ENGINEERING SERVICE CENTER

Port Hueneme, California 93043-4370

SP-2209-OCN
Handbook for
Marine Geotechnical Engineering

Technical Editors:
David Thompson
Diane Jarrah Beasley

February 2012

Approved for public release; distribution is unlimited.

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1. REPORT DATE (00-MM-YYYY)

28-02-201 2

3. DATES COVERED (From- To)

1 2. REPORT TYPE

2006-2012

Technical

4. TITLE AND SUBTITLE

Sa. CONTRACT NUMBER

Handbook for Marine Geotechnical Engineering

5b. GRANT NUMBER

Sc. PROGRAM ELEMENT NUMBER
Sd. PROJECT NUMBER

6. AUTHOR(S)

David Thompson and Diane Jarrah Beasley (Technical Editors).

Daniel G. True, Sheng Tom Li n, Jean-Louis Briaud , William N. Seelig ,
Blake Jung (Contributors).
7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES)

Se. TASK NUMBER

Sf. W ORK UNIT NUMBER
8. PERFORMING ORGANIZATION REPORT
NUMBER

Naval Facilities Engineering Service Center

1100 23rd Avenue
Port Hueneme , CA 93043-4333

SP-2209-0CN

9. SPONSORING I MONITORING AGENCY NAME(S) AND ADDRESS(ES)

10. SPONSORJMONITOR'S A CRONYM(S)

Naval Facilities Engineering Command

1322 Patterson Avenue SE
Washington Navy Yard , DC 20374-5018

NAVFAC
11. SPONSORJMONITOR'S REPORT
NUMBER(S)

12. DISTRIBUTION I AVAILABILITY STATEMENT

Approved fo r public release; distribution is unlimited.

13. SUPPLEMENTARY NOTES

This handbook supersedes previous editions of the same title [ADA 157894 (1985) and ADA54 1417 (2011 )].
14. AB STRACT

This handbook discusses the application of engineering techniques and scientific knowledge to the
investigation of seafloor materials, their characteristics, and their response to foundation and mooring
loads. Its primary thrust is with problems engineers will encounter beyond the continental shelf or below
600 foot water depth , but the information is also applicable to shallow water tasks.

1S. SUBJ ECT TERMS

Geotechnical, sediments, marine soil properties, ocean engineering,

s~e

survey, penetrometers, CPT, vane shear tests, foundations, anchors, static and dynamic penetration, breakout, scour.

16. SECURITY CLASSIFICATION OF:

a. REPORT

b. ABSTRACT

c. THIS PA GE

Unclassified Unclassified Unclassified

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OF ABSTRACT

18. NUMBER
OF PAGES

Same as
Report (SAR)

457

19a. NA ME OF RESPONSIB LE PERSON

David Thompson
19b. TELEPHONE NUMBER (include area
code)

805-982-6284
Stan dard Form 298 (Rev. 8-98)
Prescribed by ANSI Std. Z 39.18

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ii

ACKNOWLEDGEMENTS

Much of the background material for this second edition of the Handbook for Marine
Geotechnical Engineering was developed by the Naval Facilities Engineering Service Center
(NAVFAC ESC) and is based on the first edition (Rocker, 1985). These materials were extensively
updated and supplemented with experience from both the public and private sector by a
number of ESC and contractor subject matter experts. The primary contributors for each of the
chapters is listed below.
Chapter

Primary Contributor

Mr. Phil K. Rockwell, MAR, Inc., Ventura, CA

Mr. James C. Miller, MAR, Inc., Boca Raton, FL

Mr. Herb Herrmann, NAVFAC ESC, Washington, DC

Mr. Kyle Rollins, Brigham Young University, Provo, UT

Dr. Daniel G. True, MAR, Inc., Ventura, CA

Dr. Sheng (Tom) Lin, NAVFAC ESC, Port Hueneme, CA

Mr. William N. Seelig, NAVFAC ESC, Washington, DC

Dr. Sheng (Tom) Lin, NAVFAC ESC, Port Hueneme, CA

Dr. Daniel G. True, MAR, Inc., Ventura, CA

Mr. Blake Jung, NAVFAC ESC, Port Hueneme, CA

10

Dr. Jean-Louis Briaud, Texas A&M University, College Station, TX

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ii

TABLE OF CONTENTS
1

INTRODUCTION .....................................................................................................................1-1
1.1

OBJECTIVE ...................................................................................................................1-1

1.2

HANDBOOK ORGANIZATION .......................................................................................1-2

1.3

SELECTION OF FOUNDATION/ANCHOR TYPE ..............................................................1-3

1.4

REFERENCES ................................................................................................................1-9

SITE SURVEY AND IN-SITU TESTING.......................................................................................2-1

2.1

2.2

2.3

2.4

INTRODUCTION ...........................................................................................................2-1
2.1.1

Purpose ..........................................................................................................2-1

2.1.2

Factors Influencing the Site Survey ................................................................2-1

DESK TOP STUDY .........................................................................................................2-5

2.2.1

Information Sources .......................................................................................2-5

2.2.2

Typical Ocean Sediments ................................................................................2-7

REGIONAL SURVEYS................................................................................................... 2-17

2.3.1

General ......................................................................................................... 2-17

2.3.2

Subbottom Profiling ..................................................................................... 2-17

