TABLE OF CONTENTS

STRESSES, STRAINS AND ELASTIC DEFORMATIONS OF SOIL

1.1 Stresses and Strains

1.2 Idealized Stress-Strain Response
1.3 Hooke’s Law
1.4 Plane Strain and Axial Symmetric Conditions
1.5 Anisotropic, Elastic States
1.6 Stress and Strain States
1.7 Total and Effective Stresses
1.8 Stresses in Soil from Surface Loads

COMPRESSIBILITY OF SOIL

2.1 Introduction
2.2 Elastic Settlement
2.3 Primary Consolidation Settlement
2.4 Secondary Consolidation Settlement
2.5 Precompression

SHEAR STRENGTH OF SOIL

3.1 Introduction
3.2 Typical Response of Soil to Shearing Forces
3.3 Four Models to Interpret shear strength
3.4 Practical Implications of Failure Criteria
3.5 Laboratory Tests for Shear Strength Parameters
3.6 Sensitivity and Thixotropy
3.7 Strength Anisotropy of Clay
3.8 Field Test
3.9 Practical applications of shear strength

LATERAL EARTH PRESSURE

4.1 Introduction
4.2 Earth Pressure At-Rest
4.3 Rankine’s Lateral Earth Pressure
4.4 Coulomb’s Earth Pressure Theory
4.5 Earth Pressure Using Theory of Plasticity
4.6 Common Types of Retaining Walls
4.7 Braced Excavation

SLOPE STABILITY

5.1 Introduction
5.2 Types of Slope Failure
5.3 Causes of Slope Failure
5.4 Stability of Infinite Slopes
5.5 Finite Slopes

SHALLOW FOUNDATION – SOIL BEARING CAPACITY

6.1 Introduction
6.2 Soil Response to a Loaded Footing
6.3 Conventional Failure Surface Under a Footing
6.4 Collapse Load Using the Limit Equilibrium Method
6.5 Bearing Capacity Equations
6.6 Which Equations to Use
6.7 Concentric Loadings
6.8 Eccentric Loadings
6.9 Inclined Loadings
6.10 Effect of Water Table on Bearing Capacity
6.11 Bearing Capacity from SPT
6.12 Bearing Capacity of Foundation with Uplift Forces

DEEP FOUNDATION – SOIL BEARING CAPACITY

7.1 Introduction
7.2 Types of Piles and Installation
7.3 Vertical Load Capacity of Single Pile for Driven Piles
7.4 Vertical Load Capacity of Single Pile for Drilled Shafts
7.5 Uplift Capacity of Single Piles
7.6 Negative Skin Friction of Single Piles
7.7 Laterally Loaded of Single Piles
7.8 Pile Groups
7.9 Pile Settlements

1.1 STRESSES AND STRAINS

1.1.1 Normal Stresses and Normal Strains

Consider a cube of dimensions x= y =z that is subjected to forces P x, P y , P z normal to three

adjacent sides, as shown in figure below.
 Pz Px Py
σ z= σ x= σ y=
xy yz xz

Let us assume that under these forces the cube compressed by ∆𝑥, ∆𝑦, and ∆𝑧 in the X, Y, and Z
directions.

∆z ∆x ∆y
ε z= ε x= ε y=
z x y
1.1.2 Volumetric Strain
ε p=ε x +ε y + ε z

1.1.3 Shear Stresses and Shear Strains

Let us consider, for simplicity, the XZ plane and apply a force F that causes the square to distort
into a parallelogram, as shown in figure below. Simple shear strain is a measure of the angular
distortion of a body by shearing forces.

F ∆x ∆x
τ= ; y zx =tan−1 ≈
xy z z

1.2 IDEALIZED STRESS STRAIN RESPONSE

If we apply an incremental vertical load, ∆𝑃, to a deformable cylinder of cross-sectional area A,

the cylinder will compress by, say, ∆𝑧 and the radius will increase by∆𝑟. The ratio of the radial (or
lateral) strain to the vertical strain is called Poisson’s ratio, 𝝂, defined as
 −∆ ε r
v=
∆ εz

1.3 HOOKE’S LAW

1.3.1 General State of Stress

Stresses and strains for a linear, isotropic, elastic soil are related through Hooke’s law.

{} [ ]{ }
εx 1 −v −v 0 0 0 σx
εy −v 1 −v 0 0 0 σy
εz 1 −v −v 1 0 0 0 σz
=
γ xy E 0 0 0 2(1+ v) 0 0 τ xy
γ yz 0 0 0 0 2(1+v ) 0 τ yz
γ zx 0 0 0 0 0 2(1+ v) τ zx

1.3.2 Principal Stresses

The matrix on the right-hand side of equation below is called the stiffness matrix.
 { } [ ]{ }
∆σ1 1−v v v ε1
E
∆σ2 = v 1−v v ε2
(1+ v )(1−2 v )
∆σ3 v v 1−v ε 3

1.3.3 Displacements from Strains and Forces from Stresses

The displacements and forces are obtained by integration.

∆ z=∫ ε z dz
P z=∫ ∆ σ z dA

1.4 PLANE STRAIN AND AXIAL SYMMETRIC CONDITION

1.4.1 Plane Strain Condition

There are two conditions of stress and strains that are common in geotechnical engineering. One is
the plane strain condition in which the strain in one direction is zero.

1+ v 1+ v
ε 1=
E
[ ( 1−v ) σ 1−v σ 3 ] ; ε 3=ε 1=
E
[ ( 1−v ) σ 3−v σ 1 ]

σ 2=v (σ 1 +σ 3 )

{} ε 1 1+ v 1−v
ε3
=
E v [ v ∆ σ1
1−v ∆ σ 3 ]{ }
{ }
∆σ1
=
E 1−v
∆ σ 3 ( 1+ v )(1−2 v ) v
v
[ ε1
1−v ε 3 ]{ }
Note:
Compression stresses or strain is positive
Tension stress or strain is negative

1.4.2 Axial Symmetric Condition

The other condition that occurs in practical problems is axial symmetry, or the axisymmetric
condition, where two stresses are equal.

{} [
ε 1 1 1 −2 v ∆ σ 1
=
ε 3 E −v 1−v ∆ σ 3 ]{ }
{ }
∆σ1
=
E
[
1−v 2 v ε 1
∆ σ 3 (1+ v )(1−2 v ) v 1 ε3 ]{ }

1.5 ANISOTROPIC, ELASTIC STRESS

Anisotropic materials have different elastic parameters in different directions. Anisotropy in soils
results from essentially two causes.

1. The manner in which the soil is deposited. This is called structural anisotropy and it is
the result of the kind of soil fabric that is formed during deposition. You should recall
that the soil fabric produced is related to the history of the environment in which the soil
is formed. A special form of structural anisotropy occurs when the horizontal plane is a
plane of isotropy. We call this form of structural anisotropy transverse anisotropy.

2. The difference in stresses in different directions. This is known as stress-induced

anisotropy.

For axisymmetric conditions, the transverse anisotropic, elastic equations are:

[ ]{ }
1 −2 v rz

{ }
∆ εz
∆ εr
=
Ez
−v zr
Er ∆σz
1−v rr ∆ σ r
Ez Er

v rz E r
=
v zr E z

1.6 STRESS AND STRAIN STRESS

1.6.1 Mohr’s Circles for Stress States

Suppose a cuboidal sample of soil is subjected to the stresses shown in figure below. We would
like to know what the stresses are at a point, say, A, within the sample due to the applied stresses.
One approach to find the stresses at A, called the stress state at A, is to use Mohr’s circle.
Where:
σ 1 = Major Principal Stress
σ 3 = Minor Principal Stress
ψ = Angle from Major Principal Stress Plane to Horizontal Plane of Soil Sample

1.6.2 Mohr’s Circle for Strain States

So far, we have studied stress states. The strain state is found in a similar manner to the stress
state.
1.7 TOTAL AND EFFECTIVE STRESSES

1.7.1 Principle of Effective Stress

Let us consider an element of a saturated soil subjected to a normal stress, 𝝈, applied on the
horizontal boundary, as shown in figure below. The stress 𝝈 is called the total stress, and for
equilibrium the stresses in the soil must be equal to 𝝈. The resistance or reaction to 𝝈 is provided
by a combination of the stresses from the solids, called effective stress (𝝈′), and from water in the
pores, called porewater pressure (u).

σ =H soil γ soil + H w γ w

 Principle of effective stress and was first recognized by Terzaghi in the mid-1920s
during his research into soil consolidation. The principle of effective stress is the most
important principle in soil mechanics.
 Deformations of soils are a function of effective stresses, not total stresses. The principle
of effective stresses applies only to normal stresses and not to shear stresses.
 The effective stress is not the contact stress between the soil solids. Rather, it is the
average stress on a plane through the soil mass.

'
σ =σ +u
1.7.2 Effects of Seepage

As water flows through soil, it exerts a frictional drag on the soil particles, resulting in head losses.
The frictional drag is called seepage force in soil mechanics. It is often convenient to define
seepage as the seepage force per unit volume (it has units similar to unit weight), which we will
denote by j s. If the head loss ∆ h over a flow distance, L, the seepage force j s is

∆ hγw
j s= =i γ w
L

If seepage occurs downward, then the seepage stresses are in the same direction as the
gravitational effective stresses.

u z=γ w z−i γ w z

If seepage occurs upward, then the seepage stresses are in the opposite direction to the
gravitational effective stresses.

u z=γ w z +i γ w z

1.7.2.1 Quick Sand

Let us consider the upward flow of water through a soil sample as shown in figure below.
Such a boiling condition will become imminent if the upward water force just equals the
weight of the material acting downward.

h G−1
i= =
L 1+ e

 This means that an upward hydraulic gradient

will be just sufficient to start the phenomenon
of “boiling” in sand. This gradient is
commonly referred to as the “Critical
hydraulic gradient”, i c . Its value is
approximately equal to unity.

 A saturated sand becomes “Quick” or “Alive”

at this gradient; this is only a conditions and
not a type of sand.
1.7.3 Effects of Capillarity

 In silts and fine sands, the soil above the groundwater can be saturated by capillary
action. You would have encountered capillary action in your physics course when you
studied meniscus. We can get an understanding of capillarity in soils by idealizing the
continuous void spaces as capillary tubes.
 Consider a single idealized tube, the height at which water will rise in the tube can be
found from statics. Summing forces vertically, we get

( π4 d ) h γ =πdTcos α
2
c w

4 Tcos α 4T
h c γ w= h c=
d γw dγ w

Where:
T = Surface Tension

The value of surface tension (𝑻) for water varies with temperature. At ordinary or room
temperature, 𝑻 is nearly 7.3 dynes/mm or 73 × 10 -6 N/mm and 𝛾w may be taken as 9.81 × 10 -6
N/mm3

30
hc=
d

where d is the diameter of the glass capillary in mm, and h c is the capillary rise of water
in the glass tube in mm.
1.8 STRESSES IN SOIL FROM SURFACE LOADS

1.8.1 Stresses Caused by a Point Load

Boussinesq (1883) solved the problem of stresses produced at any point in a

homogeneous, elastic, and isotropic medium as the result of a point load applied on the surface of
an infinitely large half-space.

∆ σ x=
{
P 2 x2 z
2 π L5
−(1−2 v) 2
[
x 2− y 2
+
y2 z
3 2
Lr ( L+ z ) L r ]}
∆ σ y=
{
P 2 y2 z
2 π L5
−(1−2 v)
[
y 2−x 2
+
x2 z
Lr 2 ( L+ z ) L3 r 2 ]}
3 3
3P z z
∆ σz= ∙ 5=
2 π L 2 π ( x + y 2 + z 2 )5/ 2
2

1.8.2 Vertical Stress Caused

by a Vertical Line
Load

Figure below shows a

vertical flexible line load of
infinite length that has an intensity
q/unit length on the surface of a
semi-infinite soil mass

2 q z3
∆ σz= 2
π (x +z )
2 2

2
2q x z
∆ σ x= 2
π (x +z )
2 2

2 q xz 2
∆ σ y= 2
π(x +z )
2 2

1.8.3 Vertical Stress Caused by a Horizontal Line Load

 Figure below shows a horizontal flexible line load on the surface of a semi-infinite soil
mass. The vertical stress increase at point A in the soil mass can be given as
2qx z 2
∆ σz= 2
π (x +z )
2 2

1.8.4 Vertical Stress Caused by a Vertical Strip Load

The fundamental equation for the vertical stress increase at a point in a soil mass as the
result of a line load can be used to determine the vertical stress at a point caused by a flexible strip
load of width B.

