Appendix D

Geotechnical Review Checklist

Private and Public Developments which have excavations, foundations or earth retention system that
are equal to or greater than 12 feet below adjacent (existing) grade and/or excavations deeper than 4
feet that extend beyond the development’s property lines and into the Public Way require a
geotechnical review. The following is a partial list of items that require geotechnical review:

 Deep foundation members such as caissons, drilled shafts to rock, H-piles, pipe piles, auger-
cast piles, micropiles, timber piles, stone columns
 Underpinning elements such as micropiles, hydraulically pushed piers, helical piers and any
other form of underpinning.
 Footing or matt foundations (deep excavation because of poor soils and/or because of
proposed basements)
 Earth Retention System include but are not limited to steel sheet piling, soldier pile and
lagging, slurry walls, secant pile walls, ground improvement for earth retention, rings and
lagging, timber sheeting, timber boards and lagging, trench boxes or equivalent shoring
systems.
 Elevator pits
 Elevator with hydraulic pistons
 New pits or excavations within the basement of an existing building
 Backfilling and/or restoration of vaulted sidewalks (Note: this is a special case whereby any
depth applies

For a building project, contact the Department of Buildings (DOB) or Mr. Avikam Hamieri (312-
742-6084) to start the building or foundation permit process which will include OUC. For non-
building infrastructure projects, bridges, roadways, utilities, tunnels, etc., contact the OUC or Mr.
Zenon Stuck (312-742-3130) to start the geotechnical review. The geotechnical review is concurrent
with the OUC EFP process and the geotechnical approval is required for OUC to issue permit
issuance authorized. The geotechnical calculations are not required prior to OUC EFP submittal.

The CDOT Geotechnical Reviewer will schedule an Intake Meeting to review process and assist the
Permittee as needed. It is the responsibility of the Designer to complete and submit this checklist
along with all required drawings and calculations for Geotechnical Review.

In addition to the requirements on the Plan Preparation Checklist (Appendix D), the drawing set shall
include the items shown in this document, if applicable, including but not limited to the areas to be
excavated and/or the areas where earth retention is required, clearly indicated on Excavation (EX)
and/or Earth Retention System (ERS) plans. Earth retention system design (if applicable) will be
included as part of the review process along with drawings, geotechnical and structural calculations
and installation sequence. Foundation bearing capacity calculations, settlement, (total and
differential) calculations and testing procedures (if applicable) must be provided. Monitoring by a
licensed surveyor during construction may be required for the protection of adjacent public property
and will be outlined as needed by CDOT upon final approval.

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Appendix D
Geotechnical Review Checklist

1.0 GEOTECHNICAL REPORT

1. Include written report, boring logs and location plan.
2. Provide top of boring elevation tied to Chicago City Datum (CCD)
3. Adequate number of borings to cover the entire building site (a minimum of two borings
for the first 10,000 square feet of the building footprint and one boring for every 10,000
square feet thereafter, or fraction thereof)
4. Adequate depth of boring is required to be a minimum dimension below bearing
elevation either two times the footing width for spread footings or two times the
maximum bell diameter for caissons (drilled shafts)
5. Log shall show ground water levels, Standard Penetration test values (N), Unconfined
Compressive Strength values (Q u), Water Content values, and Soil Classification by
strata
6. Pressuremeter tests for bearing capacities greater than 21 ksf (minimum two borings)
7. Vane Shear tests (recommended) in soft clays for Earth Retention System (ERS) design
and/or to check for caisson squeeze (minimum of two borings)
2.0 DRAWINGS
2.1a COVER SHEET
1. Complete sheet index block in the lower right-hand corner with the project OUC
Number (initial submittal (20## - #####), project name, and sheet numbers.
2. Show title information in the top center of the sheet and include:
Project route number, common name, street name, Location of improvement, and
Type of improvement.
3. Show the graphic scales used on plans & profiles in the lower left-hand side of the
sheet.
4. Provide a project layout map at bottom center of the sheet. Include on the map:
Location of project, and north arrow, Beginning and end stations, Important
intermediate stations, Prominent features, Names for special features, Route and street
names, scale of location map, and Equation stations.
5. Provide the project gross and net lengths immediately below the layout map. Only
include the mainline distances. Do not include length of intersection improvements.
6. Include the designer (company) name or Agency name. The drawings must be sealed,
signed and dated by a Professional Engineer or Structural Engineer licensed in the State
of Illinois, depending on the project scope of work.
7. Show the information for C.U.A.N. on the lower left hand side of the cover sheet.
8. Show the legend for symbols denoting existing and proposed features.

