Keywords: dynamic foundation testing, codes, standards, specifications, safety factors, foundation design
ABSTRACT: Ten years ago, a paper by Beim, J. et al (1998) compiled worldwide codes and standards pertaining
to high and low strain dynamic testing. That work predicted the development and implementation of many new,
normative documents in the years to follow. The present paper intends to verify the extent to which that prediction
materialized. It updates the 1998 list of codes and standards to reflect their most current reviews, releases or
editions and summarizes the authors’ process of identifying new codes and standards released throughout the
world in the past 10 years. It also expands the 1998 code and standard review effort beyond high and low strain
dynamic pile testing and into cross hole sonic logging and energy measurements on dynamic penetrometers for
Standard Penetration Tests. Lastly, the paper discusses the implications of adoption of these codes and standards
on foundation design and construction. For high strain dynamic tests, the paper reviews the differing philosophies
of worldwide codes as applied to the effect of the employed foundation testing method and its reliability on the
applicable factors of safety. Many codes have been adopting Load and Resistance Factor Design (LRFD)
methods; these are briefly discussed. The overarching goal of this Codes and Standards review is to serve as a
resource for foundation testers around the world.
Science, Technology and Practice, Jaime Alberto dos Santos (ed) 689
also developing standard specifications for various of this paper, in the process of being revised. The
industries. The by-laws of ASTM proclaimed its standard for low strain integrity testing, ASTM
dedication to the development and unification of D-5882-07 (ASTM, 2007), was adopted originally
standard methods of testing (ASTM, 1998). in 1995 and was revised in 2007 without major
Private sector codes and standards developed in the changes. ASTM recommends normalization of
US thus consist of procedural recommendations that results from Standard Penetration Tests (ASTM,
aim to reflect state of the art and consensus industry 1999) and requires it when SPT results are used to
practice, but, unlike many national codes, are not determine the liquefaction potential of sands (ASTM,
enforceable until legislation to adopt them is passed 2004). D-4633-05 (ASTM, 2005), originally adopted
by State or Local government. One exception to the in 1986 and substantially revised in 2005, states that
private sector code development effort is the Standard the only accepted means of determining energy for
Specification for Highway Bridges, developed by the normalization of N-values is by force and velocity
American Association of State Highway Officials measurements. ASTM did not have a standard for CSL
(AASHTO), which is a government entity. in 1998. ASTM D-6760-02, at the time of writing
of this paper under revision without major changes
1.2 Nomenclature and usage being proposed, standardizes the CSL procedure and
was adopted originally in 2002 (ASTM, 2002).
Beim, J. et al. (1998) note that in most cases
The American Association of State Highway
specifications and standards describe testing
and Transportation Officials (AASHTO) and the
procedures, while codes tend to describe a design
Federal Highway Administration (FHWA) jointly
and construction practice. Specifications and
produce design codes and guideline specifications
standards often become part of more encompassing
for foundation installation on transportation projects.
construction codes such as the US-based International
State Highway Departments (also known as
Building Code (IBC, 2006). While we attempt to be
Departments of Transportation or DOTs) then adopt
consistent with the nomenclature used in that original
AASHTO specifications, reference it, or modify the
paper we heed the authors’ advice that sometimes
guideline document. The Standard Specifications
these documents are indistinguishable from each
for Highway Bridges (AASHTO 2003) which was
other, and acknowledge that some misnomers may
in place in 1998 and included a section on dynamic
occur in our work. Furthermore, the authors include
testing, has been superseded by the AASHTO Load
manuals of practice issued by industry organizations
and Resistance Factor Design Bridge (LRFD)
when discussing the USA.