2.3.3

Limited Sampling .......................................................................................... 2-18

2.3.4

Sidescan Sonar.............................................................................................. 2-18

2.3.5

Visual Observation........................................................................................ 2-22

2.3.6

Survey Line Spacing ...................................................................................... 2-22

SITE-SPECIFIC SURVEY ............................................................................................... 2-22

2.4.1

General ......................................................................................................... 2-22

2.4.2

Shallow Sampling.......................................................................................... 2-24

2.4.3

Deep Sampling.............................................................................................. 2-28

iii

2.5

2.4.4

Location, Number, and Depth of Sampling................................................... 2-29

2.4.5

Sample Handling ........................................................................................... 2-29

IN-SITU TESTING ........................................................................................................ 2-30

2.5.1

General ......................................................................................................... 2-30

2.5.2

Vane Shear Tests .......................................................................................... 2-33

2.5.3

Cone Penetration Tests ................................................................................ 2-35

2.5.4

Pressuremeter Tests ..................................................................................... 2-42

2.5.5

Dynamic Penetrometer ................................................................................ 2-42

2.5.6

Borehole Logging Techniques ....................................................................... 2-43

2.6

REFERENCES .............................................................................................................. 2-44

2.7

SYMBOLS ................................................................................................................... 2-47

LABORATORY DETERMINATION OF SOIL PROPERTIES ..........................................................3-1

3.1

3.2

3.3

INTRODUCTION ...........................................................................................................3-1
3.1.1

Scope ..............................................................................................................3-1

3.1.2

Special Considerations ....................................................................................3-1

SOIL CLASSIFICATION...................................................................................................3-1
3.2.1

Classification Information ...............................................................................3-1

3.2.2

Classification by Origin ...................................................................................3-1

3.2.3

Classification by Grain Size .............................................................................3-2

3.2.4

Classification by Grain Size and Behavior .......................................................3-3

INDEX PROPERTY TESTS...............................................................................................3-5

3.3.1

General ...........................................................................................................3-5

3.3.2

Sample Preparation ........................................................................................3-5

3.3.3

Water Content ................................................................................................3-8

3.3.4

Unit Weight ....................................................................................................3-8

iv

3.4

3.5

3.3.5

Specific Gravity ...............................................................................................3-9

3.3.6

Liquid Limit, Plastic Limit, and Plasticity Index ...............................................3-9

3.3.7

Grain Size Analysis ........................................................................................ 3-11

3.3.8

Carbonate and Organic Carbon Content ...................................................... 3-12

ENGINEERING PROPERTY TESTS ................................................................................ 3-13

3.4.1

General ......................................................................................................... 3-13

3.4.2

Vane Shear Test ............................................................................................ 3-15

3.4.3

Unconfined Compression Test...................................................................... 3-17

3.4.4

Unconsolidated, Undrained Triaxial Compression Test ................................ 3-17

3.4.5

Consolidated-Undrained and -Drained Triaxial Compression Tests .............. 3-17

3.4.6

Consolidated-Drained Direct Shear Test ....................................................... 3-18

3.4.7

Consideration for Triaxial Testing of Marine Soils ........................................ 3-18

3.4.8

One-Dimensional Consolidation Test ........................................................... 3-18

PROPERTY CORRELATIONS ........................................................................................ 3-19

3.5.1

General ......................................................................................................... 3-19

3.5.2

Nearshore Sediments ................................................................................... 3-19

3.5.3

Deep Sea Sediments ..................................................................................... 3-22

3.6

REFERENCES .............................................................................................................. 3-24

3.7

SYMBOLS ................................................................................................................... 3-25

SHALLOW FOUNDATIONS AND DEADWEIGHT ANCHORS .....................................................4-1

4.1

4.2

INTRODUCTION ...........................................................................................................4-1
4.1.1

General ...........................................................................................................4-1

4.1.2

Definitions/Descriptions .................................................................................4-1

DESIGN CONSIDERATIONS...........................................................................................4-4
4.2.1

General ...........................................................................................................4-4
v

4.3

4.4

4.2.2

Site .................................................................................................................4-5

4.2.3

Structure.........................................................................................................4-5

4.2.4

Loading ...........................................................................................................4-5

4.2.5

Geotechnical...................................................................................................4-6

4.2.6

Factor of Safety ..............................................................................................4-7

DESIGN METHODOLOGY AND PROCEDURE .................................................................4-7

4.3.1

General ...........................................................................................................4-7

4.3.2

Bearing Capacity ........................................................................................... 4-10

4.3.3

Lateral Load Capacity ................................................................................... 4-25

4.3.4

Resultant Normal Force ................................................................................ 4-30

4.3.5

Shear Key Design .......................................................................................... 4-30

4.3.6

Foundation Settlement................................................................................. 4-32

4.3.7

Installation and Removal .............................................................................. 4-37

EXAMPLE PROBLEMS ................................................................................................. 4-39

4.4.1

Problem 1 Simple Foundation on Cohesive Soil......................................... 4-39

4.4.2

Problem 2 Simple Foundation on Cohesionless Soil .................................. 4-47

4.5

REFERENCES .............................................................................................................. 4-54

4.6

SYMBOLS ................................................................................................................... 4-55

PILE FOUNDATIONS AND ANCHORS......................................................................................5-1

5.1

INTRODUCTION ...........................................................................................................5-1