3
2 ( q dr ) z
d σ z=
2 2
π [ ( x −r ) + z ]
2

{[ }
+B /2

∫ ( 2πq )
3
z
∆ σ z =∫ d σ z= 2
dr
( x−r ) + z 2 ]
2
−B /2
 Valid for x in Positive Direction Only
For x greater than B/2

{ [ ( )]
}
2 2 B2
Bz x −z −

[ ( )] [ ( ) ] [
q −1 z −1 z 4
∆ σ z = tan −tan −

( )] + B z
π B B 2
2
x− x+ 2 B 2 2 2
2 2 x +z −
4

For x equals to B/2

{ [ ( )]
}
2
B 2 2
Bz x −z −

[ ( )] [
q π z 4
∆ σz= −tan−1 −

( )] + B z
π 2 B 2
2
x+ 2 B 2 2 2
2 x +z −
4
For x less than B/2

{ [ ( )]
}
2
B
Bz x 2−z 2−

[ ( ) ] [ ( )] [
q z z 4
∆ σz= π +tan −1 −tan −1 −

( )] + B z
π B B 2
2
x− x+ 2 B 2 2 2
2 2 x +z −
4

1.8.5 Vertical Stress Due to Embankment Loading

Figure below shows the cross section of an embankment of height H. For this two-
dimensional loading condition, the vertical stress increase may be expressed as:

q0
∆ σz= ¿
π

α 1=tan
−1
( B1 + B 2
B2 )
−¿ α 2 ¿

α 2=tan
−1
( Bz ) 1
1.8.6 Vertical Stress Below the Center of a Uniformly Loaded Circular Area

Using Boussinesq’s solution for vertical stress ∆𝜎z caused by a point load, one also can
develop an expression for the vertical stress below the center of a uniformly loaded flexible
circular area

3( qr dr dα ) z3
d σ z=
2π ( r 2+ z 2 )
5 /2

α =2 π r= R 3
3q z
∆ σ z =∫ dd σ z= ∫ ∫ dr dα
α =0 r=0 2 π ( r 2 + z 2 )5 /2

{ [( ) ] }
1
∆ σ z =q 1− 3
R 2 2
+1
z

1.8.7 Vertical Stress at Any point Below a Uniformly Loaded Circular Area

A detailed tabulation for calculation of vertical stress below a uniformly loaded flexible
circular area was given by Ahlvin and Ulery (1962). Referring to figure below, we find that ∆𝜎z at
any point A located at a depth z at any distance r from the center of the loaded area can be given as

∆ σ z =q (A ' + B' )

where A’ and B’ are functions of z/R and r/R.

1.8.7 Vertical Stress Caused by a Rectangular Loaded Area

 Boussinesq’s solution also can be used to calculate the vertical stress increase below a
flexible rectangular loaded area, as shown in figure below. The loaded area is located at
the ground surface and has length L and width B.
 The uniformly distributed load per unit area is equal to q. To determine the increase in the
vertical stress (∆𝜎z) at point A, which is located at depth z below the corner of the
rectangular area, we need to consider a small elemental area dx dy of the rectangle. The
load on this elemental area can be given by.

3
3 q dx dy z
dq=q dx dy ; ∆ σ z = 5

2 π( x + y +z )
2 2 2 2

B L 3
∆ σ z =∫ d σ z= ∫ ∫ 32qπz dx dz
5
=q I 3
y=0 x=0
(x + y + z )
2 2 2 2

At the corner

[ (
1 2 mn √ m + n +1 m + n +2
)
−1 2mn √ m +n +1
( )]
2 2 2 2 2 2
I 3= 2 2 2 2 2 2
+ tan 2 2 2 2
4 π m +n +m n + 1 m + n +1 m +n −m n +1

B L
m= n= ∆ σ z=q I 3
z z
−1
If tan () become negative add π to the equation

At the center

2
I 4= ¿
π

L z B
m 1= n1= b= ∆ σ z=q I 4
B b 2
1.8.8 Vertical Stress Caused by a Rectangular Loaded Area using Boston Rule (2:1
Method)

For uniform footing (B x L) we can estimate the change in vertical stress with depth
using the Boston Rule. Assumes stress at depth is constant below foundation influence area

q(B × L)
∆ σz=
( B+ z)( L+ z )
2.1 INTRODUCTION
A stress increase caused by the construction of foundations or other loads compresses soil layers.
The compression is caused by (a) deformation of soil particles, (b) relocations of soil particles,
and (c) expulsion of water or air from the void spaces. In general, the soil settlement caused by
loads may be divided into three broad categories:

1. Elastic settlement (or immediate settlement), which is caused by the elastic

deformation of dry soil and of moist and saturated soils without any change in the
moisture content. Elastic settlement calculations generally are based on equations derived
from the theory of elasticity.

2. Primary consolidation settlement, which is the result of a volume change in saturated

cohesive soils because of expulsion of the water that occupies the void spaces

3. Secondary consolidation settlement, which is observed in saturated cohesive soils and

is the result of the plastic adjustment of soil fabrics. It is an additional form of
compression that occurs at constant effective stress

The total settlement of a foundation can then be given as:

ST =Se +S c + S s
Where:
ST= Total Settlement
Se = Elastic Settlement
Sc = Primary Consolidation Settlement
Ss = Secondary Consolidation Settlement

For Clayey Soil

The settlement profile and contact pressure distribution described are true for soils in which the
modulus of elasticity is fairly constant with depth.

For Sandy Soil

 In the case of cohesionless sand, the modulus of elasticity increases with depth. There is a
lack of lateral confinement on the edge of the foundation at the ground surface.

P=P s + Pw

Ps = Load on Spring
Pw = Load on Water
2.2 ELASTIC SETTLEMENT

Elastic settlement takes place in a short period of time after the application of load and is
due to distortion of soil. As the settlement is experience in a short period of time, there will be not
enough time for the soil mass to change its water content.

Elastic settlement calculation on a flexible foundation on Granular Soil

2
' 1−v
Se =∆ σ ( α β ) Is If
Es

Where:
∆ σ = Net applied pressure on the foundation
v = Poison's ratio of soil
E s = Average modulus of elasticity of the soil under soil the foundation measured
from z = 0 to about z = 4B
B' = B/2 for center of foundation
B' = B for corner of foundation
B = Least Dimension of Foundation
1−2 v
I s= Shape Factor (Steinbrenner, 1934) = F 1+ F
1−v 2
'
1
F 1= ( A 0 + A1 ) and F 2= n ( tan −1 A 2 )
π 2π

' (1+ √ m' 2+1) √m' 2+ n' 2

A0 =m ln ⁡ '
m (1+ √ m +n +1)
'2 '2

(m + √m +1) √ 1+ n
' '2 '2
A1=ln ⁡
m' + √ m'2 +n '2 +1
'
m
A 2=
n √ m +n + 1
' '2 '2
 I f = depth factor (Fox, 1948)

I f =f ( DB , v ,∧LB )
f

α =¿ factor that depends on the location on the foundation where settlement is

calculated.

 For calculation of settlement at the center of the foundation:

H
L
α =4 n = B
( )
' '
m =
B
2

 For calculation of settlement at the corner of the foundation:

L H
α =1 m' = n' =
B B

Elastic settlement calculation on a Rigid Flexible Foundation

Se (rigid )=0.93 S e (flexible at center )

Fox Depth Factor, I f
2.3 PRIMARY CONSOLIDATION SETTLEMENT

2.3.1 One – Dimensional Laboratory Consolidation Test

The one-dimensional consolidation testing procedure was first suggested by Terzaghi. This test is
performed in consolidometer (sometimes referred to as an oedometer).

 The soil specimen is placed inside a metal ring with two porous stones, one at the top of
the specimen and another at the bottom. The specimens are usually 64 mm (2.5 in.) in
diameter and 25 mm (1 in.) thick.
The load on the specimen is applied through a lever arm, and compression is measured by a
micrometer dial gauge.

 The specimen is kept under water during the test. Each load usually is kept for 24 hours.
After that, the load usually is doubled, which doubles the pressure on the specimen, and
the compression measurement is continued.

 At the end of the test, the dry weight of the test specimen is determined.
2.3.2 Void Ratio – Pressure Plot

After the time – deformation plots for various loadings are obtained in the laboratory, it is
necessary to study the change in the void ratio of the specimen with pressure.

V
e= −1
Vs

1+ e ∆ e
=
H ∆H

∆ e=e0 −e 1

2.3.3 Normally Consolidated and Overconsolidated Clays

 A soil in the field at some depth has been subjected to a certain maximum effective past
pressure in its geologic history. This maximum effective past pressure may be equal to or less
than the existing effective overburden pressure at the time of sampling.

 The reduction of effective pressure in the field may be caused by natural geologic processes or
human processes. During the soil sampling, the existing effective overburden pressure is also
released, which results in some expansion.

 When this specimen is subjected to a consolidation test, a small amount of compression (that is,
a small change in void ratio) will occur when the effective pressure applied is less than the
maximum effective overburden pressure in the field to which the soil has been subjected in the
past.

When the effective pressure on the specimen becomes greater than the maximum effective past
pressure, the change in the void ratio is much larger, and the e-log a relationship is practically
linear with a steeper slope.

Normally Consolidated – whose present effective overburden pressure is the maximum pressure
that the soil was subjected to in the past.
Overconsolidated – whose present effective overburden pressure is less than that which the soil
experienced in the past. The maximum effective past pressure is called the preconsolidation
pressure.

The overconsolidation ratio (OCR) for a soil can now be defined as

'
σC
OCR= '
σ
Where:
σ 'C = preconsolidation pressure of a specimen
'
σ = present effective vertical pressure

Some empirical relationships are available to predict the preconsolidation pressure

 Nagaraj and Murty

log σ 'C =
1.112− ( ) e0
eL
'
0.0463 σ 0

0.188
Where:
e 0 = in situ void ratio
e L = void ratio at liquid limit =
[ ]
¿ (% )
100
Gs
Gs = specific gravity of soil solids
'
σ 0 = in situ effective overburden pressure

 Stas and Kulhawy

'
σC [ 1.11−1.62 ( LI ) ]
=10
Pa
Where:
Pa = atmospheric pressure
LI = liquidity index

 Hansbo
'
σ C =α VST C u (VST )
Where:
222
α VST = an empirical coefficient =
¿ ( %)
C u (VST ) = undrained shear strength obtained from vane shear test

 In any case, these above relationships may change from soil to soil. They may be taken as an
initial approximation
2.3.4 Calculation of One-Dimensional Primary Consolidation

According to Karl von Terzaghi "consolidation is any process which involves a decrease in water
content of saturated soil without replacement of water by air." In general, it is the process in which
reduction in volume takes place by expulsion of water under long term static loads.

Let us consider a saturated clay layer of thickness H and cross-sectional area A under an existing
'
average effective overburden pressure, σ 0. Because of an increase of effective pressure, ∆ σ ' , let
the primary settlement be Sc.

Normally Consolidated Soil

SC =
Cc H
1+e 0
log
(
σ '0 + ∆ σ '
σ0
' )
Overconsolidated Soil

' ' '

σ 0+ ∆ σ <σ C

( )
' '
CS H σ 0 +∆ σ
SC = log
1+ e0 '
σ0

' ' '

σ 0+ ∆ σ >σ C

( ) ( )
' ' '
C H σ C H σ +∆ σ
SC = S log C' + C log 0 '
1+ e0 σ 0 1+ e 0 σC

Where:
C C = Compression Index
C S = Swell Index

Compression Index

The compression index for the calculation of field settlement caused by consolidation can be
determined by graphic construction after one obtains the laboratory test results for void ratio and
pressure.

 Skempton
C C =0.009(¿−10) – For Undisturbed Clay
C C =0.007(¿−7) – For Remolded Clay

 Rendon – Herrero

( )
2.38
1.2 1+ e0
C C =0.141 G s
GS

 Nagaraj and Murty

 C C =0.2343 [ ]
¿ ( %)
100
GS
Where:
LL = Liquid Limit

Swell Index

The swell index is appreciably smaller in magnitude than the index and generally can be
determined from laboratory tests. In most cases

1 1
C S= ¿ C C
5 10
 Nagaraj and Murty

C S=0.0463 [ ]
¿ (%)
100
GS

 Kulhawy and Mayne

PI
CS ≈
370
Where:
PI = Plastic Index
2.4 SECONDARY CONSOLIDATION SETTLEMENT
 The figure showed that at the end of primary consolidation (that is, after complete
dissipation of excess pore water pressure) some settlement is observed because of the plastic
adjustment of soil fabrics. This stage of consolidation is called secondary consolidation.

∆e ∆e
C a= =
log t 2 −log t 1 t2
log
t1

Where:
C a = secondary compression index
∆ e = change of void ratio
t 2 = time after the completion of SC
t 1 = time for completion of SC

The magnitude of the secondary consolidation can be calculated as

SS =C 'a H log
()t2
t1
' Ca
C a=
1+ e p

Where:
e p = void ratio at the end of the primary consolidation
'
C a = modified secondary compression index
H = thickness of clay layer
2.4.1 Time Rate of Consolidation
The total settlement caused by primary consolidation resulting from an increase in the stress
on a soil layer can be calculated using one of the three equations given. However, they do not
provide any information regarding the rate of primary consolidation. Terzaghi (1925) proposed
the first theory to consider the rate of one-dimensional consolidation for saturated clay soils. The
mathematical derivations are based on the following six assumptions.

1. The clay-water system is homogeneous.

2. Saturation is complete.
3. Compressibility of water is negligible.
4. Compressibility of soil grains is negligible (but soil grains rearrange).
5. The flow of water is in one direction (that is, in the direction of compression).
6. Darcy's law is valid.

The solution yields

2u 0
[ ]
∞
Mz − M
U ( z , t )=u=∑
2
Tv
sin e
m=0 M H dr

Where:
π
M = ( 2 m+1 )
2
u0 = initial excess pore water pressure
H dr = length of maximum drainage path
T v = time factor
C v = coefficient of consolidation

[(
]
( 2 m+1 ) ) z
π
( )
2
∞ π Cv t
2u 0 2 − ( 2 m +1)
u=∑
2
2 H dr
sin e
π H dr
m=0
( 2 m+ 1 )
2
Time Factor

Cvt k
T v= 2
; C v=
H dr
γ w mv

Approximation

0 ≤ U ≤ 60 %

( )
2
π U%
T v=
4 100

0 ≤ U ≤ 60 %

T v =1.781−0.933 log ( 100−U % )

Degree of consolidation

u0−u z uz
U z= =1−
u0 u0

Sd ( t )
U=
SC

Where:
u z = excess pore water pressure at time t
Sd (t ) = settlement of layer at time t
Sd (t ) = ultimate settlement of the later from primary consolidation
U = average degree of consolidation
U z = degree of consolidation at a distance z at any time t
2.4.2 Coefficient of Consolidation

The coefficient of consolidation cv generally decreases as the liquid limit of soil

increases. The range of variation of cv for a given liquid limit of soil is wide.