Design Specifications (AASHTO 2007). This newer
Dynamic foundation testing often refers solely to
document, as did the superseded one, allows load
high and low strain dynamic testing; in the present
testing by either dynamic or static methods. The
paper, however, we include codes and standards
document T-298-99 (AASHTO, 1999), originally
relating to CSL and energy measurements on SPT
published in 1993, standardizes the methodology
tests. Low strain dynamic testing is sometimes
for performing dynamic foundation testing on driven
referred to as pulse echo testing in the industry and
piles, drilled shafts, micropiles and continuous flight
in this paper.
auger cast piles. Most State DOTs (e.g. Kentucky,
New Hampshire, Ohio, West Virginia and others) have
provisions modeled after AASHTO for allowing
2 COMPILATION OF CODES AND
high strain dynamic testing methods to confirm
STANDARDS
foundation quality. AASHTO’s draft proposed
construction specifications for drilled shafts is
2.1 United States of America
expected to specify that CSL be used as a regular
In the United States, codes, standards and inspection method, while making reference to other
specifications that normalize, accept or recommend non destructive test methods such as pulse echo testing
nondestructive testing were already in existence in as well. Some State DOTs (for example West Virginia
1998. Ten years later, many existing standards have DOT, 2003) already specify the execution of crosshole
seen updates and revisions and new publications have sonic logging in drilled shafts; others will likely
emerged, some of them pertaining to crosshole sonic follow suit.
logging. These documents have also become more Several building codes existed in the US up to
widely referenced by both the public and private 1999. These are gradually being phased out, as the
sectors. We discuss some of the most relevant ones three main regional building codes joined together in
in the following paragraphs. 2000 to produce a national one (IBC, 2006) which
ASTM standards are widely recognized and treats static load testing and dynamic pile testing as
referenced around the world as minimum essentially equivalent. It is an Allowable Stress Design
requirements and correct testing procedures. ASTM (ASD) code and assigns a global safety factor of 2.0
D-4945-00 (ASTM, 2000) standardizes procedures to either test. Similarly to the process of adoption
for performing high strain dynamic testing. It was of AASHTO documents by States Departments of
originally adopted in 1986 and is, at the time of writing Transportation, the International Building Code is
Science, Technology and Practice, Jaime Alberto dos Santos (ed) 691
Table 1. Specifications, codes and standards in China (Liu, 2007) Our survey has also identified a handful of
countries where codification of foundation testing
either had not been identified by Beim J. (1998), or
has emerged in the past 10 years.
National codes for low strain integrity testing
(VMC, 2005a) and for cross hole sonic logging
(VMC, 2005b), which are based on ASTM standards,
now exist in Vietnam. No codes mention high strain
dynamic testing.
In Argentina, in spite of the absence of national
codes or specifications, high strain dynamic load
tests are now sometimes required by provincial
governments. Low strain tests, while not accepted
for bridge foundations, are often required by private
owners. Cross hole sonic logging has recently started
to be required for bridge foundations by certain
provincial transportation officials (Prato, 2007).
The Egyptian Code for Soil Mechanics and
Foundations, first issued in 1991, reflects the use
and acceptance of the Low-Strain, High-Strain
Dynamic Testing of piles and its associated
analyses. The latest version (RCHBPP, 2006) of the
code describes and accepts the use the integrity testing
of piles by means of Cross-hole Sonic Logging.
Although Mexico does not have a national code
pertaining to foundation testing, the Mexico City
Code (Mexico DF, 2004) is now based on LRFD
design and refers to high strain testing as an
alternative method.
A similar situation exists in the Philippines –
specifications for foundation testing are dependent
We briefly review their present situation, noting on the location and nature of the project. For
that Eurocode (discussed in more detail later in this buildings more than 4 storeys high and in larger
paper) is in the process of changing the landscape of cities like Manila, and for government projects,
codification in the region. integrity tests (low strain or CSL) and load tests
In France, low strain testing (AFNOR, 1993) (dynamic or static) are required (Reyes, 2007).
and crosshole sonic logging (AFNOR, 2000) norms The Public Works Department of the Malaysian
were in place in 1998 and have been updated; the government is currently sponsoring the development
codification of high strain dynamic load tests has since of guidelines and specifications for high strain
emerged but is still an experimental norm (AFNOR, dynamic pile testing (JKR, 2005).