5.2

PILE DESCRIPTIONS ......................................................................................................5-1

5.3

5.2.1

Pile Types........................................................................................................5-1

5.2.2

Mooring Line Connections ..............................................................................5-1

5.2.3

Modifications for Increasing Lateral Load Capacity ........................................5-1

DESIGN PROCEDURES FOR SIMPLE PILES IN SOIL SEAFLOORS.....................................5-4

vi

5.4

5.5

5.6

5.3.1

General ...........................................................................................................5-4

5.3.2

Soil Properties ................................................................................................5-6

5.3.3

Pile Design Loads ............................................................................................5-7

5.3.4

Lateral Load Analysis .................................................................................... 5-10

5.3.5

Axial Load Analysis ....................................................................................... 5-15

5.3.6

Steel Stress Analysis ..................................................................................... 5-18

5.3.7

Special Cases ................................................................................................ 5-21

DESIGN OF PILE ANCHORS IN ROCK SEAFLOORS ....................................................... 5-22

5.4.1

Lateral Capacity ............................................................................................ 5-23

5.4.2

Uplift Capacity .............................................................................................. 5-24

PILE INSTALLATION .................................................................................................... 5-25

5.5.1

Driven Piles ................................................................................................... 5-25

5.5.2

Drilled and Grouted Piles .............................................................................. 5-28

5.5.3

Jack-in Piles................................................................................................... 5-28

5.5.4

Jetted Piles ................................................................................................... 5-28

EXAMPLE PROBLEMS ................................................................................................. 5-29

5.6.1

Problem 1 Pile Design in a Cohesive Soil ................................................... 5-29

5.6.2

Problem 2 Pile Design in a Cohesionless Soil ............................................. 5-38

5.7

REFERENCES .............................................................................................................. 5-46

5.8

SYMBOLS ................................................................................................................... 5-47

DIRECT-EMBEDMENT ANCHORS ...........................................................................................6-1

6.1

INTRODUCTION ...........................................................................................................6-1
6.1.1

Purpose ..........................................................................................................6-1

6.1.2

Function..........................................................................................................6-1

6.1.3

Features..........................................................................................................6-1
vii

6.2

6.3

6.4

6.5

6.6

DIRECT-EMBEDMENT ANCHOR TYPES AND SIZES .......................................................6-1

6.2.1

Impact/Vibratory-Driven Anchor ....................................................................6-1

6.2.2

Jetted-In Anchors ...........................................................................................6-5

6.2.3

Auger Anchors ................................................................................................6-5

SITE DATA NEEDED ......................................................................................................6-5

6.3.1

General ...........................................................................................................6-5

6.3.2

Preliminary Penetration Estimate...................................................................6-6

6.3.3

Topography, Strata Thickness, Type ...............................................................6-6

6.3.4

Engineering Properties ...................................................................................6-7

6.3.5

Complicating or Hazardous Conditions...........................................................6-7

6.3.6

Specialized Survey Tools ............................................................................... 6-10

FLUKE PENETRATION AND KEYING ............................................................................ 6-10

6.4.1

Penetration Requirement ............................................................................. 6-10

6.4.2

Keying Prediction .......................................................................................... 6-10

STATIC HOLDING CAPACITY ....................................................................................... 6-11

6.5.1

Loading Conditions ....................................................................................... 6-11

6.5.2

Deep and Shallow Anchor Failure ................................................................. 6-11

6.5.3

Short-Term Capacity in Cohesive Soils .......................................................... 6-12

6.5.4

Long-Term Capacity in Cohesive Soils........................................................... 6-14

6.5.5

Short- and Long-Term Capacity in Cohesionless Soils ................................... 6-15

6.5.6

Disturbance Corrections ............................................................................... 6-16

6.5.7

Factors of Safety ........................................................................................... 6-16

DYNAMIC HOLDING CAPACITY .................................................................................. 6-16

6.6.1

Loading Conditions ....................................................................................... 6-16

6.6.2

Cyclic Loading ............................................................................................... 6-17

viii

6.7

6.8

6.9

6.6.3

Earthquake Loading ...................................................................................... 6-21

6.6.4

Impulse Loading ........................................................................................... 6-22

OTHER INFLUENCES ON HOLDING CAPACITY ............................................................ 6-26

6.7.1

Holding Capacity on Slopes .......................................................................... 6-26

6.7.2

Creep Under Static Loading .......................................................................... 6-27

HOLDING CAPACITY IN CORAL AND ROCK ................................................................. 6-28

6.8.1

Coral ............................................................................................................. 6-28

6.8.2

Rock .............................................................................................................. 6-28

DESIGN OF PILE-DRIVEN PLATE ANCHORS................................................................. 6-28

6.9.1

General ......................................................................................................... 6-28

6.9.2

Ultimate Holding Capacity of Plate Anchor in Soft Clays and Mud ............... 6-30

6.9.3

Holding Capacity of Plate Anchor in Sands ................................................... 6-30

6.10 EXAMPLE PROBLEMS ................................................................................................. 6-31

6.10.1 Problem 1 A Pile-Driven Plate Anchor Used in Cohesive Soil ..................... 6-31
6.10.2 Problem 2 - A Pile-Driven Plate Anchor Used in Cohesionless Soil ............... 6-35
6.11 REFERENCES .............................................................................................................. 6-38
6.12 SYMBOLS ................................................................................................................... 6-40
7