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Appendix D
Geotechnical Review Checklist

2.1b INDEX OF SHEETS, HIGHWAY STANDARDS, AND PLANS NOTES

1. Completely fill out the sheet index (Can be placed on cover sheet).
Provide a list of all IDOT Highway Standards necessary to construct the project. Also,
2.
include the revision number (Can be placed on cover she et).
3. Include all applicable general plan notes (Can be placed on cover sheet).

2.2 SITE PLANS

1. Locate column lines/work from property lines in N-S and E-W directions.
2. Locate property lines from cross street right-of-way (ROW) lines
3. Indicate elevations in CCD
4. Show existing grades

2.3 PLAT SURVEY

1. Must provide ALTA survey dated within the last 180 days or else update is required
Show existing utilities (gas, water, sewer, electric, telecom, freight tunnels, etc.) or
2.
provide a separate utility plan (see Civil Plans and Details below)
3. Utility information shall be obtained through an OUC Information Retrieval (IR).
4. Show existing grades, streets, alleys and sidewalks, etc.
5. Are any property vacations required?

2.4 ARCHITECTURAL FLOOR PLANS, BUILDING SECTIONS, AND ELEVATIONS

(if applicable)
1. Show property lines, column lines, floor elevations and pit elevations
2. Elevator pistons located from column tiles.
3. Correlate building datum to CCD on sheets

2.5 STRUCTURAL FLOOR PLANS, FOUNDATION PLAN, CAISSON/PLAN PILE

(if applicable)
1. Same as Architectural plus
2. Show all adjacent buildings/structures on plans with sections
Show encroachments of any components beyond property line on plan with sections
3.
(caps, grade beams, caisson shafts and bells, piles, etc.)
Dimension of encroachments beyond property lines (caisson bells must include over
4.
dig.)
5. Encroachments may require City Council approval. Verify
6. Caisson and/or pile details with bearing elevation and bearing capacity
7. Spread footing and/or matt details with bearing elevation and bearing capacity

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Appendix D
Geotechnical Review Checklist

2.6 CIVIL PLAN AND DETAILS

Show location of new sidewalks, driveways, alleys, curb and gutters, street
1.
pavements/drop-off lanes
2. Pavement Details (Appendix A)
3. New plumbing lines, structures and service connections
4. Dimension all sewer and water connections to nearest cross street right-of-way line
5. Show storm water retention structures with locations, depth and typical sections
6. Existing utility plan if not shown on Plat of Survey (see Item 2.3 for details)

2.7 PLUMBING DRAWINGS ((if applicable)

Street names, property lines; all underground utility plans
1.
(underground, basement, first floor)

2.8 LANDSCAPING DRAWINGS (if applicable)

1. Landscaping plans and details
2. Planting/species list

2.9 EARTH RETENTION SYSTEM/EXCAVATION DRAWINGS

1. Property lines and column lines
2. Earth retention components and Open Cut slopes with locations from property lines
3. Dimension of encroachments beyond property lines
4. Dimension all sewer and water connections to nearest cross street right-of-way line
5. Encroachments may require City Council approval. Verify
6. Adjacent structures, existing utilities and excavation limits
Typical section on all sides showing all conditions – Include existing grades, bottom of
7. excavation, excavation slopes, top and lower tip elevations of earth retention, bottom of
adjacent foundation (underpinning required?) and utilities

2.10 LOGISTIC PLANS: SIGNED BY CDOT DIVISION OF PERMITS (MIKE SMITH)

1. Property lines, streets, sidewalks and alleys (including utility poles)
2. Utility lines (including sewer, water, electric and gas)
3. Portion of street, alley and sidewalks to be closed
Fences, barricades and pedestrian canopies (existing and proposed) with location
4.
dimensions
5. Typical section along each side

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Appendix D
Geotechnical Review Checklist

3.0 FOUNDATION DESIGN CALCULATIONS AND INSTALLATION PROCEDURES

Upon completion of OUC EFP Submittal, the Permittee shall submit design calculations required by
CDOT Geotechnical Reviewer. Hand calculations are required; computer output is not accepted. A
general listing of typical calculations is provided below for reference; additional calculations may be
required on an individual project/site specific basis. Additional requirements specific to soil testing
and analysis as well as foundation load testing and design parameters may be found in the Chicago
Building Code, Chapter 18 – Soils and Foundations.

