods..................7.2-45

......

Requirements.............7.2-45

Specification provisions.............7.2-45
Cross-section design........7.2-38
Earth dam embankments....7.2-41
Piping and cracking...7.2-41
Seepage contro1.......7.2-41

Foundation settlement.7.2-38
Secondary compression.7.2-41
Stable foundation........7.2-38
Weak foundation..........7.2-38
Excavation, borrow..........7.2-52
Methods of excavation.. .7.2-53
Utilization of excavated
materials..............7.2-53
Borrow volume.........7.2-53
Rock fi11.............7.2-53
Fills, hydraulic and underwater.....................7.2-54
Construction methods.....7.2-54
Hydraulic fill on
land................7.2-54
Underwater fills......7.2-54
Performance of fill materials..................7.2-54
Coarse-grained fills..7.2-54
Hard clay fills.......7.2-56
Equipment, pile driving........7.2-213
See Foundations, deep,
5pes
Excavation, borrow.............7.2-52
See Embankments , compacted ,
Excavation.

Fills, hydraulic and underwater........................7.2-54

See Embankments compacted,
Fills.
Foundations, deep..............7.2-177
Application.................7.2-177
Bearing capacity............7.2-191
Dynamic Driving Resistance..................7.2-202

Pile group, theoretica1..7.2-204

Single pile, theoretical.7.2-192

Foundations. deep (continued)

D i s t r i b u t i o n of l o a d s on
p i l e groups
7. 2-230
Downdrag
7. 2-209
Installation
7. 2-213
I n v e s t i g a t i o n program
7. 2-177
L a t e r a l load c a p a c i t y
7. 2-234
Load tests
7. 2-228
Rock. deep foundations on
7. 2-232
Settlement..
7. 2-207
P i l e group
7. 2-209
Single p i l e
7. 2-207
Types
7. 2-178
Allowable stresses
7. 2-179
Design c r i t e r i a
7. 2-179
Foundations. shallow
7. 2-129
Applications
7. 2-129
Bearing c a p a c i t y
7. 2-129
Footings. proportioning
individual
7. 2-146
Nominal bearing pressures
7. 2-141
Modifications
7. 2-141
U t i l i z a t i o n ...........7.
2-141
Ultimate s h e a r f a i l u r e
7. 2-129
Bearing c a p a c i t y diagrams
7. 2-129
T h e o r e t i c a l bearing
capacity
7. 2-129
Uplift capacity
7. 2-169
Rock anchorages
7. 2-169
S o i l anchorages
.7.2-169
Collapsing s o i l s
7. 2-163
Engineered f i l l
7. 2-159
Compaction c o n t r o l
7. 2-159
U t i l i z a t i o n ..............7.
2-159
Expansive s o i l s
7. 2-159
Eliminating s w e l l
7. 2-161
Minimizing s w e l l effects.7.2-161
P o t e n t i a l s w e l l i n g conditions
7. 2-159
Mat and continuous beam
foundations ...............7.
2-150
Applications
7. 2-150
Design ...................7.
2-150
Settlement ...............7.
2-150
S t a b i l i t y requirements
7. 2-150
Tower guy anchorages
7. 2-169
Anchoring tower guy
l o a d s ..................L
2-169
Deadman anchorages
7. 2-172
P i l i n g anchorages
7. 2-233
Rock ..................7.
2-169

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Foundations. shallow ( c o n t i n u e d )
Underdrainage and waterproofing
7. 2-163
Pressure s l a b s
7. 2-163
Relieved s l a b s
7. 2-169
Waterproofing r e q u i r e ments
7. 2-169

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Glossary

.......................7.2- G-1

................7. 2-150

Mat foundations
See Foundations. shallow.
Mat

Piles :
Foundations ( s e e Foundations.
deep)
7. 2-177

.....................

Walls and r e t a i n i n g s t r u c t u r e s .
analysis
7. 2-59
Cofferdams. double-wall
7. 2-116
Analysis
7. 2-116
Exterior pressures
7. 2-116
S t a b i l i t y requirements
7. 2-116
Cell fill
7. 2-125
Drainage
7. 2-125
Materials
7. 2-125
Types
7. 2-116
F l e x i b l e w a l l s design
7. 2-85
Anchored bulkheads
7. 2-85
Anchorage system
7. 2-90
Computation example
7. 2-93
Construct i o n pr ecautions
7. 2-90
Drainage
7. 2-85
Movements. w a l l
7. 2-85
Pressures. w a l l
7. 2-85
Braced s h e e t p i l e w a l l s ..7. 2-90
Computation example
7. 2-107
Narrow c u t s braced
7. 2-101

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kralls and r e t a i n i n g s t r u c t u r e s . .
a n a l y s i s (continued)
~ l e k b l 'ew a l l s design (continued)
Braced s h e e t pile w a l l s (cont inued )
Raking braces with
wall
7. 2-101
S t a b i l i t y of base of
7. 2-104
excavation
Tied backwalls
7. 2-101
Crib w a l l s
7. 2-116
Gabions
7. 2-112
Pressures. wall. computa7. 2-59
tions
Active p r e s s u r e s
7. 2-59
Stratified backfill.
s l o p i n g groundwater
7. 2-61
level
Uniform b a c k f i l l . no
groundwater
7. 2-61
Uniform b a c k f i l l .
s t a t i c groundwater ..7. 2-61
C o e f f i c i e n t s with wall
7. 2-61
friction
E f f e c t of c o n s t r u c t i o n
7. 2-76
procedures
7. 2-76
Compacted f i l l s
7. 2-76
Hydraulic f i l l s
E f f e c t of seepage and
Drainage
7. 2-70
Beneath w a l l s seepage.7.2-70
Conditions. genera1
7. 2-70
R a i n f a l l on drained
walls
7. 2-70
Static differential
7. 2-70
head
Loading. surcharge
7. 2-70
7. 2-73
Area l o a d s
Live l o a d s
7. 2-73
Movement. w a l l
7. 2-73
Braced f l e x i b l e
7. 2-73
sheeting
Restrained walls
7. 2-76
Tilting retaining
7. 2-73
walls
7. 2-59
Passive p r e s s u r e s
Stratified backfill.
sloping groundwater
7. 2-61
level
Uniform b a c k f i l l . no
7. 2-61
groundwater
Uniform b a c k f i l l .
s t a t i c groundwater
2-61
l e v e l ...............7,

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Walls and r e t a i n i n g s t r u c t u r e s .
a n a l y s i s (continued)
P r e s s u r e s . w a l l . computation (continued)
7. 2-116
Reinforced e a r t h
Rigid r e t a i n i n g w a l l s
7. 2-82
C r i t e r i a . genera1
7. 2-82
7. 2-85
Drainage
Settlement and overt u r n i n g .............7,
2-82
7. 2-82
Stability
7. 2-82
High w a l l s
7. 2-85
Low w a l l s
Drainage
7. 2-85
Equivalent f l u i d
7. 2-85
pressures

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7.2:INDEX

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3
U . S . GOVERNMENT PRINTING OFFICE : 1984 0

.442-802