1997). The Ministry of Surface Transport Specification
In 1998, several German DIN codes pertaining from the Indian Roads Congress (MOST 1988),
to foundations existed and were enforced, however currently under revision, briefly mentions dynamic
procedures for performing dynamic tests (based pile testing. India also has a basic document governing
on recommendations from the German Society of pulse echo testing (BIS, 2001) which is due to be
Geotechnics) have evolved in the past decade from revised at a yet unspecified future date. There are no
draft to final recommendations for both low and high codes or guidelines for CSL in India (Vaidya, 2007).
strain dynamic testing (DGGT, 2007). The Qatar Construction Specifications (QCS,
As is the case in the United States, no government 2002) allows ‘‘alternative methods for testing piles’’,
code exists in the United Kingdom. The industry including pulse echo testing and sonic logging for
however, has for long followed the specifications of integrity, and dynamic load testing for capacity
the Institution of Civil Engineers for low and high determination.
strain dynamic tests. That document is now on its Denmark’s Code of Practice for foundation
second edition (ICE, 2007). engineering (DGI, 1998) allows the performance of
In Sweden, work is being done to reconcile dynamic load tests as a possibility (although with the
the recommendations of the Commission on Pile same partial safety factor as the ‘‘Danish Driving
Research and of the Swedish Geotechnical Institute formula’’) but does not mention pulse echo testing
and the latest edition of national code for highway or cross hole sonic logging tests. As of January 2008
bridges (SNRA, 2004) with the European Standards the Eurocode with the approved Danish Annex will be
that will be used in a year or two (Grävare, 2007). in force in Denmark.
Science, Technology and Practice, Jaime Alberto dos Santos (ed) 693
Documents such as the Australian code (SAA, 4 CONCLUSIONS AND FUTURE OUTLOOK
1995), Eurocode 7 (CEN, 1997), German (DGGT,
2007) and Swedish (SNRA, 2004) industry While we have attempted to research multiple
recommendations, ASCE (1996) and PDCA (2001) countries and present a comprehensive review,
allow lower safety factors (or less severe capacity the results presented herein are by no means
reduction factors) depending on the amount of load exhaustive, and omissions of nations where
testing performed. The more testing, and the more pertinent documents exist may easily have occurred.
accurate the testing method, the lower the global We trust, however, to have provided a useful resource
safety factor for design. While additional testing for practitioners and for individuals interested
increases the overall reliability of the foundation, the in contributing to the development of standard
use of a lower safety factor results in a less conservative documents in their countries.
design. The reduction in total construction costs is In general, responses to our survey have
usually significant, offsetting the costs of additional revealed several codes that permit or encourage
testing (see Appendix B for an example). While in the practice of dynamic foundation testing and
some countries there is no specification determining the widespread use of standards for properly
how much testing is to be performed, codes or conducting the tests.
recommendations of others – Brazil, Canada, China Where national standards or specifications are
and Germany among them – recommend a certain lacking for one or more dynamic testing method,
percentage of piles to be tested. Rather than a the industry in the vast majority of countries
percentage, Eurocode 7 recommends a certain surveyed (e.g. Brazil, Egypt, Honk Kong,
number of piles to be tested. The fixed number Indonesia, Kuwait, Mexico, Philippines, Qatar,
recommendation leads to percentages of tested piles Saudi Arabia, Thailand, Vietnam) adopt ASTM
that are naturally much higher in small projects than in standards as the minimum requirements for proper
large ones. test execution.
Looking into the future, of significant importance
are the trend towards LRFD based codes and
3.2 Low strain dynamic testing and crosshole sonic
logging codes and standards the acceptance of dynamic testing by the unified
European code. The latter could gives impetus to
The past decade has seen an ever growing awareness more widespread practice of dynamic testing in
of the need to verify the structural integrity of various countries in Europe.
foundation elements, particularly drilled and cast in The authors foresee a continuation of the trend
place foundations, which cannot be visually inspected towards codes that allow lower safety factors (or
prior to concreting and that are installed by an ever higher resistance factors) when more testing is
increasing variety of equipment and construction conducted, thus giving the industry an opportunity
methods. This has translated into an increased to realize the advantages of enhanced dynamic testing
number of documents that recommend or specify programs.
pulse echo or CSL procedures. Where force and velocity measurements for
France should be noted for including both time energy calibrations of SPT tests are concerned it
domain and frequency domain analysis among its is expected that the adoption of EN ISO 224760-2
standard procedures (AFNOR, 1994). (CEN 2005) by European countries will increase
To the extent that our research could determine, reliance on these measurements for calibration of
the only normative document for performing CSL SPT tests.