DRAG-EMBEDMENT ANCHORS .............................................................................................7-1

7.1

7.2

INTRODUCTION ...........................................................................................................7-1
7.1.1

Purpose and Scope .........................................................................................7-1

7.1.2

Drag Anchor Description ................................................................................7-1

7.1.3

Types of Drag Anchors ....................................................................................7-2

7.1.4

Application of Drag Anchors ...........................................................................7-3

FUNCTIONING OF A DRAG ANCHOR ............................................................................7-7

7.2.1

General ...........................................................................................................7-7
ix

7.3

7.4

7.5

7.6

7.7

7.2.2

Tripping ..........................................................................................................7-7

7.2.3

Embedment ....................................................................................................7-9

7.2.4

Stability......................................................................................................... 7-12

7.2.5

Soaking ......................................................................................................... 7-13

SITE INVESTIGATION.................................................................................................. 7-13

7.3.1

Site Data Needed .......................................................................................... 7-13

7.3.2

Topography and Layer Thickness .................................................................. 7-14

7.3.3

Sediment Type and Strength ........................................................................ 7-15

7.3.4

Site Investigation Summary .......................................................................... 7-16

SELECTING A DRAG ANCHOR ..................................................................................... 7-17

7.4.1

General ......................................................................................................... 7-17

7.4.2

Tripping and Penetration Performance ........................................................ 7-17

7.4.3

Stability Performance ................................................................................... 7-17

7.4.4

Holding Capacity Performance ..................................................................... 7-18

7.4.5

Selection of Anchor Type .............................................................................. 7-19

SIZING A DRAG ANCHOR ........................................................................................... 7-19

7.5.1

Efficiency Ratio Method ............................................................................... 7-19

7.5.2

Power Law Method ...................................................................................... 7-20

7.5.3

Analysis Based on Geotechnical Considerations........................................... 7-25

7.5.4

Factor of Safety ............................................................................................ 7-27

TROUBLESHOOTING .................................................................................................. 7-29

7.6.1

Soft Sediments ............................................................................................. 7-29

7.6.2

Hard Sediments ............................................................................................ 7-30

PIGGYBACKING .......................................................................................................... 7-31

7.7.1

Field Practice ................................................................................................ 7-31

x

Results and Field Problems ........................................................................... 7-33

7.7.3

Recommended Practice ................................................................................ 7-35

7.8

REFERENCES .............................................................................................................. 7-36

7.9

SYMBOLS ................................................................................................................... 7-38

PENETRATION OF OBJECTS INTO THE SEAFLOOR..................................................................8-1

8.1

8.2

8.3

8.4

7.7.2

INTRODUCTION ...........................................................................................................8-1
8.1.1

Purpose ..........................................................................................................8-1

8.1.2

Scope ..............................................................................................................8-1

STATIC PENETRATION..................................................................................................8-2
8.2.1

Application .....................................................................................................8-2

8.2.2

Approach ........................................................................................................8-2

8.2.3

Method for Predicting Static Penetration.......................................................8-3

DYNAMIC PENETRATION .............................................................................................8-8

8.3.1

Application .....................................................................................................8-8

8.3.2

Approach ........................................................................................................8-9

8.3.3

Method for Predicting Dynamic Penetration..................................................8-9

EXAMPLE PROBLEMS ................................................................................................. 8-17

8.4.1

Problem 1 Slow Penetration of a Long Cylinder ........................................ 8-17

8.4.2

Problem 2 Rapid Penetration of a Long Cylinder ....................................... 8-21

8.5

REFERENCES .............................................................................................................. 8-30

8.6

SYMBOLS ................................................................................................................... 8-31

BREAKOUT OF OBJECTS FROM THE SEAFLOOR .....................................................................9-1

9.1

INTRODUCTION ...........................................................................................................9-1
9.1.1

Applications ....................................................................................................9-1

9.1.2

Definitions ......................................................................................................9-3
xi

9.2

GENERAL CONCEPTS....................................................................................................9-4

9.3

SETTLEMENT AND BREAKOUT FORCE PREDICTIONS ...................................................9-5

9.3.1

9.4

9.5

9.6

9.7

9.8

Settlement Relationships................................................................................9-5

BREAKOUT RELATIONSHIPS .........................................................................................9-5

9.4.1

Short Term Residence (Hours to Days) Immediate Breakout for Shallow

Foundations (D/B <1) .....................................................................................9-5

9.4.2

Long Term Residence (Months to Years) Immediate Breakout for Shallow

Foundations (D/B <1) .....................................................................................9-7

9.4.3

Dynamic Penetration and Buried Objects Immediate Breakout

(1 < D/B < 2.5).................................................................................................9-8

BREAKOUT TIME USING LESS-THAN-IMMEDIATE BREAKOUT FORCES FOR

SHALLOW FOUNDATIONS (D/B < 1) .......................................................................... 9-10
9.5.1

Introduction.................................................................................................. 9-10

9.5.2

Basis of Development of New Procedure ..................................................... 9-11

9.5.3

Development of New Relationship Involving Known Embedment Depth .... 9-12

BREAKOUT AIDS ........................................................................................................ 9-15

9.6.1

Jetting and Drainage Tubes .......................................................................... 9-15

9.6.2

Eccentric Loading.......................................................................................... 9-16