For a given load increment on a specimen, two graphical methods commonly are used for
determining cv from laboratory one-dimensional consolidation tests. The first is the logarithm of-
time method proposed by Casagrande and Fadum (1940), and the other is the square-root-of-time
method given by Taylor (1942). More recently, at least two other methods were proposed. They
are the hyperbola method (Sridharan and Prakash, 1985) and the early-stage log-t method
(Robinson and Allam, 1996).

2.4.2.1 Logarithm-of-Time Method

For a given incremental loading of the laboratory test, the specimen deformation against
log-of-time plot is shown in figure below.

0.197 H 2Dr
C v=
t 50

 Extend the straight-line portions of primary and secondary consolidations to intersect at

A. The ordinate of A is represented by d 100 that is, the deformation at the end of 100%
primary consolidation.
 The initial curved portion of the plot of deformation versus log t is approximated to be
a parabola on the natural scale. Select times t₁ and t₂ on the curved portion such that
 t 2−4 t 1. Let the difference of specimen deformation during time (t ¿ ¿ 2−t 1)¿ be
equal to x.
 Draw a horizontal line DE such that the vertical distance BD is equal to x. The
deformation corresponding to the line DE is d 0 (that is, deformation at 0%
consolidation).
 The ordinate of point F on the consolidation curve represents the deformation at 50%
primary consolidation, and its abscissa represents the corresponding.
 For 50% average degree of consolidation, Tv = 0.197
 2.4.2.2 Square-Root-of-Time Method

In the square-root-of-time method, a plot of deformation against the square root

of time is made for the incremental loading.

2
0.848 H Dr
C v=
t 90

 Draw a line AB through the early portion of the curve.

 Draw a line AC such that OC = 1.15OB . The abscissa of point D, which is the
intersection of AC and the consolidation curve, gives the square root of time for 90%
consolidation ( √ t 90 ).
 For 90% consolidation, Tv = 0.848

2.4.2.3 Hyperbola Method

In the hyperbola method, the following procedure IS recommended for the determination
of Cv. The hyperbola method is fairly simple to use, and it gives good results for U = 60
to 90%.

m H 2Dr
C v =0.3
D

 Obtain the time t and the specimen deformation (ΔH) from the laboratory consolidation
test.
 Plot the graph of t/ΔH against t
 Identify the straight-line portion bc and project it back to point d.
 Determine the intercept D.
 Determine the slope m of the line bc.
2.4.2.4 Early-Stage log-t Method
 The early-stage log-t method, an extension of the logarithm-of-time method, is
based on specimen deformation against log-of-time plot According to this method, follow
Steps 2 and 3 described for the logarithm-of-time method to determine d 0. Draw a
horizontal line DE through d0. Then draw a tangent through the point of inflection, F. The
tangent intersects line DE at point G. Determine the time t corresponding to G, which is
the time at U = 22.14%. the early-stage log-t method may provide a more realistic value
of fieldwork.

m H 2Dr
C v =0.3
D

2.5 PRECOMPRESSION

2.5.1 Sand Drain Method

 In many instances, sand drains and prefabricated vertical drains are used in the field to
accelerate consolidation settlement in soft, normally consolidated clay layers and to achieve
precompression before the construction of a desired foundation.
 Sand drains are constructed by drilling holes through the clay layer(s) in the field at regular
intervals. The holes then are backfilled with sand. This can be achieved by several means,
such as

 (a)rotary drilling and then backfilling with sand

 (b) drilling by continuous flight auger with a hollow stem and backfilling with sand
(through the hollow stem); and
 (c) driving hollow steel piles. The soil inside the pile is then jetted out. and the hole is
backfilled with sand.

A surcharge is applied at the ground surface. This surcharge will increase the pore water
pressure in the clay. The excess pore water pressure in the clay will be dissipated by drainage-both
vertically and radially to the sand drains-which accelerates settlement of the clay layer.

2.5.2 Prefabricated vertical drains (PVDs)

 Prefabricated vertical drains (PVDs), which also are referred to as wick or strip drains,
originally were developed as a substitute for the commonly used sand drain.
 With the advent of materials science, these drains are manufactured from synthetic polymers
such as polypropylene and high-density polyethylene. PVDs normally are manufactured with
a corrugated or channeled synthetic core enclosed by a geotextile filter.
 Installation rates reported in the literature are on the order of 0.1 to 0.3 m/s, excluding
equipment mobilization and setup time. PVDs have been used extensively in the past for
expedient consolidation of low permeability soils under surface surcharge. The main
advantage of PVDs over sand drains is that they do not require drilling and, thus, installation
is much faster.
 When highly compressible, normally consolidated clayey soil layers lie at a limited depth and
large consolidation settlements are expected as a result of the construction of large buildings,
highway embankments, or earth dams, precompression of soil may be used to minimize
postconstruction settlement.

( )
'
Cc H σ +∆σ
SC =S p= log 0 ' ( p)
1+ e 0 σ0

Sc =S( p+ f ) =
Cc H
1+e 0
log
(
σ '0 + [ ∆ σ ( p )+ ∆ σ (f ) ]
σ0
' )
Where:
∆ σ ( p ) = proposed structural load
∆ σ (f ) = surcharge

Sd ( t )
U=
Sc

U=
log
( σ '0 +∆ σ (p )
σ '0 )
( σ 0 + [ ∆ σ ( p )+ ∆ σ ( f ) ]
)
'

log
σ '0

2
T v H Dr
t 2=
Cv
3.1 INTRODUCTION
3.2 TYPICAL RESPONSE OF SOIL TO SHEARING FORCE

The shear strength of a soil mass is the internal resistance per unit area that the soil mass can offer
to resist failure and sliding along any plane inside it. One must understand the nature of shearing
resistance in order to analyze soil stability problems, such as bearing capacity, slope stability, and
lateral pressure on earth-retaining structures.

 We are going to describe the behavior of two groups of soils when they are subjected to
shearing forces. One group, called uncemented soils, has very weak interparticle bonds.
 The other group, called cemented soils, has strong interparticle bonds through ion
exchange or substitution. The particles of cemented soils are chemically bonded or
cemented together. An example of a cemented soil is caliche, which is a mixture of clay,
sand, and gravel cemented by calcium carbonate

Let us incrementally deform two samples of soil by applying simple shear deformation
(shown if figure) to each of them. One sample, which we call Type I, represents mostly loose
sands and normally consolidated and lightly overconsolidated clays(OCR ≤ 2). The other, which
we call Type II, represents mostly dense sands and overconsolidated clays (OCR > 2).

We are going to summarize the important features of the responses of these two groups of
soils—Type I and Type II— when subjected to a constant vertical (normal) effective stress and
increasing shear strain.

Type I Soils

 Show gradual increase in shear stresses as the shear strain increases (strain-hardens) until
an approximately constant shear stress, which we will call the critical state shear stress,
τ cs, is attained.
 Compress, that is, they become denser until a constant void ratio, which we will call the
critical ratio, e cs, is reached.

Type II Soils

 Show a rapid increase in shear stress reaching a peak value, τ p, at low shear strains
(compared to Type I soils) and then show a decrease in shear stress with increasing shear
strain(strain-softens), ultimately attaining a critical state shear stress.
  The strain-softening response generally results from localized failure zones called shear
bands. These shear bands are soil pockets that have loosened and reached the critical state
shear stress. Between the shear bands are denser soils that gradually loosen as shearing
continues.

When a shear band develops in some types of overconsolidated clays, the particles become
oriented parallel to the direction of the shear band, causing the final shear stress of these clays to
decrease below the critical state shear stress. We will call this type of soil Type II-A, and the final
shear stress attained the residual shear stress, 𝜏r.

3.2.1 Effects of Increasing the Normal Effective Stress

 For Type I soils, the amount of compression and the magnitude of the critical state shear
stress will increase. For Type II soils, the peak shear stress tends to disappear, the critical
shear stress increases, and the change in volume expansion decreases.
 An approximate straight line (OA, in figure shown) that links all the critical state shear
'
stress values of Type I and Type II soils. We will call the angle between OA and the σ n
axis the critical state friction angle, Φ cr .The line OA will be called the failure
envelope because any shear stress that lies on itis a critical state shear stress.
 Curve (OBCA, in figure shown) that links all peak shear stress values for Type II soils.
We will call OBC (the curved part of OBCA) the peak shear stress envelope because
any shear stress that lies on it is a peak shear stress.
3.2.2 Effects of Overconsolidation Ratio

The initial state of the soil dictates the response of the soil to shearing forces. For
example, two overconsolidated homogeneous soils with different overconsolidation ratios but the
same mineralogical composition would exhibit different peak shear stresses and volume
expansion, as shown in figure. The higher overconsolidated soil gives a higher peak shear strength
and greater volume expansion.
3.2.3 Effects of Drainage of Excess Porewater Pressure

The rate of loading under the undrained condition is often much faster than the rate of
dissipation of the excess porewater pressure, and the volume-change tendency of the soil is
suppressed. The result of this suppression is a change in excess porewater pressure during
shearing. A soil with a tendency to compress during drained loading will exhibit an increase in
excess porewater pressure under undrained condition, resulting in a decrease in effective stress.

A soil that expands during drained loading will exhibit a decrease in excess porewater
pressure (negative excess porewater pressure) under undrained condition, resulting in an increase
ineffective stress. These changes in excess porewater pressure occur because the void ratio does
not change during undrained loading; that is, the volume of the soil remains constant.

3.2.4 Effects of Cohesion

The term cohesion, C, as used conventionally in geotechnical engineering, is an apparent

shear strength that captures the effects of intermolecular forces (C 0), soil tension (C t ), and
cementation (C cm) on the shear strength of soils.

We will separate these effects. Cohesion, C 0, represents the action of intermolecular

forces on the shear strength of soils. These forces do not contribute significant shearing resistance
for practical consideration and will be neglected. In a plot of peak shear stress versus normal
effective stress using shear test data, an intercept shear stress, C 0, would be observed when a best-
fit straight line is used as the trend line.
3.2.5 Effects of Soil Tension
  Soil tension is the result of surface tension of water on soil particles in unsaturated soils.
A suction pressure (negative porewater pressure from capillary stresses) is created that
pulls the soil particles together.
 Recall that the effective stress is equal to total stress minus porewater pressure. Thus, if
the porewater pressure is negative, the normal effective stress increases. For soil as a
frictional material, this normal effective stress increase leads to a gain in shearing
resistance. The intergranular friction angle or critical state friction angle does not change.

3.2.6 Effects of Cementation

 Nearly all natural soils have some degree of cementation, wherein the soil particles are
chemically bonded. The degree of cementation can vary widely, from very weak bond
strength (soil crumbles under finger pressure) to the bond strength of weak rocks.
 Cemented soils possess shear strength even when the normal effective stress is zero. They
behave much like Type II soils except that they have an initial shear strength, C cm, under
zero normal effective stress. The shear strength from cementation is mobilized at small
shear strain levels (0.001%).

3.3 FOUR MODELS TO INTERPRET SHEAR STRENGTH

In this section, we will examine four soil models to help us interpret the shear strength of
soils. A soil model is an idealized representation of the soil to allow us to understand its response
to loading and other external events. By definition, then, a soil model should not be expected to
capture all the intricacies of soil behavior. Each soil model may have a different set of assumptions
and may only represent one or more aspects of soil behavior.

3.3.1 Coulomb’s Failure Criterion

Soils, in particular granular soils, are endowed by nature with slip planes. Each contact of
one soil particle with another is a potential micro slip plane. Loadings can cause a number of these
micro slip planes to align in the direction of least resistance. Thus, we can speculate that a possible
mode of soil failure is slip on a plane of least resistance.

H=μW
' −1 H −1
ϕ =tan =tan μ
W

Coulomb’s Law
τ f =(σ 'n)f tan ϕ '

where ϕ ' = angle of friction

τ f = normal effective stress at slip plane
α = dilation angle
 A soil particle for coarse-grained soils—one loose, the other dense as shown in the figure
below. We will assume that the soil particles are spheres. In two dimensions, arrays of spheres
become arrays of disks. The loose array is obtained by stacking the spheres one on top of another,
while the dense packing is obtained by staggering the rows.

∑ F x=0 ; H−Nsin α−μNcos α =0

∑ F z=0 ; Ncos α −μNsin α −W =0
H=N ¿
W =N ¿

H μ tan α tan ϕ ' + tan α

= =
W 1−μ tan α 1−tan ϕ ' tan α

τ f =(σ 'n)f tan(ϕ¿' ± α ); α =tan−1 ( −∆∆ xz )=ϕ −ϕ ¿

'
P
'
cr

For cemented soils ξ 0 = apparent angle of friction

'
τ f =C cm +(σ n)f tan(ξ 0 ¿ )¿
 Coulomb’s model applies strictly to soil failures that occur along a slip plane, such as a
joint or the interface of two soils or the interface between a structure and a soil. Stratified soil
deposits such as overconsolidated varved clays (regular layered soils that depict seasonal
variations in deposition) and fissured clays are likely candidates for failure following Coulomb’s
model, especially if the direction of shearing is parallel to the direction of the bedding plane.

3.3.2 Taylor’s Failure Criterion

Taylor (1948) used an energy method to derive a simple soil model. He assumed that the shear
strength of soil is due to sliding friction from shearing and the interlocking of soil particles.