A. Foundation Design Calculations and Construction Procedures

A1. Foundation Bearing capacity – Hand calculations for all types of foundations used:
Shallow (footing, mats, etc.); deep (caisson, piles); and/or combination
A2. Foundation Structural capacities of steel piles (12 ksi max. per Chicago Building Code)
A3. Settlement – Total and differential settlements
A4. Installation Procedures – Caissons, Drilled Shafts, Piles
A5. Load test procedures – Caissons, Drilled Shafts, Piles

B. Underpinning of Existing Building

B1. Structural capacity of underpinning piles
B2. Underpinning pier (pile) static capacity
B3. Design of underpinning brackets
B4. Analysis to determine if adjacent existing footing/walls are capable of withstanding
anticipated pressures/stress
B5. Underpinning installation procedure
C. Adjacent Structure Analysis and Protection
C1. Existing footing/wall sub-grade bearing capacity/stability analysis for reduced factors of
safety because of removal of soil surcharge above existing footings
C2. Global Stability Analysis

4.0 EARTH RETENTION CALCULATIONS AND INSTALLATION PROCEDURES

4-1. Common Items

The following items are to be included with all earth retention (ERS) submittals. All ERS drawings
and calculations to be sealed and signed by Structural Engineer licensed in the State of Illinois.

A. Hand calculations are required; computer output is not accepted.

B. Boring logs, field/lab test data and Final Site (Project) Specific Geotechnical Report.
C. List all design assumptions used in the calculations, as they are introduced in sequence of
computations.
D. Provide copies of relevant pages of references used in the calculations. These include all
graphs, charts, or tables used in the analysis or design.

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Appendix D
Geotechnical Review Checklist

E. Provide copies of catalogue cuts, tables of material properties used in the structural
calculations.
F. All submittals must begin with a sketch and/or listing of soil layering, soil parameters, and
design water level assumed in the calculations. Specific borings which were used in
establishing the design conditions should be identified by boring numbers as given on the
logs.
G. Calculations should show cross-sections giving design elevations for:
i. Top and toe of the wall
ii. Existing surrounding ground
iii. Bottom of the excavation
iv. Existing adjacent foundations within the zone of influence
v. Cut slopes and set-backs
vi. Water elevation
H. All formulas must be listed, as they are being used in the various parts of the calculations.
I. Include all calculation steps that are a normal part of an actual hand solution whether or not a
computer-assisted analysis/design was used. Do not submit recopied computer output as hand
calculation.
J. Construction surcharge should be actual conditions planned by the contractor (crane loading
included) or minimum traffic surcharge of 240 psf uniformly distributed vertical load.
K. ERS drawings must include plan views and cross-sections which are consistent with the final
design options, eliminating alternatives. Sufficient cross-sections must be provided to show
top of grade, cutback slopes, adjacent buildings, sidewalks, alleys, and roadways, as well as
utilities with the zone of influence (within 2.5 times the excavation depth from grade).
L. A Groundwater Control Plan and dewatering calculations prepared by an Illinois registered
PE must be submitted for review in all cases where well/wellpoints and/or dewatering are
necessary to maintain a dry, stable excavation.
M. ERS drawings must include Sequencing of work from pot-holing for foundations and pre-
trenching for earth retention to backfilling of area to adjacent (proposed) street grade. Include
step by step procedures regarding installation of bracing and removal of bracing per the
staged excavation design calculations. All items in the construction procedure shall
correspond to items checked in the ERS design.

4-2. Earth Retention System (ERS) Items – General

The ERS submitted must include calculations for the design of all vertical wall components and for
all bracing components. For example, depending the system selected, this may include design for:

 Sheet piles, soldier piles and lagging, secant piles, slurry walls, etc.
 Walers, struts, rakers, kicker blocks, anchors, and temporary earth berms.