9.6.3

Cyclic Loading ............................................................................................... 9-16

9.6.4

Rocking or Rolling ......................................................................................... 9-17

9.6.5

Breakaway Parts ........................................................................................... 9-17

9.6.6

Altering Buoyant Weight .............................................................................. 9-18

OTHER FACTORS ........................................................................................................ 9-19

9.7.1

Irregular Shape or Non-Uniform Embedment Depth.................................... 9-19

9.7.2

Foundation Skirts.......................................................................................... 9-19

EXAMPLE PROBLEMS ................................................................................................. 9-20

xii

9.9

9.8.1

Problem 1 Recovery of a Large Cylinder (Short Residence) ....................... 9-20

9.8.2

Problem 2 Recovery of a Large Cylinder (Long Residence) ........................ 9-24

9.8.3

Problem 3 Recovery of a Buried Foundation ............................................. 9-27

REFERENCES .............................................................................................................. 9-31

9.10 SYMBOLS ................................................................................................................... 9-32

10 SCOUR ................................................................................................................................. 10-1
10.1 INTRODUCTION ......................................................................................................... 10-1
10.1.1 Background................................................................................................... 10-1
10.1.2 Scope ............................................................................................................ 10-1
10.2 FUNDAMENTALS OF SCOUR AND EROSION .............................................................. 10-1
10.2.1 The Soil ......................................................................................................... 10-2
10.2.2 The Water ..................................................................................................... 10-6
10.2.3 The Obstacle ............................................................................................... 10-14
10.3 ESTIMATING GENERAL SCOUR ................................................................................ 10-28
10.4 ESTIMATING LOCAL SCOUR ..................................................................................... 10-32
10.4.1 Pier Scour ................................................................................................... 10-32
10.4.2 Contraction Scour ....................................................................................... 10-41
10.4.3 Propeller Induced Scour ............................................................................. 10-45
10.4.4 Abutment and Wall Scour .......................................................................... 10-47
10.4.5 Pipeline and Cable Scour ............................................................................ 10-50
10.4.6 Scour for Structures Piercing Water Surface .............................................. 10-50
10.4.7 Scour for Structures Resting on the Seafloor.............................................. 10-51
10.4.8 Time for Scour Development ...................................................................... 10-51
10.5 SCOUR COUNTERMEASURES ................................................................................... 10-54
10.5.1 Countermeasure Design Concepts and Approach ...................................... 10-54
xiii

10.5.2 Scour Monitoring and Instrumentation ...................................................... 10-56

10.6 EXAMPLE PROBLEMS ............................................................................................... 10-60
10.6.1 Problem 1 General Scour ......................................................................... 10-60
10.6.2 Problem 2 Pier Scour Example ................................................................. 10-61
10.6.3 Problem 3 Contraction Scour Example .................................................... 10-67
10.6.4 Problem 4 Abutment Scour in Coarse-Grained Soils Example ................. 10-72
10.6.5 Problem 5 Seawall Scour in Coarse-Grained Soils Example ..................... 10-74
10.6.6 Problem 6 Pipeline Scour Example .......................................................... 10-75
10.6.7 Problem 7 Propeller Induced Scour Example .......................................... 10-77
10.6.8 Problem 8 Footing Scour with Skirt Countermeasure Example ............... 10-79
10.7 REFERENCES ............................................................................................................ 10-81
10.8 SYMBOLS ................................................................................................................. 10-85

xiv

LIST OF FIGURES
Figure 1.3-1. Simplified anchor types. ........................................................................................1-3
Figure 2.2-1. Ocean Sediment Distribution (Ref. 2-1). ................................................................2-9
Figure 2.2-2. Characteristics of water above and below the calcite compensation depth
(CCD) (Ref. 2-1). .................................................................................................................. 2-10
Figure 2.2-3. Distribution of calcium carbonate in modern surface sediments (Ref. 2-1). ....... 2-11
Figure 2.2-4. Marine geological provinces and probable soil types. ......................................... 2-13
Figure 2.2-5. Typical strength profile for hemipelagic terrigenous silty clay. .............................. 2-14
Figure 2.2-6. Typical strength profiles for proximal and distal turbidites. ................................ 2-14
Figure 2.2-7. Typical strength profiles for calcareous ooze. ..................................................... 2-15
Figure 2.2-8. Typical strength profiles for abyssal clay. ............................................................ 2-15
Figure 2.2-9. Typical strength profile for siliceous ooze. .......................................................... 2-16
Figure 2.3-1. Example of subbottom profiler data (Ref. 2-2). ................................................... 2-19
Figure 2.3-2. Acoustic data collection operations (Ref 2-2). ..................................................... 2-20
Figure 2.3-3. Example of sidescan acoustic data (Ref. 2-2). ...................................................... 2-21
Figure 2.4-1. Grab samplers and dredges (Ref. 2-4). ................................................................ 2-25
Figure 2.4-2. Box corer and its operation sequence. ................................................................ 2-26
Figure 2.4-3. Long piston corer operation sequence with a short corer used as a trigger
weight. ................................................................................................................................ 2-27
Figure 2.4-4. Alpine vibracore sampler (from Ref. 2-6)............................................................. 2-28
Figure 2.5-1. Vane shear device. ............................................................................................... 2-33
Figure 2.5-2. Correction factor for vane determined shear strength (Ref. 2-13). ..................... 2-34
Figure 2.5-3. Cross-section of a typical cone penetrometer (Ref. 2-14). .................................. 2-35
Figure 2.5-4. Soil behavior type classification chart (Ref. 2-18). ............................................... 2-38
Figure 3.2-1. Trilineal soil classification plot normally used with Wentworth grade limits. .....3-3
xv