τ dε
τ dγ=μ f σ 'z dγ ± σ 'z d ε z ; =μ f ± z
σz'
dγ

' d εz
At critical state, μf =tan ϕ cr and α = =0
dγ

( )
τ
'
σz cr
=tan ϕ 'cr

d εz
At peak shear strength =tan α p
dγ

( )
τ
'
σz p
'
=tan ϕ cr + tan α p

 Unlike Coulomb failure criterion, Taylor failure criterion does not require the assumption
of any physical mechanism of failure, such as a plane of sliding. It can be applied at every
stage of loading for soils that are homogeneous and deform under plane strain conditions
similar to simple shear.

 This failure criterion would not apply to soils that fail along a joint or an interface
between two soils. Taylor failure criterion gives a higher peak dilation angle than
Coulomb failure criterion.
3.3.3 Mohr Coulomb Failure Criterion

 Coulomb’s frictional law for finding the shear strength of soils requires that we know the
friction angle and the normal effective stress on the slip plane. Both of these are not
readily known because soils are usually subjected to a variety of stresses. Mohr’s circle
can be used to determine the stress state within a soil mass. By combining Mohr’s circle
for finding stress states with Coulomb’s frictional law, we can develop a generalized
failure criterion.

 Let us draw a Coulomb frictional failure line, as illustrated by AB in figure, and subject a
cylindrical sample of soil to principal effective stresses so that Mohr’s circle touches the
Coulomb failure line.
 '
where (σ 1)f = Major Principal Effective Stress
'
(σ 3)f = Major Principal Effective Stress

'(σ '1 )f −( σ '3 )f

sin ϕ = '
( σ 1 )f + (σ '3)f

(σ '1)f 1+sin ϕ '

=
(σ 3)f 1−sin ϕ
' '
=tan 2 ( 45+
ϕ'
2 )
=K p

(σ '3)f 1−sin ϕ'

( )
'
ϕ
= =tan 2 45− =K a
(σ 1)f 1+sin ϕ
' '
2

' '
BOC=90 °−ϕ ; BOD=2 θ=90° + ϕ
ϕ'
θ=45+
2
 Sign convention of Mohr-coulomb on a soil element
 Axial stress is Compression, + σ
 Shear stress is counterclockwise from the center of soil element, + τ

Top & Bottom (TB)

(σ 1 ,−τ 1 )

Left & Right (LR)

(σ 3 , τ 3 )

 The Mohr–Coulomb (MC) failure criterion is a limiting stress criterion, which requires
that stresses in the soil mass cannot lie within the shaded region shown in figure. That is,
the soil cannot have stress states greater than the failure stress state.

 The shaded areas are called regions of impossible stress states. For dilating soils, the
bounding curve for possible stress states is the failure envelope, AEFB. For nondilating
soils, the bounding curve is the linear line AFB. The MC failure criterion derived here is
'
independent of the intermediate principal effective stress σ 2, and does not consider the
strains at which failure occurs.

Because MC is a limiting stress criterion, the failure lines AG and AH are fixed lines in
'
[τ f ,σ ] space. The line AG is the failure linefor compression, while the line AH is the failure line
n
for extension (soil elongates; the lateral effective stress is greater than the vertical effective stress).
The shear strength in compression and in extension from interpreting soil strength using the MC
failure criterion is identical. In reality, this is not so.
3.3.4 Tresca Failure Criteria

The shear strength of a fine-grained soil under undrained condition is called the
undrained shear strength, Su . We use the Tresca failure criterion—shear stress at failure is one-
half the principal stress difference—to interpret the undrained shear strength. The undrained shear
strength, Su , is the radius of the Mohr total stress circle; that is

( σ 1 )f −(σ 1)f (σ 1 )f −(σ 3)f

S u= =
2 2

The shear strength under undrained loading depends only on the initial void ratio or the
initial water content. An increase in initial normal effective stress, sometimes called confining
pressure, causes a decrease in initial void ratio and a larger change in excess porewater pressure
when a soil is sheared under undrained condition.

The result is that the Mohr’s circle of total stress expands and the undrained shear
strength increases. Thus, Su is not a fundamental soil property. The value of Su depends on the
magnitude of the initial confining pressure or the initial void ratio. Analyses of soil strength and
soil stability problems using Su are called total stress analyses.

3.4 PRACTICAL IMPLICATIONS OF FAILURE CRITERIA

  The Coulomb and Mohr–Coulomb failure criteria are based on limiting stress.
Stresses within the soil must either be on the slip plane or be below it.
 Taylor failure criterion considers not only the forces acting on the soil mass, but also
the deformation that occurs from these forces. That is, failure is a combination of the
forces and the resulting deformation.
 Tresca’s criterion, originally proposed as a yield criterion in solid mechanics, has been
adopted in soil mechanics as a failure (limiting stress) criterion. It is not the same as the
Mohr–Coulomb failure criterion.

With the exception of Taylor’s criterion, none of the failure criteria provide information
on the shear strains required to initiate failure. Strains (shear and volumetric) are important in the
evaluation of shear strength and deformation of soils for design of safe foundations, slopes, and
other geotechnical systems. Also, these criteria do not consider the initial state (e.g., the initial
stresses, overconsolidation ratio, and initial void ratio) of the soil. In reality, failure is influenced
by the initial state of the soil.

3.5 LAB TESTS FOR SHEAR STRENGTH PARAMETERS

There are several laboratory methods now available to determine the shear strength
parameters (i.e., c , ϕ ,) of various soil specimens in the laboratory. They are as follows:

 Direct shear test

 Triaxial test
 Direct simple shear test
 Plane strain triaxial test
 Torsional ring shear test
 The direct shear test and the triaxial test are the two commonly used techniques for
determining the shear strength parameters. These two tests will be described in detail in the
sections that follow.

3.5.1 Direct Shear Test

 A popular apparatus to determine the shear strength parameters is the shear box. This test
is useful when a soil mass is likely to fail along a thin zone under plane strain conditions

 The shear box consists of a horizontally split, open metal box. Soil is placed in the box,
and one-half of the box is moved relative to the other half. Failure is thereby constrained
along a thin zone of soil on the horizontal plane.

 Horizontal forces are applied through a motor for displacement control or by weights
through a pulley system for load control. Most shear box tests are conducted using
displacement control because we can get both the peak shear force and the critical shear
force. In load control tests, you cannot get data beyond the maximum or peak shear force.

 The horizontal displacement, Δ x , the vertical displacement, Δ z , the vertical loads, P z,

and the horizontal loads, P x, are measured. Usually, three or more tests are carried out on
a soil sample using three different constant vertical forces. Failure is determined when the
soil cannot resist any further increment of horizontal force.

 Coulomb failure criterion is used to determine the shear strength. Taylor failure criterion
may also be used, but Coulomb failure is better suited for the direct shear test.
3.5.2 Conventional Triaxial Apparatus

 The triaxial shear test is one of the most reliable methods available for determining shear
strength parameters. It is used widely for research and conventional testing.

 In this test, a soil specimen about 36 mm (1.4 in.) in diameter and 76 mm (3 in.) long
generally is used. The specimen is encased by a thin rubber membrane and placed inside
aplastic cylindrical chamber that usually is filled with water or glycerine. The specimen is
subjected to a confining pressure by compression of the fluid in the chamber. (Note: Air
is sometimes used as a compression medium.) To cause shear failure in the specimen, one
must apply axial stress through a vertical loading ram (sometimes called deviator stress).

 This stress can be applied in one of two ways:

o Application of dead weights or hydraulic pressure in equal increments until the
specimen fails. (Axial deformation of the specimen resulting from the load
applied through the ram is measured by a dial gauge.)
o Application of axial deformation at a constant rate by means of a geared or
hydraulic loading press. This is astrain-controlled test.

 The axial load applied by the loading ram corresponding to a given axial deformation is
measured by a proving ring or loadcell attached to the ram.

 If the axial stress is greater than the radial stress, the soil is compressed vertically, and the
test is called triaxial compression. If the radial stress is greater than the axial stress, the
soil is compressed laterally, and the test is called triaxial extension.

 The applied stresses are principal stresses and the loading condition is axisymmetric. For
compression tests, we will denote the radial stresses σ r asσ 3 and the axial stresses σ z as
σ 1. For extension tests, we will denote the radial stresses σ r asσ 1and the axial stresses σ z
asσ 3

Pz
Deviatoric Stress; q=σ 1−σ 3 =
A
 ∆z
Axial Strain; ϵ 1=
H0
∆r
Radial Strain; ϵ 3=
H0
∆V
Volumetric Strain; ϵ p= =ϵ 1+2 ϵ 3
V0
2
Deviatoric Strain; ϵ q = ( ϵ 1 −ϵ 3)
3
Change in Area

V V −∆ V
A= = =
0
( V ) A (1−ϵ )
∆V

=
V 0 1−
0 0 p

( H)
H H −∆ H 0 ∆H (1−ϵ ) 1
H 1− 0
0

Connections to measure drainage into or out of the specimen, or to measure pressure in the
pore water (as per the test conditions), also are provided. The following three standard types of
triaxial tests generally are conducted:

 Unconfined Compression (UC) Test

 Consolidated-drained test or drained test (CD test)
 Consolidated-undrained test (CU test)
 Unconsolidated-undrained test or undrained test (UU test)

3.5.2.1 Unconfined Compression (UC) Test

The purpose of this test is to determine the undrained shear strength of saturated clays
quickly. In the UC test, no radial stress is applied to the sample (σ 3=0)The axial
(plunger) load, P z, is increased rapidly until the soil sample fails, that is, it cannot
support any additional load. The loading is applied quickly so that the porewater cannot
drain from the soil; the sample is sheared at constant volume.
Consolidated Drained (CD) Compression Test

 The purpose of a CD test is to determine the drained shear strength

' '
parameters ( ϕ¿¿ Cr , ϕ p )¿ to analyze long-term loading of a soil mass. The
'
effective elastic moduli for drained condition E' and E s are also obtained from
this test.

 A consolidated drained compression test is performed in two stages. The first

stage is consolidating the soil to a desired effective stress level by pressurizing
the water in the cell and allowing the soil sample to drain until the excess
porewater pressure dissipates.

 In the second stage, the pressure in the cell (cell pressure or confining pressure)
is kept constant, and additional axial loads or displacements are added very
slowly until the soil sample fails.

 The displacement rate (or strain rate) used must be slow enough to allow the
excess porewater pressure to dissipate. Because the hydraulic conductivity of
fine-grained soils is much lower than that of coarse-grained soils, the
displacement rate for testing fine-grained soils is much lower than for coarse-
grained soils. Drainage of the excess porewater is permitted and the amount of
water expelled is measured. It is customary to perform a minimum of three tests
at different cell pressures.

 Since the CD test is a drained test, a single test can take several days if the
hydraulic conductivity of the soil is low (e.g., fine-grained soils)
 The Mohr–Coulomb failure criterion is used to interpret the results of a CD test.
'
 The elastic moduli for drained conditions, E' and E s, are obtained from the CD
' '
test from the plot of deviatoric stress,(σ 1−σ 3 ) as ordinate and 𝜀ଵ as abscissa
 The results of CD tests are used to determine the long-term stability of slopes,
foundations, retaining walls, excavations, and other earthworks.
3.5.2.3 Consolidated Undrained (CU) Compression Test
 The purpose of a CU test is to determine the undrained and drained shear
strength parameters ¿ ¿). The CU test is conducted in a similar manner to the CD test
except that after isotropic consolidation, the axial load is increased under undrained
condition and the excess porewater pressure is measured.

In this test, the saturated soil specimen is first consolidated by an all-around

chamber fluid pressure, σ 3, that results in drainage. After the pore water pressure
generated by the application of confining pressure is dissipated, the deviator stress, σ d ,
on the specimen is increased to cause shear failure. During this phase of the test, the
drainage line fromthe specimen is kept closed. Because drainage is not permitted, the
pore water pressure, ud , will increase. Duringthe test, simultaneous measurements of σ d
and ud are made.

One represents total stress condition, and the other effective stress condition. For
each test, Mohr’s circle representing the total stresses has the same size as Mohr’s circle
representing the effective stresses, but they are separated horizontally by the excess
porewater pressure. Mohr’s circle of effective stresses is shifted to the right if the excess
porewater pressure at failure is negative and to the left if the excess porewater pressure is
positive.

The Mohr–Coulomb failure criterion is used to interpret the drained shear

strength using the effective stress circles. The Tresca failure criterion is used to
interpret the undrained shear strength using the total stress circles.

Each Mohr’s circle of total stress is associated with a particular value of Su

because each test has a different initial water content resulting from the different
confining pressure or applied consolidating stresses.

The CU test is the most popular triaxial test because you can obtain not only. Su
' '
but also ϕ cr and ϕ p and most tests can be completed within a few minutes after
consolidation, compared with more than a day for a CD test. Fine-grained soils with low
k values must be sheared slowly to allow the excess porewater pressure to equilibrate
throughout the test sample. The results from CU tests are used to analyze the stability of
slopes, foundations, retaining walls, excavations, and other earthworks.
3.5.2.4 Unconsolidated Undrained (UU) Compression Test

The purpose of a UU test is to determine the undrained shear strength of a

saturated soil. The UU test consists of applying a cell pressure to the soil sample without
drainage of porewater followed by increments of axial stress. The cell pressure is kept
constant and the test is completed very
quickly because in neither of the two stages—consolidation and shearing—is the excess
porewater pressure allowed to drain

Two or more samples of the same soil and the same initial void ratio are
normally tested at different cell pressures. Each Mohr’s circle is the same size, but the
circles are translated horizontally by the difference in the magnitude of the cell pressures.
Only the total stress path is known, since the porewater pressures are not measured to
enable the calculation of the effective stresses.