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Appendix D
Geotechnical Review Checklist

 Utility supports for existing infrastructure.

 Use of proprietary systems, such as trench boxes or slide rail shoring, requires that a
structural engineer licensed in the state of Illinois confirm that the systems components are
satisfactory for site-specific conditions. Manufacturers or suppliers cut sheets must be
submitted, listing serial numbers of frames or boxes proposed for use on the project.

4-3. Items Specific to Cantilever Wall Analysis/Design

In addition to Common Items and ERS Items - General, the following must be included as part of the
submitted.

A. Provide a step-wise calculation of lateral pressure distribution. Calculate pressures at every

change of state of the problem, e.g. stratum boundaries excavation depth, brace or anchor
level, adjacent foundation load as it varies with depth.

B. Plot lateral pressures on diagram to reasonable size for illustration. Split diagram into
sensible triangular and rectangular units; identify units by letter or number for use in moment
equations. Account for all components of load: soil, water, and surcharge.

C. In cases where a theoretical negative or small positive active earth pressures are predicted
through clay strata, a minimum active earth pressure of 0.25z should be substituted, where z
is the total overburden pressure at depth z.

D. Provide moment calculations based on above pressure diagram, solving for wall embedment
depth required for rotational equilibrium (SF=1.0) about the toe. Show intermediate steps,
reducing moment expression to its final form for solution. Find zero shear, maximum
moment, to size sheeting.

E. Provide additional embedment length to establish safety factor or margin of safety vs.
rotational failure about the toe. Any of the generally recognized methods of determining
design embedment depth may be used. However, a minimum safety factor of 1.5 vs. ultimate
passive resistance is required in all cases.

F. Provide analysis of structural wall deflection and ground deformation required to mobilize
passive resistance. The support assumption for structural deflection should be consistent with
figure 6.1 of the U.S. Army Corps of Engineers EM 1110-2504 “Design of Sheet Piles
Walls”. The transition/rotation of the soil/wall system can be estimated roughly from
NAVFAC DM 7.2-6.2, based on soil type.

G. A check of base stability or overall (global) stability should be made using generally accepted
methods. The minimum allowable factor of safety is 1.5.

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Appendix D
Geotechnical Review Checklist

4-4. Items Specific to Single Level Braced or Anchored Walls

In addition to Common Items and ERS Items - General, the following must be included.

A. The free-earth support method should be used as the basis of design. No moment reduction
due to flexibility of the wall should be assumed.
B. Provide calculations to show the wall embedment depth required for rotational equilibrium
about the brace or anchor level (SF=1.0 condition). Provide additional embedment length
required for safety factor as in cantilever case.
C. Provide strut or anchor load calculations by taking moment about toe. Size sheeting as a
beam with above system of forces applied.
D. Bracing Calculations.

4-5. Items Specific to Walls with Two or more Levels of Bracing

In addition to Common Items and ERS Items - General, the following must be included.

A. Provide analyses for cantilever and single brace stages, strut removal, and final depth of
excavation stages.
B. Use generally recognized apparent earth pressure envelopes for determining multi-tier strut
loads, do not reduce strut or anchor loads to account for temporary conditions.
C. Provide base stability analysis for full and partial depth of cut, as needed to final critical
correlation. Minimum required safety factor is 1.5.
D. An estimate of adjacent ground movement should be made (Clough’s method or alternate)
accounting for stiffness of proposed wall used safety factor vs. basal heave.
E. When analyzing overall stability of the execution, do not include friction between the wall
and retained soil as contributing to stability of the system.
F. Provide design for all bracing component (walers, struts, rakers, etc.)

4-6. Bracing

In addition to Common Items and ERS Items and appropriate bracing analysis, the following must be
included.

A. Ground Anchor (tieback) design shall include un-bonded and bonded length calculation and
related sketch; testing procedures (proof, performance and creep), production anchor
procedure.
B. Provide design of all bracing components (walers, struts, rakers, etc.). If friction along the
wall/soil interface is considered, do not reduce load on the walers by more than 20% of the
waler load per linear foot as an allowance for friction.

C. Structural design: stiffeners, connections, support brackets. Check compact and non-compact
sections.

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