before 2002 was the French norm (AFNOR, 2000). On the integrity testing front, the number of
The adoption of D6760 (ASTM, 2002) has given the codes and specifications pertaining to crosshole
foundations industry another standard for performing sonic logging is still relatively small. The authors
this test, and one that has been referred to by several attribute this – at least in part – to the still relatively
respondents of our survey as the de facto standard in recent adoption of the ASTM document that
their countries. normalizes CSL procedures (ASTM, 2002). In
contrast, the ASTM code that standardizes high
3.3 SPT energy measurements codes and standards strain dynamic testing was first adopted in 1986.
The authors believe that, in the coming decades,
The only significant documents identified by our crosshole sonic logging specifications and codes
research that specify force and velocity will rapidly become more common around the
measurements for energy calibration of SPT tests world.
are ASTM standards (ASTM 1999, 2004 and 2005) We are encouraged by the fact that the survey of
and the European Standard jointly developed with ISO dynamic foundation testing codes and standards has
(CEN, 2005). In the US, however, a number of State confirmed the prediction (Beim, J. et al, 1998) of
Highway Departments (Ohio, Minnesota, and others) emergence of many new, normative documents in
require in their construction specifications the periodic this field. We expect this positive trend to continue
calibration of the SPT equipment. in the years to come.
Science, Technology and Practice, Jaime Alberto dos Santos (ed) 695
CEN (2005) ‘‘European Committee for Standardisation. EN ISO (Foundations Bearing capacity of piles and pile foundations),
22476-2:2005 Geotechnical investigation and testing — Poland (in Polish).
Field testing — Part 2: Dynamic probing’’, Brussels, Prato, C. A. (2007) Personal communication.
Belgium. QCS (2002) ‘‘Qatar Construction Specifications Section 4
CSA (2006) Canadian Standard Association, ‘‘Canadian Part 11’’, Qatar.
High-way Bridge Design Code CAN/CSA-S6-06’’, Canada. Rausche, F., Likins G. and Hannigan, P. (2007) ‘‘Capacity
Chabot, C. L. (2007) ‘‘Structural Engineering Codes and Confusions in 2007’’. GRL and PDI Newsletter, April
Standards in the United States, an Overview.’’ Structure 2007, Cleveland, OH, USA.
Magazine, Vol. 14 No. 8, August 2007, p.63, USA. RCHBPP (2006) Research Center for Housing, Building and
Chambers, W. (2007) Personal communication. Physical Planning. ‘‘Egyptian Code for Soil Mechanics and
DGI (1998) ‘‘Danish Geotechnical Institute Code of Practice for Foundations’’, vol. 4, Egypt.
foundation engineering DS415’’, 1998-04-02, Denmark. Reyes, G. (2007) Personal communication.
DFI (1997) Deep Foundation Institute ‘‘Inspector’s Manual for SAA (1995) Standards Association of Australia, ‘‘Australian
Driven Pile Foundations.’’ USA. Standard Piling Code AS2159-1995 Piling – Design and
DFI (2004) Deep Foundation Institute. ‘‘Manual for Non installation code’’, Australia.
Destructive Testing and Evaluation of Drilled Shafts.’’ USA. Swedish Commission on Pile Research (1992) ‘‘IVA
DGGT (2007) German Society of Geotechnics. ‘‘EA Pfähle’’, Palkommissionen Rapport 89’’, Sweden (in Swedish).
Germany (in German). Swedish Geotechnical Institute (1993)
Duzceer, R. and Saglamer, A. (2002) ‘‘Evaluation of Pile Load ‘‘Pålgrundläggnings-handboken’’. (Piling handbook),
Tests Results’’. Proceedings of the Ninth International Sweden (in Swedish).