The undrained shear strength, Su , and the undrained elastic moduli, Eu and
(E¿¿ u) p ¿ , are obtained from a UU test. Tresca failure criterion is used to interpret the
UU test. The UU tests, like the UC tests, are quick and inexpensive compared with CD
and CU tests. The advantage that the UU test has over the UC test is that the soil sample
is stressed in the lateral direction to simulate the field condition. Both the UU and UC
tests are useful in preliminary analyses for the design of slopes, foundations, retaining
walls, excavations, and other earthworks.
3.6 SENSITIVITY AND THIXOTROPY

For many naturally deposited clay soils, the unconfined compression strength is reduced greatly
when the soils are tested after remolding without any change in the moisture content. This
property of clay soils is called sensitivity. The degree of sensitivity may be defined as the ratio of
the unconfined compression strength in an undisturbed state to that in a remolded state

qu (undisturbed )
St =
qu (remolded )
The loss of strength of clay soils from remolding is caused primarily by the destruction of the clay
particle structure that was developed during the original process of sedimentation. If, however,
after remolding, a soil specimen is kept in an undisturbed state (that is, without any change in the
moisture content), it will continue to gain strength with time. This phenomenon is referred to as
thixotropy.
Thixotropy is a time-dependent, reversible process in which materials under constant composition
and volume soften when remolded. This loss of strength is gradually regained with time when the
materials are allowed to rest.

Time
3.7 STRENGTH AND ANISOTROPY OF CLAY AND THIXOTROPY

The unconsolidated-undrained shear strength of some saturated clays can vary, depending on the
direction of load application; this variation is referred to as anisotropy with respect to strength.
Anisotropy is caused primarily by the nature of the deposition of the cohesive soils, and
subsequent consolidation makes the clay particles orient perpendicular to the direction of the
major principal stress. Parallel orientation of the clay particles can cause the strength of clay to
vary with direction

For anisotropic clays, the magnitude of C α is a function of α

3.8 FIELD TEST

3.8.1 Vane Shear Test

Fairly reliable results for the undrained shear strength, cu (Φ = 0 concept), of very soft to medium
cohesive soils may be obtained directly from vane shear tests. The shear vane usually consists of
four thin, equal-sized steel plates welded to a steel torque rod. First, the vane is pushed into the
soil. Then torque is applied at the top of the torque rod to rotate the vane at a uniform speed. A
cylinder of soil of height h and diameter d will resist the torqu euntil the soil fails.

2T
S u=
πd ( )
3 h
+
d 3
1

Where T = Maximum Torque

h = Height of the Vane
d = Diameter of the Vane

3.8.2 Standard Penetration Test (SPT)

Results from SPT have been correlated to several soil parameters. Most of these correlations are
weak. Typical correlation among N values, relative density, and ϕ ' are given in Tables below.
You should be cautious in using the correlation in Table below. SPTs are not recommended for
fine-grained soils, so the correlation shown in Table should be used only to provide an assessment
of the relative shear strength of fine-grained soils.
3.8.3 Cone Penetrometer test (CPT)

The cone resistance q c is normally correlated with the undrained shear strength. Several
adjustments are made to q c . One correlation equation is

q c −σ z
Su =
Nk

where N k is a cone factor that depends on the geometry of the cone and the rate of penetration.
Average values of N k as a function of plasticity index can be estimated from

PI−10
N k =19− ; PI >10
5
Results of cone penetrometer tests have been correlated with the peak friction angle. A number of
correlations exist. Based on published data for sand (Robertson and Campanella, 1983), you can
'
estimate ϕ p using

ϕ 'p =35+11.5 log

( qc
300 ϕ '
z0
) ; 25< ϕ'p <50

3.9 PRACTICAL APPLICATIONS OF SHEAR STRENGTH

The bearing capacity failure described as general shear failure.

4.1 INTRODUCTION

Retaining structures such as retaining walls, basement walls, and bulkheads commonly are
encountered in foundation engineering as they support slopes of earth masses. Proper design and
construction of these structures require a thorough knowledge of the lateral forces that act
between the retaining structures and the soil masses being retained. These lateral forces are caused
by lateral earth pressure. This chapter is devoted to the study of the various earth pressure theories

Consider a mass of soil, the mass is bounded by a frictionless wall of height AB. A soil element
'
located at a depth z is subjected to a vertical effective pressure σ 0 and a horizontal effective
'
pressure σ h. There are no shear stresses on the vertical and horizontal planes of the soil element.
' '
Let us define the ratio of σ h to σ 0 as a nondimensional quantity K, or

'
σh
K= '
σ0

Case 1 - If the wall AB is static – that is, if it does not

move either to the right or to the left of its initial position
– the soil mass will be in a state of static equilibrium. In
'
that case σ h, is referred to as the at-rest earth pressure,
where K0= at-rest earth pressure coefficient.

'
σh
K= K 0= '
σ0

Case 2 - If the frictionless wall rotates sufficiently about its

bottom to a position of A'B, then a triangular soil mass
ABC’ adjacent to the wall will reach a state of plastic
equilibrium and will fail sliding down the plane BC. At this
' '
time, the horizontal effective stress σ h=σ a, will be referred
to as active pressure. where Ka = active earth pressure
coefficient.

' '
σh σa
K= K a= '
= '
σ0 σ0
 ( σ '1 )f −( σ '3 )f
'
sin Φ = '
( σ 1 )f + ( σ '3 )f
( σ '3 )f 1−sin Φ'
( )
' '
σh σa Φ
'
= '= ' = =tan 2 45− =K a
σ 0 σ 0 ( σ 1 )f 1+ sinΦ
' '
2

Case 3 - If the frictionless wall rotates sufficiently about

its bottom to a position AB, then a triangular soil mass
ABC will reach a state of plastic equilibrium and will fail
sliding upward along the plane BC. The horizontal
' '
effective stress at this time will be σ h=σ a, the so-called
passive pressure where Kp = passive earth pressure
coefficient.

' '
σh σp
K= K a= '
= '
σ0 σ0

( σ '1 )f −( σ '3 )f
'
sin Φ = '
( σ 1 )f + ( σ '3 )f
( σ '1 )f 1+ sinΦ '
( )
' ' '
σh σp Φ
= '= ' = =tan 2 45+ =K p
σ 0 σ 0 ( σ 3 )f 1−sin Φ
' '
2
4.2 EARTH PRESSURE AT – REST

 For coarse-grained soils (loose sand), the coefficient of earth pressure at rest can be estimated by
using the empirical relationship

'
K 0 =1−sin Φ

Where: Φ ' = drained friction angle

 For coarse-grained soils (dense, compacted sand)

K 0 =1−sin Φ' +
[ γd
γ d ( min ) ]
−1 5.5

Where: γ d = actual compacted dry unit weight

γ d ( min ) = dry unit weight in the loosest state

 For coarse-grained soils, the increase of K0 observed is due to overconsolidation.

'

K 0 =( 1−sin Φ ) ( OCR )
' sin Φ

Where: OCR = Overconsolidated Ratio

 For fine-grained, normally consolidated soils

K 0 =0.44+0.42 [ PI ( % )
100 ]
Where: PI = Plastic Index

 For overconsolidated clays, the coefficient of earth pressure at rest

K 0 (Overconsolidated )=K 0( Normally consolidated ) √OCR

4.3 RANKINE’S LATERAL EARTH PRESSURE

4.3.1 Rankine's Theory of Active Pressure

 The phrase plastic equilibrium in soil refers to the condition where every point in a soil mass is
on the verge of failure. Rankine (1857) investigated the stress conditions in soil at a state of
plastic equilibrium.

 A soil mass that is bounded by a frictionless wall, AB, that extends to an infinite depth.

The stress condition in the soil element can be represented by the Mohr's circle a.
However, if the wall AB is allowed to move away from the soil mass gradually, the horizontal
principal stress will decrease. Ultimately a state will be reached when the stress condition in the
soil element can be represented by the Mohr's circle b, the state of plastic equilibrium and failure
of the soil will occur.
This situation represents Rankine's active state, and the effective pressure a on the vertical plane
(which is a principal plane) is Rankine's active earth pressure.

( ) ( )
' '
' 2 Φ ' Φ
σ a=γz tan 45− −2c tan ⁡ 45−
2 2

For cohesionless Soils, the coefficient of Rankine's active pressure is;

Ka=
σ 'a
σ '0
=tan 2 45− ( Φ'
2 )
4.3.2 Rankine's Theory of Passive Pressure

AB is a frictionless wall that extends to an infinite depth. The initial stress condition on a soil
element is represented by the Mohr's circle a. If the wall gradually is pushed into the soil mass, the
'
effective principal stress σ h will increase. Ultimately, the wall will reach a situation where the
stress condition for the soil element can be expressed by the Mohr's circle b.

At this time, failure of the soil will occur. This situation is referred to as Rankine's passive state.
'
The lateral earth pressure σ p which is the major principal stress, is called Rankine's passive
earth pressure.

( ) ( )
' '
' 2 Φ ' Φ
σ p=γz tan 45+ + 2c tan ⁡ 45+
2 2

For cohesionless Soils, the coefficient of Rankine's passive pressure is;

( )
' '
σp Φ
K p= '
=tan 2 45+
σ0 2
4.3.3 Generalized Case for Rankine Active and Passive Pressure-Granular Backfill

Section 4.3.1 and 4.3.2 can be extended to general cases of frictionless wall with inclined backfill
(granular soil).

4.3.3.1 Generalized Case for Rankine Active

Rankine active earth-pressure coefficient for generalized case

cos (α −θ) √1+sin Φ '−2 sin Φ cos ψ a

2 '

Ka=
cos2 θ(cos α ¿ + √ sin2 Φ' −sin2 α )¿

ψ a=sin
−1
( sin α
sin Φ' )
−α +2 θ

'
The pressure σ a will be inclined at an angle ß with the plane drawn at right angle to the
back-face of the wall

β=tan
−1
( sin Φ' sinψ a
1−sin Φ cos ψ a
' )
Failure wedge will be inclined at an angle

π Φ' α 1
η= + + − sin−1
4 2 2 2
sin α
sin Φ
' ( )
4.3.3.2 Generalized Case for Rankine Passive

Rankine passive earth-pressure coefficient for generalized case

cos (α −θ) √ 1−sin Φ +2 sinΦ cos ψ P

2 ' '

Ka=
cos2 θ(cos α ¿− √ sin2 Φ' −sin2 α)¿

ψ p=sin
−1
( sinsinΦα )+α −2 θ
'

'
The pressure σ p will be inclined at an angle ß with the plane drawn at right angle to the
back-face of the wall

( )
'
−1 sinΦ sin ψ p
β=tan
1+sin Φ' cos ψ p

Failure wedge will be inclined at an angle

( )
'
π Φ α 1 −1 sin α
η= − + + sin
4 2 2 2 sinΦ '

Frictionless vertical retaining wall with sloping backfill

4.3.4 Backfill-Cohesionless Soil with Horizontal Backfill

Active Case - A retaining wall with cohesionless soil backfill that has a horizontal ground surface.

Passive Case

4.3.5 Backfill - Cohesive Soil with Horizontal Backfill

Active Case - A retaining wall with cohesive soil backfill that has a horizontal ground surface.

( ) ( )
' '
' 2 Φ ' Φ
σ a=γz tan 45− −2c tan ⁡ 45−
2 2

( )
'
2 Φ
K a =tan 45−
2

σ a=γz K a−2 c ' √ K a

'

Depth of tensile crack

 σ a=0=γz K a −2 c ' √ K a
'

2c'
z=
γ √Ka

Passive Case

( ) ( )
' '
Φ Φ
σ 'p=γz tan 2 45+ + 2c ' tan ⁡ 45+
2 2

( )
'
Φ
K p =tan2 45+
2

σ p=γz K p −2 c ' √ K p
'
4.4 COULOMB'S EARTH PRESSURE THEORY

Coulomb (1776) proposed that a condition of limit equilibrium exists through which a soil mass
behind a vertical retaining wall will slip along a plane inclined an angle θ to the horizontal.

Let AB be the back face of a retaining wall supporting a granular soil; the surface of which is
constantly sloping at an angle α with the horizontal. BC is a trial failure surface. In the stability
consideration of the probable failure wedge ABC.

4.4.1 Generalized Case for Coulomb Active

W Pa
=
sin ( 90+θ−δ −β+Φ ) sin ( β−Φ' )
' '

W sin ( β −Φ )
'
Pa=
sin ( 90+ θ−δ −β +Φ )
' '

1 2
Pa = γ H ¿
2

d Pa 1 2
=0 ; P a= γ H K a
dβ 2

cos 2 ( Φ ' −θ )
K a ( C )=

[√ ]
2
sin ( δ + Φ ) sin ( Φ −α )
' ' '
2 '
cos θ cos( δ +θ) 1+
cos ( δ ' + θ ) cos ( θ−α )
4.4.2 Generalized Case for Coulomb Passive

cos ( Φ +θ )
2 '
K a ( C)=

[ √ ]
2
sin ( δ +Φ ) sin ( Φ + α )
' ' '
cos2 θ cos(δ ' −θ) 1−
cos ( δ ' −θ ) cos ( θ−α )
4.5 EARTH PRESSURE USING THEORY OF PLASTICITY

Active and Passive Earth Pressure Using Theory of Plasticity

The Coulomb and Rankine passive earth pressure methods consistently overestimate the passive
pressure developed in field and model tests for $ much over 35°. This estimate may or may not be
conservative, depending on the need for the passive pressure value.

Rosenfarb and Chen (1972) developed a closed-form earth pressure solution using plasticity
theory that can be used for both active and passive earth pressure computations. The closed-form
solution requires a computer program with an iteration routine, which is not particularly difficult.