Figure 3.2-2. Unified Soil Classification Chart (Ref. 3-3). ............................................................3-4

Figure 3.4-1. Miniature vane blade geometry. ......................................................................... 3-16
Figure 3.5-1. Relationship between su/pvo and PI for normally consolidated late glacial clay
(Ref. 3-8). ............................................................................................................................ 3-19
Figure 3.5-2. Relationship between friction angle and PI for normally consolidated
fine-grained soils (Ref. 2-5). ................................................................................................ 3-20
Figure 3.5-3. Correlation between coefficient of consolidation and liquid limit (Ref. 3-4). ...... 3-21
Figure 3.5-4. Range of PI values for pelagic clay. ...................................................................... 3-23
Figure 3.5-5. Correlation between water content and Cc / (1 +e0) for pelagic clay and
calcareous ooze. ................................................................................................................. 3-23
Figure 4.1-1. Features of a simple shallow foundation. ..............................................................4-2
Figure 4.1-2. Types of shallow foundations. ...............................................................................4-3
Figure 4.1-3. Types and significant characteristics of deadweight anchors. ...............................4-4
Figure 4.3-1. Flow chart for the design of shallow foundations and deadweight anchor. ..........4-9
Figure 4.3-2. Linear bearing pressure distribution due to eccentric loading ............................ 4-12
Figure 4.3-3. Normal bearing load and moment depicted as an equivalent offset load. .......... 4-12
Figure 4.3-4. Examples of estimated pressure distributions for various eccentricities. ............ 4-14
Figure 4.3-5. Area reduction factors for eccentrically loaded foundations (Ref. 4-3). .............. 4-15
Figure 4.3-6. Bearing capacity factors as a function of soil friction angle. ................................ 4-17
Figure 4.3-7. Possible failure modes when sliding resistance is exceeded ( Ref. 4-4). .............. 4-26
Figure 4.3-8. Soil stress increase beneath a rectangular foundation. ....................................... 4-37
Figure 4.4-1. Foundation sketch for example Problems 1 and 2. ............................................. 4-39
Figure 4.4-2. Forces considered in the overturning analysis for example Problem 1. .............. 4-47
Figure 4.4-3. Forces considered in the overturning analysis for example Problem 2. .............. 4-53
Figure 5.3-1. Flow chart for the pile design procedure. ..............................................................5-5
Figure 5.3-2. Design values for nh for cohesionless soils (Ref. 5-4). .......................................... 5-12
xvi

Figure 5.3-3. Design values for nh for cohesive soils. ................................................................ 5-13
Figure 5.3-4. Deflection coefficients Ay and By at the ground surface. ..................................... 5-14
Figure 5.3-5. Influence values for a pile with applied lateral load or moment (Ref. 5-2). ......... 5-20
Figure 5.4-1. Failure modes for pile anchors in a rock seafloor. ............................................... 5-22
Figure 5.5-1. Pile installation techniques. ................................................................................. 5-26
Figure 5.6-1. Problem sketch for example Problems 1 and 2, and soils data for example
Problem 1............................................................................................................................ 5-29
Figure 6.2-1. Sample impact/vibratory driven anchors. .............................................................6-2
Figure 6.2-2. Key features of impact/vibratory driven anchors. .................................................6-3
Figure 6.2-3. Sample plate anchor design (keying flaps not shown). ..........................................6-4
Figure 6.2-4. Jetted-in anchors (Ref. 6-3). ..................................................................................6-5
Figure 6.3-1. Flow chart for predicting the holding capacity of a direct-embedment anchor. ...6-8
Figure 6.5-1. Failure modes for shallow and deep embedded plate anchors. .......................... 6-11
Figure 6.5-2. Short-term holding capacity factors for cohesive soil where full suction
develops beneath the plate. ............................................................................................... 6-13
Figure 6.5-3. Long-term holding capacity factors and short-term no-suction factors for
cohesive soils. ..................................................................................................................... 6-13
Figure 6.5-4. Holding capacity factors for cohesionless soils. ................................................... 6-14
Figure 6.6-1. Nomenclature for types of non-steady loading (Ref. 6-10). ................................ 6-17
Figure 6.6-2. Time required for dissipation of stress-induced excess pore pressure
(Ref. 6-10). .......................................................................................................................... 6-19
Figure 6.6-3. Maximum cyclic load capacity without soil strength loss (Ref. 6-10)................... 6-20
Figure 6.6-4. Maximum (lifetime) cyclic load capacity without development of cyclic creep
(Ref. 6-10). .......................................................................................................................... 6-21
Figure 6.6-5. Strain rate factor, I, for cohesive soil (Ref. 6-11). ................................................ 6-23
Figure 6.6-6. Inertial factor, If, for cohesive and cohesionless soils (Ref. 6-11). ....................... 6-24
Figure 6.6-7. Strain-rate factor, I, for cohesionless soil (Ref. 6-11). ......................................... 6-26
xvii