Conference on Piling and Deep Foundations, Nice, June SNRA (2004) Swedish National Road Administration. ‘‘Swedish
3–5, 2002, pp 637–644. Presses de l’école nationale des Road Department Code’’ (Bro 2004) BR094, Sweden.
ponts et chausses, France. USACOE (1993) US Army Corps of Engineers. ‘‘Design of Pile
FHWA (2007) Federal Highway Administration, ‘‘Load and Foundations (Technical Engineering and Design Guides as
Resistance Factor Design’’. http://www.fhwa.dot.gov/crt/ Adapted from the US Army Corps of Engineers, No. 1)’’,
lifecycle/lrfd.cfm. American Society of Civil Engineers, New York, USA.
Gillespie, D. (2007) Personal communication. Vaidya, R. (2007) Personal communication.
Goble, G.G. (2000) ‘‘LRFD design codes for pile foundations – A VMC (2005a) Vietnam Ministry of Construction. TCXDVN –
review’’. Application of Stress-Wave Theory to Piles, 359: 2005, Vietnam.
Niyama & Beim (eds.), Balkema, Rotterdam, The VMC (2005b) Vietnam Ministry of Construction. TCXDVN –
Netherlands. 358: 2005, Vietnam.
Grävare, C.J. (2007) Personal Communication. WV DOT (2003) West Virginia Department of Transportation.
ICE (2007) Institution of Civil Engineers. ‘‘Specification for piling ‘‘Supplemental Specifications to accompany the 2000 edition
and embedded retaining walls’’, 2nd edition, London, UK. of the Standard Specifications Roads and Bridges’’, West
IBC (2006) ‘‘International Building Code’’. Falls Church, VA, Virginia, USA.
USA.
ICE (2007) Institution of Civil Engineers ‘‘specification for
piling and embedded retaining walls’’, 2nd edition,
London, UK APPENDIX A
JKR (2005) Jabatan Kerja Raya, Public Works Department of
the Government of Malaysia. Research Report No: JKR
20601-LK-0096-GT-05 (Dec 2005): Vol I: ‘‘Guidelines for
1) Is there a National Code in your country that
Installation and Quality Control of Driven Piles using High pertains to or has a chapter relevant to
Strain Dynamic Pile Test’’. Vol III: Specifications For High Foundations?
Strain Dynamic Pile Testing, Malaysia. 2) If you answered yes to question 1, is the code
Klingmüller, O. (2007) Personal communication. enforced by the government?
Likins, G. E., (August, 2004) ‘‘Pile Testing – Selection and 3) If there is no National enforceable code, are
Economy of Safety Factors’’. Current Practices and Future
Trends in Deep Foundations, Geotechnical Special there non-governmental industry standards,
Publication No. 125, DiMaggio, J. A., and Hussein, M. H., specifications, guidelines or recommendations
Eds, American Society of Civil Engineers: Reston, VA, USA; followed by the foundations industry?
239–252. 4) If you are in Europe, do you need to comply with
Liu, E. (2007) Personal Communication. Eurocode?
Maciocha, A. (2007) Personal Communication.
México DF, Gobierno Del Distrito Federal (2004) ‘‘Normas
5) In your country, which codes, standards,
Técnicas Complementarias Del Reglamento De specifications, guidelines or recommendations,
Construcciones Para El Distrito Federal 2004 1’’, México if any, deal with (please list complete name of
(in Spanish). code, with year of last revision. List as many as
MOST (1988) Ministry of Surface Transport. ‘‘Specification applicable):
from the Indian Roads Congress’’. MOST
Specifications-IRC Section: 1100, India. 1. high strain dynamic foundation testing
NRCC (2005) National Research Council Canada. ‘‘National (PDA)
Building Code of Canada’’. 2. low strain dynamic foundation testing
PDCA (2001) Pile Driving Contractors Association.
‘‘Recommended Design Specifications for Driven Bearing (PIT, pulse echo testing)
Piles’’ Third Edition, USA. 3. cross hole sonic logging (CSL)
PDCA (2007) ‘‘Pile Driving Contractors Association. 4. energy measurements of SPT hammers
Installation Specification for Driven Piles’’, USA.
PCSN (1983) Polish Commitee of Standard and Normalisation 6) If your country does not have a code, standard or
PN-83/ B-02482 ‘‘Nośność pali i fundamentów palowych.’’ specification dealing specifically with foundation
APPENDIX B
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