Figure shows the curved failure surface in the granular backfill of a retaining wall of height H. The
curved lower portion BC of the failure wedge is an arc of a logarithmic spiral.
'
θtan Φ
r =r 0 e

Where: r = radius of the spiral

r0 = starting at θ = 0
θ = angle between r and r0

Kp based on Shields and Tolunay's analysis

4.6 COMMON TYPES OF RETAINING WALLS

4.6.1 Rigid Retaining Wall

In practice, the common types of retaining walls constructed can be divided into two major
categories: rigid retaining walls and flexible retaining walls.

1. Gravity retaining walls are constructed with plain concrete or stone masonry. They depend
on their own weight and any soil resting on the masonry for stability. This type of
construction is not economical for high walls

2. Semi gravity retaining walls in many cases, a small amount of steel may be used for the
construction of gravity walls, thereby minimizing the size of wall sections. Such walls
generally are referred to as semigravity walls.
3. Cantilever retaining walls are made of reinforced concrete that consists of a thin stem and a
base slab. This type of wall is economical to a height of about 8 m.

4. Counterfort retaining walls are similar to cantilever walls. At regular intervals, however,
they have thin, vertical concrete slabs known as counterforts that tie the wall and the base slab
together. The purpose of the counterforts is to reduce the shear and the bending moments.
4.6.1.1 Modes of failure for rigid retaining wall

1. Translation - A rigid retaining wall must have adequate resistance against translation.
That is, the sliding resistance of the base of the wall must be greater than the resultant
lateral force pushing against the wall.

T
( FS )T =
P ax

where; T = Sliding resistance at the base

Pax=Lateral force pushing against the wall

2. Rotation - A rigid retaining wall must have adequate resistance against rotation. The
rotation of the wall about its toe is satisfied if the resultant vertical force lies within the
middle third of the base.

B
e≤
6
where; e = eccentricity of the vertical resultant
B = Length of base

3. Bearing Capacity - A rigid retaining wall must have a sufficient margin of safety
against soil bearing capacity failure. The maximum pressure imposed on the soil at the
base of the wall must not exceed the allowable soil bearing capacity.

( σ Z ) Max ≤ qu
where; ( σ Z ) Max = Maximum vertical stress imposed
qu=Allowable Soil Bearing Capacity
4. Deep-Seated Failure - A rigid retaining wall must not fail by deep-seated failure,
whereby a slip surface encompasses the wall and the soil adjacent to it.

5. Seepage - A rigid retaining wall must have adequate protection from groundwater
seepage. The porewater pressures and the maximum hydraulic gradient developed under
seepage must not cause any of the four stability criteria stated above to be violated and
static liquefaction must not occur.

i cr
( FS )S = ≥3
i Max

where; (FS)S = Factor of safety for seepage

4.6.2 Flexible Retaining Wall

Consists of long, slender members of either steel or concrete or wood or plastic and relies on
passive soil resistance and anchors for stability.
1. Cantilever - commonly used to support soils to a height of less than 3 m. Cantilever sheet pile
walls rely on the passive soil resistance for their stability.

Approximation of pressure distributions cantilever flexible retaining walls.

Analysis of Cantilever Sheet Pile Walls

 Cantilever sheet pile walls are analyzed by assuming that rotation occurs at some point, O,
just above the base of the wall. The consequence of assuming rotation above the base is that,
below the point of rotation, the lateral pressure is passive behind the wall and active in front
of the wall.

 To simplify the analysis, a force R is used at the point of rotation to approximate the net
passive resistance below it (the point of rotation). By taking moments about O, the unknown
force R is eliminated and we then obtain one equation with one unknown, that is, the
unknown depth, do.
2. Anchored or tie-back - commonly used to support deep excavations and as waterfront
retaining structures. anchored sheet pile walls rely on a combination of anchors and passive
soil resistance for their stability.

3. Propped

Free earth conditions for anchored retaining walls.

Analysis of Anchored Sheet Pile Walls

There are two methods used to analyze anchored sheet pile walls. One is the free earth method, the
other is the fixed earth method. We will be discussing the free earth method, because it is
frequently used in design practice. In the free earth method, it is assumed that (1) the depth of
embedment of the wall is insufficient to provide fixity at the bottom end of the wall, and (2)
rotation takes place about the point of attachment of the anchor, O.

Failure modes for flexible retaining walls

4.6.3 Mechanical Stabilized Earth Walls

 Mechanical stabilized earth (MSE) walls are used for a variety of retaining structures. Metal
strips, geotextiles, or geogrids reinforce the soil mass. Other names used are geosynthetics and
geo composites.

 Geotextile is any permeable textile material used in geotechnical applications. Geosynthetics

are polymeric, planar materials (polypropylene, polyethylene, polyester, polyamide, and
nylon). Geocomposite is a product made from a combination of geosynthetics. A geogrid is a
polymeric product formed by joining intersecting ribs.

 You should recall from Chapter 1 that if a load is applied to a soil mass under axisymmetric
undrained condition, the lateral strain (ε3) is one-half the axial strain (ε₁).

 If the undrained restriction is lifted, then you can expect lateral strains greater than one-half
the vertical strains. If we were to install strips of metal in the lateral directions of the soil
mass, then the friction at the interfaces of the metal strips and the soil would restrain lateral
displacements.

The net effect is the imposition of a lateral resistance on the soil mass that causes Mohr's
circle to move away from the failure line. The lateral force imposed on the soil depends on the
interface friction value between the reinforcing element and the soil mass and the vertical effective
stress. For a constant interface friction value, the lateral frictional force would increase with depth.
The reinforcing material will fail if the lateral stress exceeds its tensile strength.

There are two sets of stability criteria to be satisfied for MSE walls. One is the internal
stability; the other is the external stability. The external stability of an MSE wall is determined by
analogy to a gravity retaining wall with a vertical face. The internal stability depends on the tensile
strength of the reinforcing material and the slip at the interface of the reinforcing material and the
soil.
Tensile failure of the reinforcing material at any depth leads to progressive collapse of the wall,
while slip at the interface of the reinforcing material and the soil mass leads to redistribution of
stresses and progressive deformation of the wall.

Internal stability

The frictional resistance develops outside the active slip or failure zone.

Pr
=( σ 'z +q s ) tan Φi
2 w Le

where; Pr = frictional resistance force

Le = effective length
w = width of the reinforcing material
'
σ z = vertical effective stress
q s = surcharge
Φ i = friction angle at the soil-reinforcement interface

The tensile force.

T
=( σ 'z +q s ) K a ( R )
Sz

where; S z = spacing in the Z Direction

T= tensile force per unit length
K a ( R ) = Rankine's Lateral Coefficient

L=LR+ ¿

LR =( H 0 −z)tan 45−
Φ 'cs
2 ( )
External stability

For short-term loading in clays, the base resistance.

Pax
Lb =
Sw
where; Pax = lateral active earth force, Coulomb
Lb= length of reinforcement at the base
Su
Sw = adhesion stress =
2
For long-term loading.

'
T =γ H 0 Lb tan Φ b
'
where; Φ b = effective interfacial friction angle between the reinforcement and the soil
at the base
Lb = length of reinforcement at the base

4.6.4 Modular Gravity Walls

1. Gabion baskets. Gabion basket walls consist of prefabricated steel wire or polypropylene or
polyethylene or nylon baskets filled with rocks and stacked horizontal and vertically.

2. Bin walls. Bin walls are gravity walls in which earth fill is placed in a bin made from metal
(steel) or timber or concrete.
3. Precast modular concrete walls. These walls are constructed by stacking precast blocks
made from concrete and other materials. There is a large variety of blocks, the major
differences being the material used to make the blocks, size, and interlocking mechanism.

4.6.5 In Situ Reinforced Walls

1. Soil Nailing. These walls utilize reinforcing elements to form a composite with the soil. The
reinforcing elements are nails or small-diameter cast-in-place concrete piles or small diameter
steel pipe piles. One popular in situ reinforced wall is a soil nail wall.

Closely spaced nails are installed by drilling inclined holes into the soil and grouting the holes.
Shear stresses from the soil are transferred to the nails and are resisted by tensile forces in the
nails. The faces of soil nail walls are shotcrete or precast concrete panels or cast-in- place
concrete.
2. Chemically Stabilized Earth Walls (CSE) - CSE walls are in situ soils mixed with chemical
grouts such as lime or lime cement mixtures to form columns of overlapping soils. Sometimes
reinforcements are added to the soil-grout mixtures before they harden. CSE walls can retain
soils up to great depths. They are also used in seepage control.

4.7 BRACED EXCAVATION

Frequently during the construction of foundations or utilities (such as sewers), open

trenches with vertical soil slopes are excavated. Although most of these trenches are temporary,
the sides of the cuts must be supported by proper bracing systems. The bracing consists of sheet
piles, wales, and struts.
 The top struts are installed, followed by others at lower depths. The wall displacements
before the top struts are installed are usually very small but get larger as the excavation gets
deeper. The largest wall displacement occurs at the base (bottom) of the excavation. Wall
displacements are inconsistent with all the established earth pressure theories.

 The critical design elements in a braced excavation are the loads on the struts, which are usually
different because of different lateral loads at different depths, the time between excavations, and
the installation procedure.

 Failure of a single strut can be catastrophic because it can lead to the collapse of the whole
system. The analysis for the. forces and deflection in braced excavation should ideally consider
the construction sequence, and numerical methods such as the finite element method are
preferred.

 Semi-empirical methods are often used for shallow braced excavations and in the preliminary
design of deep braced excavations. The finite element method is beyond the scope of this
material. We will only discuss a semi-empirical method.

4.7.1 Finite element method (Terzaghi's general wedge theory)

Braced wall AB of height H that deforms by rotating about its top. The wall is assumed to
be rough, with the angle of wall friction equal to δ'. The point of application of the active thrust
(that is, η aH) is assumed to be known. The curve of sliding is assumed to be an arc of a
logarithmic spiral.
4.7.2 Semi-empirical method (Peck's pressure diagram)

Lateral stress distributions used in the semi-empirical method are approximations from
field measurements of strut loads in different types of soil. These lateral stress distributions are not
real but average approximate stress distributions to estimate the maximum strut load. The real
lateral stress distributions are strongly affected by arching action, as we will discuss in Chapter 5.

Lateral pressure distribution from coarse-grained soils

5.1 INTRODUCTION
Slopes in soils and rocks are ubiquitous in nature and in manmade structures. Highways, dams,
levees, canals, and stockpiles are constructed by sloping the lateral faces of the soil because
building slopes is generally less expensive than constructing walls.

Geotechnical engineers must pay particular attention to geology, surface drainage, groundwater,
and the shear strength of soils in assessing slope stability. However, we are handicapped by the
geological variability of soils and methods for obtaining reliable values of shear strength. The
analyses of slope stability are based on simplifying assumptions, and the design of a stable slope
relies heavily on experience and careful site investigation. The failed soil mass can move very
quickly over large distances. Your job is to prevent such failure.

5.2 TYPES OF SLOPE FAILURE

Slope failures depend on the soil type, soil stratification, groundwater, seepage, and the slope
geometry.

Failure of a slope along a weak zone of soil is called a translational slide. The sliding mass can
travel long distances before coming to rest. Translational slides are common in coarse-grained
soils.

A common type of failure in homogeneous fine-grained soils is a rotational slide that has its point
of rotation on an imaginary axis parallel to the slope. Three types of rotational failure often occur.
One type, called a base slide, occurs by an arc engulfing the whole slope. A soft soil layer resting
on a stiff layer of soil is prone to base failure.

The second type of rotational failure is the toe slide, whereby the failure surface passes through
the toe of the slope.
The third type of rotational failure is the slope slide, whereby the failure surface passes through
the slope.

A flow slide occurs when internal and external conditions force a soil to behave like a viscous
fluid and flow down even shallow slopes, spreading out in several directions. The failure surface is
ill defined in flow slides. Multiple failure surfaces usually occur and change continuously as flow
proceeds. Flow slides can occur in dry and wet soils.

Block or wedge slides occur when a soil mass is shattered along joints, seams, fissures, and weak
zones by forces emanating from adjacent soils. The shattered mass moves as blocks and wedges
down the slope.

5.3 CAUSES OF SLOPE FAILURE

Erosion - Water and wind continuously erode natural and manmade slopes. Erosion changes the
geometry of the slope (Figure a), ultimately resulting in slope failure or, more aptly, a landslide.
Rivers and streams continuously scour their banks, undermining their natural or man-made slopes
(Figure b).

Rainfall - Long periods of rainfall saturate, soften, and erode soils. Water enters into existing
cracks and may weaken underlying soil layers, leading to failure, for example, mud slides.

Earthquakes - Earthquakes induce dynamic forces especially dynamic shear forces that reduce
the shear strength and stiffness of the soil. Porewater pressures in saturated coarse-grained soils
could rise to a value equal to the total mean stress and cause these soils to behave like viscous
fluids—a phenomenon known as dynamic liquefaction. Structures founded on these soils would
collapse; structures buried within them would rise.

Geological Features - Many failures commonly result from unidentified geological features. A
thin seam of silt (a few millimeters thick) under a thick deposit of stiff clay can easily be
overlooked in drilling operations, or one may be careless in assessing borehole logs only to find
later that the presence of the silt caused a catastrophic failure. Sloping, stratified soils are prone to
translational slide along weak layers. You must pay particular attention to geological features in
assessing slope stability.
External Loading - Loads placed on the crest of a slope (the top of the slope) add to the
gravitational load and may cause slope failure. A load placed at the toe, called a berm, will
increase the stability of the slope. Berms are often used to remediate problem slopes.

Construction Activities - Construction activities near the toe ofan existing slope can cause failure
because lateral resistance is removed. We can conveniently divide slope failures due to
construction activities into two cases. The first case is excavated slope and the second case is fill
slope.