Figure 6.9-1. Installation of Pile-Driven Plate Anchor. .............................................................. 6-29

Figure 6.9-2. Typical shape and components of a pile-driven plate anchor (plate length to
width ratio: 1.5 to 2.0). ....................................................................................................... 6-30
Figure 7.1-1. Features of a drag anchor (Ref. 7-5). .....................................................................7-2
Figure 7.1-2. Examples of different drag embedment anchors (Ref. 7-7). ..................................7-4
Figure 7.1-3. Example of a movable fluke anchor: STEVIN cast. .................................................7-5
Figure 7.1-4. Example of a fixed fluke anchor: BRUCE cast (Ref. 7-9). ........................................7-5
Figure 7.1-5. Example of bilateral fluke anchors. .......................................................................7-6
Figure 7.1-6. Example of a soft soil anchor: STEVMUD (Ref. 7-11). ............................................7-6
Figure 7.2-1. Development of a tripping problem in soft seafloors with an improperly set
anchor. ..................................................................................................................................7-7
Figure 7.2-2. Proper anchor setting sequence using two floating platforms. .............................7-8
Figure 7.2-3. Development of a tripping problem in hard seafloors. ..........................................7-9
Figure 7.2-4. Penetration and orientation behavior of an anchor in hard and soft seafloors. .. 7-11
Figure 7.2-5. Normalized anchor penetration depth and drag distance. .................................. 7-11
Figure 7.2-6. Forces on unstabilized and stabilized anchors in sand. ....................................... 7-13
Figure 7.2-7. Anchor in soft soil, after balling-up and pulling-out (Ref. 7-16). .......................... 7-13
Figure 7.3-1. Site survey plan decision flow chart. ................................................................... 7-16
Figure 7.5-1. Anchor chain system holding capacity at the mudline in soft soils. ..................... 7-23
Figure 7.5-2. Anchor chain system holding capacity at the mudline in hard soils. ................... 7-24
Figure 7.6-1. Typical performance of drag anchors when operating properly and
improperly. ......................................................................................................................... 7-30
Figure 7.7-1. A pendant line and buoy arrangement for semisubmersibles (Ref. 7-28). .......... 7-32
Figure 7.7-2. Chain chaser used to assist anchor deployment and recovery. ........................... 7-32
Figure 7.7-3. Tandem/piggyback anchor arrangements (Ref. 7-29). ........................................ 7-34
Figure 7.7-4. Parallel anchor arrangements.............................................................................. 7-35
xviii

Figure 8.2-1. Shallow static penetration model (Refs. 8-2 and 8-3). ...........................................8-3
Figure 8.2-2. Flow chart of the calculation procedure for predicting static penetration. ...........8-6
Figure 8.2-3. Location of the critical shear strength zone B for blunt and conical
penetrators (Ref. 8-3). ..........................................................................................................8-7
Figure 8.3-1. Forces acting on a penetrator before and after contact with the seafloor. ......... 8-10
Figure 8.3-2. Flow chart of the calculation procedure for predicting dynamic penetration. .... 8-16
Figure 8.4-1. Problem sketch and soils data for example Problem 1. ....................................... 8-17
Figure 8.4-2. Plot of predicted soil resistance to EPS penetration. ........................................... 8-20
Figure 8.4-3. Sketch for example Problem 2. ............................................................................ 8-21
Figure 9.1-1. Breakout analysis flowchart...................................................................................9-2
Figure 9.1-2. Illustration of breakout forces. ..............................................................................9-4
Figure 9.6-1. Water flow techniques. ....................................................................................... 9-16
Figure 9.6-2. Soil strength reduction techniques. ..................................................................... 9-17
Figure 9.6-3. Breakaway techniques. ........................................................................................ 9-18
Figure 9.6-4. Buoyancy techniques. .......................................................................................... 9-19
Figure 9.8-1. Problem sketch and data for example Problem 1. ............................................... 9-20
Figure 9.8-2. Problem sketch and data for example Problem 2. ............................................... 9-24
Figure 9.8-3. Problem sketch and data for example Problem 3. ............................................... 9-27
Figure 10.2-1. Average velocity as a function of mean grain size (Hjulstrms diagram,
Ref. 10-1). ........................................................................................................................... 10-2
Figure 10.2-2. Critical velocity as a function of mean grain size (Ref. 10-2).............................. 10-3
Figure 10.2-3. Critical velocity as a function of mean grain size (Ref. 10-2).............................. 10-3
Figure 10.2-4. Proposed erosion categories for soils and rocks based on velocity
(Ref. 10-2). .......................................................................................................................... 10-5
Figure 10.2-5. Proposed erosion categories for soils and rocks based on shear stress
(Ref. 10-2). .......................................................................................................................... 10-5
xix

Figure 10.2-6. Erosion Function Apparatus (Ref. 10-2). ............................................................ 10-6