Excavated slope - When excavation occurs, the total stresses are reduced and negative porewater
pressures are generated in the soil. With time the negative porewater pressures dissipate, causing a
decrease in effective stresses and consequently lowering the shear strength of the soil. If slope
failures were to occur, they would most likely take place after construction is completed.

Fill slope - are common in embankment construction. Fill (soil)is placed at the site and compacted
to specifications, usually greater than 95% Proctor maximum dry unit weight. The soil is
invariably unsaturated, and negative porewater pressures develop. The soil on which the fill is
placed, which we will call the foundation soil, may or may not be saturated. If the foundation soil
is saturated, then positive porewater pressures will be generated from the weight of the fill and the
compaction process. The effective stresses decrease, and consequently the shear strength
decreases. With time the positive pore water pressures dissipate, the effective stresses increase,
and so does the shear strength of the soil. Thus, slope failures in fill slopes are most likely to occur
during or immediately after construction.

Rapid Drawdown - Reservoirs can be subjected to rapid drawdown. In this case the lateral force
provided by the water is removed and the excess porewater pressure does not have enough time to
dissipate. The net effect is that the slope can fail under undrained condition. If the water level in
the reservoir remains at low levels and failure did not occur under undrained condition, seepage of
groundwater would occur, and the additional seepage forces could provoke failure.

5.4 STABILITY OF INFINITE SLOPE

An ‘infinite slope’ is one which represents the boundary surface of a semi-infinite soil mass
inclined to the horizontal. In practice, if the height of the slope is very large, one may consider it
as an infinite one. It is assumed that the soil is homogeneous in its properties. If different strata are
present the strata boundaries are assumed to be parallel to the surface. Failure tends to occur only
along a plane parallel to the surface.

Let us consider an infinite slope in cohesionless soil, inclined at an angle β to the horizontal.
 where:

𝐹S = factor of safety with respect to strength

𝜏F = average shear strength of soil
𝜏d = average shear stress develops along the
potential failure surface.

The shear strength of a soil consists of two components, cohesion and friction.

c’ = cohesion
Φ’ = angle of friction
𝜎’ = normal stress on the potential surface

Therefore,

Factor of safety with respect to sliding

Factor of safety with respect to cohesion

Factor of safety with respect to friction

If there is steady state seepage through the soil and the groundwater table coincides with the
ground surface, as shown in Figure below, the factor of safety against sliding can be determined
as.
5.5 FINITE SLOPES

When the value of 𝐻CR approaches the height of the slope, the slope generally may be considered
finite. For simplicity, when analyzing the stability of a finite slope in a homogeneous soil, we need
to make an assumption about the general shape of the surface of potential failure. Although
considerable evidence suggests that slope failures usually occur on curved failure surfaces,

5.5.1 PLANE FAILURE SURFACES (CULMANN METHOD)

Culmann’s analysis is based on the assumption that the failure of a slope occurs along a plane
when the average shearing stress tending to cause the slip is more than the shear strength of the
soil. Also, the most critical plane is the one that has a minimum ratio of the average shearing stress
that tends to cause failure to the shear strength of soil.

Factor of Safety
Cohesion at any angle

Critical Angle

Stability number

Causes the sliding

Resisting the sliding

6.1 INTRODUCTION
The soil must be capable of carrying the loads from any engineered structure placed upon it
without a shear failure and with the resulting settlements being tolerable for that structure.

A soil shear failure can result in excessive building distortion and even collapse. Excessive
settlements can result in structural damage to a building frame, nuisances such as sticking doors
and windows, cracks in tile and plaster, and excessive wear or equipment failure from
misalignment resulting from foundation settlements.

This chapter will be concerned with evaluation of the limiting shear resistance, or ultimate bearing
capacity qult of the soil under a foundation load. Chapter 2 will be concerned with estimation of
settlements.

Depending on the structure and soil encountered, various types of foundations are used.

a. Spread Footing
b. Mat Foundation
c. Pile Foundation
d. Drilled Shaft Foundation

Shallow Foundation
A shallow foundation is a type of building foundation that transfers building loads to the earth
very near to the surface. Generally D / B ≤ 1
Deep Foundation

A deep foundation is a type of foundation which transfers building loads to the earth farther down
from the surface than a shallow foundation does, to a subsurface layer or a range of depths,
generally Lpile / Dpile ≥ 4

6.2 SOIL RESPONSE TO A LOADED FOOTING

Let us consider soil as a linear elastic–perfect plastic material in which the elastic response is
small. We assume a strip footing (its length is much longer than its width) traps a wedge of soil,
and this wedge, acted on by the footing, pushes its way downward into the soil (Figure below). If
the footing were circular, it would trap a cone of soil.

Centric vertical loads are now incrementally applied on the footing. As the load increases, some
regions of the soil would yield and behave plastically (plastic flow).

If the soil were a rigid–perfectly plastic material, some regions would flow plastically while other
regions would show no deformation. We will call the soil regions that have reached the plastic
state the “plastic zones”. As more loads are added, the plastic zones increase and eventually break
free to the surface, and soil “pileup” on the sides of the footing.

The surface between the plastic zones and the nonplastic or nondeforming zones (applicable to
rigid–perfectly plastic material) is called a slip surface or limiting stress surface.

The “pileup” is influenced by the overburden pressure and the strain-hardening ability of the
material. If the footing is embedded in the soil and/or the soil has a large potential to strain-harden,
the plastic flow that causes “pileup” of soil around the edges of the footing would be restrained,
creating large lateral pressures to force the soil to move laterally.

TWO CONSEQUENCES

1. A soil that would normally show a peak shear stress because of dilatancy and then strain-
soften would be forced to behave as a strain-hardening material, pushing the plastic zone
farther into the soil mass.

2. The failure mechanism discussed might not develop. Therefore, in this situation, there
would not be any distinct collapse load but an increasing load with increasing footing
displacement until critical state is achieved. Generally, this would occur at displacements
that are intolerable.

6.3 CONVENTIONAL FAILURE UNDER A FOOTING

Prandtl (1920) studied a rigid–perfectly plastic half space loaded by a stiff wedge that is subjected
to centric loads. Terzaghi (1943) applied Prandtl’s theory to a strip footing with the assumption
that the soil is a semi-infinite, homogeneous, isotropic, weightless rigid–plastic material.
6.3.1 GENERAL SHEAR FAILURE MECHANISM

One zone, ABD, is a fan with radial slip planes stopping on a logarithmic spiral slip
plane. The other zone, ADE, consists of slip planes oriented at angles of 45 + Φ/2 and 45 − Φ/2 to
the horizontal and vertical planes, respectively. Zone ADE is called the Rankine passive zone.

According to the Mohr–Coulomb criterion, slip planes form when soil is sheared to
failure. No slip plane, however, can pass through the rigid footing, so none can develop in the
soiljust below the footing. The collapse mechanism shown in previous figure is called the general
shear failure mechanism.

Conventional collapse mechanism shown in previous figure may not develop. Therefore,
calculation of a collapse load from this mechanism (general shear failure mechanism) could be
considerably inaccurate.

6.3.2 LOCAL SHEAR FAILURE

Other collapse mechanisms have been proposed. For example, it is assumed that for loose
soils, the slip planes, if they developed, are expected to lie within the soil layer below the base of
the footing and extend laterally. This is called local shear failure.
6.3.3 PUNCHING

For very loose soil, the slip surfaces may be confined to the surfaces of the rigid wedge.
This type of failure is termed punching shear.

6.4 COLLAPSE USING LIMIT EQUI. METHOD

Two potential failure modes, where the footing, when loaded to produce the maximum
bearing pressure qult, will do one or both of the following:

6.4.1 ROTATE
 Rotate as in figure below about some center of rotation (probably along the vertical line
Oa) with shear resistance developed along the perimeter of the slip zone shown as a circle.

When the foundation pushes into the ground, stress block 1 to the left of vertical line OY
has principal stresses as shown. The push into the ground, however, displaces the soil on the right
side of the line OY laterally, resulting in the major principal stress on block 2 being horizontal as
shown.

When the two blocks are adjacent to each other at the vertical line OY, it is evident that
𝜎3,1 = 𝜎1,2 but with a principal stress rotation of 90° between blocks.

For 𝜱’ = 0
Based on passive pressure,
Based on rotation,
Average of combined Passive and Rotation with ,

6.4.2 PUNCH

Punch into the ground as the wedge agb of figure.

 For footing on soil with both cohesion c and angle of internal friction 𝛷’,

Consolidate all variables we will arrive at.

Replacing multiplier with N factors,

6.5 BEARING CAPACITY EQUATIONS

There is currently no method of obtaining the ultimate bearing capacity of a foundation

other than as an estimate.

Full-size footings as small as 1 m X 1 m can develop ultimate loads of 3000 to 4000 kN

so that very expensive site preparation and equipment availability are necessary to develop, and
measure loads of this magnitude.

Net Ultimate Bearing Capacity - If the difference between the unit weight of concrete used in the
foundation and the unit weight of soil surrounding is assumed to be negligible, then.
Allowable or Gross Allowable Bearing Capacity,

Net Allowable Bearing Capacity,

6.5.1 TERZAGHI’S BEARING CAPACITY EQUATION

One of the early sets of bearing-capacity equations was proposed by Terzaghi (1943).
Terzaghi's equations were produced from a slightly modified bearing-capacity theory developed
by Prandtl (ca. 1920) from using the theory of plasticity to analyze the punching of a rigid base
into a softer
(soil) material.

6.5.2 MEYERHOF’S BEARING CAPACITY EQUATION

Meyerhof (1951, 1963) proposed a bearing-capacity equation similar to that of Terzaghi

but included a shape factor sq with the depth term Nq. He also included depth factors di and
inclination factors ii for cases where the footing load is inclined from the vertical.
6.5.3 HANSEN’S BEARING CAPACITY EQUATION

Hansen (1970) proposed the general bearing-capacity case and N factor equations. This equation is
readily seen to be a further extension of the earlier Meyerhof (1951) work. These represent
revisions and extensions from earlier proposals in 1957 and 1961. The extensions include base
factors for situations in which the footing is tilted from the horizontal 𝑏i and for the possibility of a
slope 𝛽 of the ground supporting the footing to give ground factors 𝑔i.
6.5.4 VESIC’S BEARING CAPACITY EQUATION

The Vesic (1973, 1915b) procedure is essentially the same as the method of Hansen (1961) with
select changes. Vesic equation is somewhat easier to use than Hansen's
6.6 WHICH EQUATIONS TO USE

It is good practice to use at least two methods and compare the computed values of qu. If
the two values do not compare well, use a third method,

• Terzaghi - Very cohesive soils where D/B < 1 or for a quick estimate of quit to compare with
other methods. Do not use for footings with moments and/or horizontal forces or for tilted bases
and/or sloping ground

• Hansen, Meyerhof, Vesic - Any situation that applies, depending on user preference or
familiarity with a particular method.

• Hansen, Vesic When base is tilted; when footing is on a slope or when D/B > 1.
6.10 EFFECT OF WATER TABLE ON BEARING CAP

Equations from Terzaghi through Vesic’s give the ultimate bearing capacity, based on the
assumption that the water table is located well below the foundation. However, if the water table is
close to the foundation, some modifications of the bearing capacity equations will be necessary.

Case I. If the water table is located so that 0 ≤ 𝐷1 ≤ 𝐷f the factor 𝒒 in the bearing capacity
equations takes the form below. Also, the value of 𝜸 in the last term of the equations has to be
replaced by 𝛾’ = 𝛾sat− 𝛾w.

Case II. For a water table located so that 0 ≤𝑑 ≤ 𝐵. the factor 𝑞 in the bearing capacity equations
takes the form 𝒒=𝜸𝑫𝒇. In this case, the factor in the last term of the bearing capacity equations
must be replaced by the factor.

Case III. When the water table is located so that 𝑑 > 𝐵 the water will have no effect on the
ultimate bearing capacity.
6.11 BEARING CAPACITY FROM SPT

The SPT is widely used to obtain the bearing capacity of soils directly. One of the earliest
published relationships was that of Terzaghi and Peck (1967). This has been widely used, but an
accumulation of field observations has shown these curves to be overly conservative.

Meyerhof (1956, 1974) published equations for computing the allowable bearing capacity
for a 25-mm settlement. These could be used to produce curves similar to those of Terzaghi and
Peck and thus were also very conservative.

Considering the accumulation of field observations and the stated opinions of the authors
and others, this author adjusted the Meyerhof equations for an approximate 50percent increase in
allowable bearing capacity to obtain the following:

These equations have been in existence for quite some time and are based primarily on N
values from the early 1960s back and, thus, 𝐸s is likely on the order of 50 to 55 and not 70+ as
suggested. Since lower 𝐸s produces higher blow counts N if the preceding equations are
standardized to 𝑁’70, we must use revised values for factors 𝐹1and 𝐹2 as shown in the table of
Ffactors.

In these equations N is the statistical average value for the footing influence zone of
about 0.5B above footing base to at least 2B below.

We note in these equations that footing width is a significant parameter. Obviously if the depth of
influence is on the order of 2B a larger footing width will affect the soil to a greater depth and
strains integrated over a greater depth will produce a larger settlement.

6.12 BEARING CAP OF FDN WITH UPLIFT FORCES

Footings to develop tension resistance are idealized in Figure below. Balla (1961)
considered this problem. He assumed a failure surface (the dashed line ab in figure below) as
circular and developed some highly complicated mathematical expressions that were verified on
model tests in a small glass jar and by some larger tests of others.

The following equations are developed by neglecting the larger pull-out zone observed in
the tests and using an approximation of shear resistance along line ab’. Shape factors are used
together with a limiting depth ratio D/B or H/B to make the simplified equations adequate for
design use. In the general case we have for the ultimate tension. with adjustments for depth and
shape (whether perimeter is round or rectangular). This equation gives (only for footings in sands)
the following:

• For Shallow Footings

• For Deep Footings

The lateral earth pressure coefficient 𝐾u can be taken as one of the following:

4
5
6
7
8
7.1 INTRODUCTION

A pile is a slender, structural member installed in the ground to transfer the structural
loads to soils at some significant depth below the base of the structure. Structural loads include
axial loads, lateral loads, and moments. Another term commonly used in practice for pile
foundations is deep foundations. Structures that cannot be supported economically on shallow
foundations are normally supported by pile foundations.

Pile foundations are used when:

1. The soil near the surface does not have sufficient bearing capacity to support the
structural loads.
2. The estimated settlement of the soil exceeds tolerable limits (i.e., settlement greater than
the serviceability limit state).
3. Differential settlement due to soil variability or nonuniform structural loads is excessive.
4. The structural loads consist of lateral loads, moments, and uplift forces, singly or in
combination.
5. Excavations to construct a shallow foundation on a firm soil layer are difficult or
expensive.

7.2 TYPES OF PILES AND INSTALLATION

7.2.1 CONCRETE PILES

There are several types of concrete piles that are commonly used. These include cast-in-
place concrete piles, precast concrete piles, drilled shafts, and barrette piles.

7.2.1.1 CAST-IN-PLACE CONCRETE PILES are formed by driving a cylindrical steel

shell into the ground to the desired depth and then filling the cavity of the shell with
fluid concrete. They are called displacement piles. The steel shell is for construction
convenience and does not contribute to the load transfer capacity of the pile. Its
purpose is to open a hole in the ground and keep it open to facilitate the construction
of the concrete pile. Plain concrete is used when the structural load is only
compressive. If moments and lateral loads are to be transferred, then a steel
reinforcement cage is used in the upper part of the pile.

7.2.1.2 PRECAST CONCRETE PILES usually have square or circular or octagonal cross
sections and are fabricated in a construction yard or a factory from reinforced or
prestressed concrete. They are preferred when the pile length is known in advance.
The disadvantages of precast piles are problems in transporting long piles, cutting,
and lengthening. A very popular type of precast concrete pile is the Raymond
cylindrical prestressed pile. This pile comes in sections, and lengths up to 70 m can
be obtained by stacking the sections.
7.2.1.3 MICROPILES (Also called minipiles, pin piles, needle piles, or root piles) are
small-diameter (50 mm to 340 mm) pipe piles (pushed or driven) or grouted (jet or
post or pressure) piles. They are particularly useful for (1) sites with low headroom,
(2) congested areas, (3) sites with restricted access, and (4) foundation repair or
strengthening.

7.2.2 STEEL PILES

Steel piles come in various shapes and sizes and include cylindrical, tapered, and H-piles.
Steel H-piles are rolled steel sections. They are non-displacement piles. Steel pipe piles are
seamless pipes that can be welded to yield lengths up to 70 m. They are usually driven with open
ends into the soil. A conical tip is used where the piles must penetrate boulders and rocks. To
increase the load capacity of steel pipe piles, the soil plug is excavated and replaced by concrete.
These piles are called concrete-filled steel piles. The soil plug may adhere to the pile surface and
move down during driving. This is called plugging.

7.2.3 TIMBER PILES

 Timber piles have been used since ancient times. The lengths of timber piles depend on
the types of trees used to harvest the piles, but common lengths are about 12 m. Longer lengths
can be obtained by splicing several piles. Timber piles are susceptible to termites, marine
organisms, and rot within zones exposed to seasonal changes. Timber piles are displacement piles.

7.2.4 PLASTIC PILES

Plastic piles comprise a variety of composite materials that include polymer composites,
PVC, and recycled materials. These piles are used in special applications such as in marine
environments and within soil zones exposed to seasonal changes.

Concrete, steel, and timber can be combined to form a composite pile. For example, the
portion of a timber pile above groundwater level that is likely to suffer from decay due to termites
or rot may be replaced by concrete. Similarly, the portion of a steel pile within a corrosive
environment can be covered with concrete or other protective materials.

7.3 VERTICAL CAP. OF SINGLE PILE FOR DRIVEN PILES

Accurate estimation of pile load capacity is a rather difficult task because it is difficult, if
not impossible, to account for (a) the changes in stress and strain states from installation effects,
(b) the variability of soil types, and (c) the differences in the quality of construction practice.
Therefore, calculations of pile load capacity are approximations and rely heavily on empiricism or
semi empiricism (part mechanics, part empirical).

If the skin friction is greater than about 80% of the end bearing load capacity, the pile is deemed a
friction pile and, if the reverse, an end bearing pile. If the end bearing is neglected, the pile is
called a floating pile.

ALLOWABALE LOAD CAPACITY

7.3.1 a – METHOD

7.3.1.1 SKIN FRICTION

The a-method is based on a total stress analysis (TSA) and is normally used to estimate
the short-term load capacity of piles embedded in fine-grained soils. In the 𝛼-method, a
coefficient, 𝛼u, is used to relate the undrained shear strength, 𝑠u, to the adhesive stress (𝑓s) along
the pile shaft.

The value of 𝛼u to use in determining the load capacity of piles is a subject of

much debate and testing. Most tests to determine 𝛼u are laboratory tests on model piles
installed in a uniform deposit of soil. The major problems with these laboratory tests are:

1. It is difficult to scale up the laboratory model test results to real piles.

2. The soils in the field are mostly nonuniform compared with carefully prepared
uniform soils in the laboratory.
3. Pile installation in the field strongly influences 𝛼u, which cannot be accurately
duplicated in the laboratory.
4. Undefined (peak or critical state and at what initial void ratio) values of su have
been used in building relationships between su and 𝛼u.
7.3.1.2 END BEARING

The end bearing capacity is found by analogy with the conventional failure mode of
shallow foundations and is expressed as;
7.3.2 β – METHOD
7.3.2.1 SKIN FRICTION

The 𝛽-method is based on an effective stress analysis and is used to determine the short-
term and long-term pile load capacities of coarse-grained soils and the long-term load capacity of
fine-grained soils. The friction along the pile shaft is found using Coulomb’s friction law, where
the frictional stress is given by where 𝜎x’ is the coefficient of friction, 𝜎x’ is
the lateral effective stress, and ϕi’ is the interfacial effective friction angle. The skin friction is
expressed as

For fine grained soils,

For coarse grained soils,

7.3.2.2 END BEARING

The end bearing capacity is calculated by analogy with the bearing capacity of shallow
footings and is determined from

For fine-grained and coarse-grained soils,

where the angle 𝜓p (called the angle of pastification, varies from 𝜓p ≤ 𝜋/3 for
soft, fine-grained soils to 𝜓p ≤ 0.58𝜋 for dense, coarse-grained soils and
overconsolidated fine-grained soils. Janbu recommended that for soft, compressible soils,
𝜓p should not exceed 𝜋/3, while for dense, coarse-grained soils, 𝜓p should not exceed
𝜋/2.
7.3.3 I METHOD

7.3.3.1 SKIN FRICTION

Vijayvergiya and Focht (1972) presented a method of obtaining the skin resistance of a
pile in overconsolidated clays and have claimed a correlation between design and load tests on the
order of ± 10 percent. The original development was based primarily on pile load tests. These
were on long piles used for offshore oil production structures and founded in clays located in or
along the U.S. coastline of the Gulf of Mexico. This method has also been used in other marine
installations with some success (e.g., North Sea oil production structures).

For layered soil,

7.3.3.2 END BEARING

The end bearing capacity is found by analogy with the conventional failure mode of
shallow foundations and is expressed as;
7.4 VERTICAL CAP. OF SINGLE PILE FOR DRILLED PILES

7.4.1 a – METHOD

7.4.1.1 SKIN FRICTION

The load capacities of drilled shafts are calculated similarly to driven piles except that the
empirical adhesion, friction, and end bearing factors are different.

7.4.1.2 END BEARING

7.4.2 β – METHOD

7.4.2.1 SKIN FRICTION

7.4.2.2 END BEARING

The 𝛽 for drilled shafts in coarse-grained soils have been obtained from back calculations
from load tests on 1-mdiameter drilled shafts in cemented sand at particular locations (Texas Gulf
Coast region and Los Angeles, California). They are not related to any soil parameters. They have
to be used with careful judgment based on experience.

The soil near the top of the drilled shaft is subjected to environmental and construction
effects, while the soil just above the base may develop tensile cracking. Consequently, the upper
1.5 m of the shaft and one pile diameter above the base are ignored in calculating skin friction for
drilled shafts.

7.5 UPLIFT CAPACITY OF SINGLE PILES

Piles may be required to resist uplift forces for example, in foundations of structures
subjected to large overturning moments such as tall chimneys, transmission towers, or jetty
structures. Methods of calculating the adhesion to resist uplift are the same as those used for
friction pile.

7.6 NEGATIVE SKIN FRICTION OF SINGLE PILES

When a fill is placed on a compressible soil deposit, consolidation of the compressible

material will occur. When a pile is driven through (or into) the compressible material (either
before or after fill placement) before consolidation is complete, the soil will move downward
relative to the pile. This relative movement will develop skin friction between the pile and the
moving soil termed negative skin friction.

• The principal effect of negative skin resistance is to increase the axial load in the lower fixed
portion of the pile. It may result also in increased pile settlements due to the axial shortening
and/or additional point penetration of the pile under the increased axial load.

• Negative skin friction can produce large tension stresses when the effect is from expansive soils -
especially if no, or insufficient, gap is left between soil and pile cap and the soil expands against
both the pile and the cap.

For negative skin resistance forces to develop significantly, a portion of the pile must be fixed
against vertical movement, such as the point being on rock or the lower part being in a dense sand.
If the entire pile moves down with the consolidation effect no negative skin resistance forces
develop.
CASE 1 - CLAY FILL OVER GRANULAR OIL

CASE 2 – GRANULAR SOIL FILL CLAY FILL OVER

7.7 LATERALLY LOADED OF SINGLE PILES

For laterally loaded piles, Broms (1965) developed a simplified solution based on the
assumptions of:

a. shear failure in soil, which is the case for short piles, and
b. bending of the pile, governed by the plastic yield resistance of the pile section, which is
applicable to long piles.

The term K is the horizontal soil modulus and can be defined as

7.8 PILE GROUPS

The preceding sections have considered the soil aspects of single piles in some detail
together with a brief discussion of pile-driving operations. Rarely, however, is the foundation
likely to consist of a single pile. Generally, there will be a minimum of two or three piles under a
foundation element or footing to allow for misalignments and other inadvertent eccentricities.
Building codes may stipulate the minimum number of piles under a building element.

 When several piles are clustered, it is reasonable to expect that the soil pressures
produced from either side friction or point bearing will overlap as idealized in the figure.
 The superimposed pressure intensity will depend on both the pile load and spacing, and if
sufficiently large the soil will fail in shear, or the settlement will be excessive.
 The stress intensity from overlapping stressed zones will obviously decrease with
increased pile spacing s; however, large spacing s are often impractical since a pile cap is
cast over the pile group for the column base and/or to spread the load to the several piles
in the group.

7.8.1 EFFICIENCY OF PILE GROUPS

When several pile butts are attached to a common structural element termed a pile cap the
result is a pile group. A question of some concern is whether the pile group capacity is the sum of
the individual pile capacities or something different either more or less. If the capacity is the sum
of the several individual pile contributions, the group efficiency 𝐸g = 1.0. There are mixed
opinions on pile group efficiency defined as

 The ASCE Committee on Deep Foundations report [CDF (1984)] recommends not using
group efficiency as a description of group action. It suggests that friction piles in
cohesionless soils at the usual spacings s of s = 2 to 3D will have a group efficiency 𝐸g >
1.0.
  The reason given is that in cohesionless soil the pile displacement + driving vibrations
increase the soil density (or 𝛾s) in a zone in the vicinity of the pile, which is further
increased as other piles are driven nearby.
 For friction piles in cohesive soils the block shear + point bearing of the group in plan is
used as the group capacity, but in no case is the group capacity to be considered greater
than the single pile capacity times the number of piles in the group.

CONVERSE LABARRE EQUATION

7.8.2 𝜶 – Method (Total Stress Analysis)

7.8.3 𝜷 – Method (Effective Stress Analysis)

7.9 PILE SETTLEMENTS

7.9.1 ELASTIC SETTLEMENT OF SINGLE PILE

The total settlement of a pile under a vertical working load 𝑄u is given by

If the pile material is assumed to be elastic, the deformation of the pile shaft can be evaluated, in
accordance with the fundamental principles of mechanics of materials, as

The settlement of a pile caused by the load carried at the pile point may be expressed in the form:

The settlement of a pile caused by the load carried by the pile shaft is given by a relation

7.9.2 ELASTIC SETTLEMENT OF GROUP PILE

 In general, the settlement of a group pile under a similar working load per pile increases
with the width of the group 𝐵g and the center-to-center spacing of the piles (s). Several
investigations relating to the settlement of group piles have been reported in the literature, with
widely varying results. The simplest relation for the settlement of group piles was given by Vesic
(1969), namely,

7.9.3 CONSOLIDATION SETTLEMENT OF GROUP PILE

Sometimes, a pile group may be embedded above a soft clay layer and transfer sufficient
load to it (soft clay) to cause consolidation settlement

 to estimate the consolidation settlement, the full design load is assumed to act at a depth
of 2/3 L
 then distributed in the ratio of 2:1 (vertical : horizontal). The increase in vertical stress at
a depth z in the soft clay layer shown in figure below