Figure 10.2-7. Erosion function as measured in the EFA. ......................................................... 10-6
Figure 10.2-8. Velocity and shear stress profile versus flow depth (Ref. 10-2). ........................ 10-6
Figure 10.2-9. Range of shear stresses encountered in geotechnical engineering
(Ref. 10-2). .......................................................................................................................... 10-7
Figure 10.2-10. Wave Parameters. ........................................................................................... 10-8
Figure 10.2-11. Wave orbital velocity description (Ref. 10-5)................................................... 10-9
Figure 10.2-12. Local Wave Velocities (Ref. 10-5)..................................................................... 10-9
Figure 10.2-13. Schematic of unconfined propeller jet (Ref. 10-8). ........................................ 10-13
Figure 10.2-14. Scour hole produced by propeller wash (a) unconfined (b) confined
(Ref. 10-11). ...................................................................................................................... 10-14
Figure 10.2-15. Confined propeller jet (Ref. 10-11). ............................................................... 10-14
Figure 10.2-16. Clear water vs. live bed scour (Ref. 10-12). ................................................... 10-15
Figure 10.2-17. Scour depth versus time curves from flume tests (Ref. 10-13). ..................... 10-16
Figure 10.2-18. Common pier shapes (Ref. 10-12). ................................................................ 10-16
Figure 10.2-19. Attack angle () definition (Ref. 10-14). ........................................................ 10-18
Figure 10.2-20. Correction factor (Ka) for attack angle (Ref. 10-15). ...................................... 10-18
Figure 10.2-21. Bed forms (Ref. 10-16). .................................................................................. 10-18
Figure 10.2-22. Schematic of contraction scour (Ref. 10-13).................................................. 10-22
Figure 10.2-23. Abutment types (Ref. 10-17). ........................................................................ 10-23
Figure 10.2-24. Pipeline scour (Ref. 10-20). ............................................................................ 10-25
Figure 10.2-25. Onset of scour due to currents (Ref. 10-22). ................................................. 10-26
Figure 10.2-26. Onset of scour due to waves (Ref. 10-22). ..................................................... 10-27
Figure 10.3-1. Hydraulic roughness length definition. ............................................................ 10-30
Figure 10.4-1. Time rate of scour............................................................................................ 10-34
Figure 10.4-2. Complex pier scour (Ref. 10-12). ..................................................................... 10-35
xx

Figure 10.4-3. Projected width of piles in pile group (a) aligned with flow, and (b) not
aligned with flow (Ref. 10-12). .......................................................................................... 10-39
Figure 10.4-4. Particle fall velocity (Ref. 10-35). ..................................................................... 10-43
Figure 10.4-5. Definition of rudder angle. .............................................................................. 10-47
Figure 10.6-1. Pier scour example. ......................................................................................... 10-61
Figure 10.6-2. Time rate of pier scour example. ..................................................................... 10-61
Figure 10.6-3. Contraction scour example. ............................................................................. 10-67
Figure 10.6-4. Time rate of contraction scour example. ......................................................... 10-67
Figure 10.6-5. Abutment scour example. ............................................................................... 10-72
Figure 10.6-6. Seawall scour example. ................................................................................... 10-74
Figure 10.6-7. Pipeline scour example. ................................................................................... 10-75
Figure 10.6-8. Propeller scour example. ................................................................................. 10-77
Figure 10.6-9. Footing scour example. ................................................................................... 10-79

xxi

LIST OF TABLES
Table 1.3-1. Features of Shallow Foundations and Deadweight Anchors ...................................1-4
Table 1.3-2. Features of Pile Foundation and Anchor Systems. ..................................................1-5
Table 1.3-3. Features of Direct-Embedment Anchors.................................................................1-6
Table 1.3-4. Features of Drag-Embedment Anchor Systems ......................................................1-7
Table 1.3-5. Performance of Foundation and Anchor Types as a Function of
Seafloor and Loading Conditions ..........................................................................................1-8
Table 2.1-1. Site Data Requirements for Categories of Geotechnical Engineering
Applications ..........................................................................................................................2-2
Table 2.1-2. Soil Parameters Normally Required for Categories of Geotechnical Engineering
Applications ..........................................................................................................................2-3
Table 2.1-3. Historical Environmental Information Needed to Assess Geotechnical Hazards ....2-4
Table 2.3-1. Steps in a Typical Regional Survey ........................................................................ 2-17
Table 2.4-1. Steps in a Typical Site-Specific Survey ................................................................... 2-23
Table 2.4-2. Shallow Soil Sampler Types and Applications ....................................................... 2-24
Table 2.5-1. In-Situ Tests, Applications, and Some Equipment Characteristics ........................ 2-32
Table 3.2-1. Size Range Limits for Two Soil Classification Systems .............................................3-2
Table 3.3-1. Requirements for Index Property Tests (Ref. 3-4)...................................................3-6
Table 3.3-2. Some Index and Engineering Properties of Ocean Sediments (Most Data
Limited to Upper 2 Meters of Seafloor) (Ref. 3-5).................................................................3-7
Table 3.4-1. Requirements for Engineering Property Tests (Ref. 3-4) ...................................... 3-14
Table 4.2-1. Soil Properties Required for Analysis and Recommended Factors of Safety...........4-7
Table 4.3-1. Summary of Steps in the Design of Shallow Foundations and Deadweight
Anchors .................................................................................................................................4-8
Table 4.3-2. Coefficient of Friction Between Cohesionless Soils and Marine Construction
Materials ............................................................................................................................. 4-28
Table 4.3-3. Shape Factors for Rigid Footings on Soft Seafloor ................................................ 4-34
xxii

Table 5.2-1. Pile Types ................................................................................................................5-2

Table 5.2-2. Mooring Line Connections ......................................................................................5-3
Table 5.2-3. Techniques to Improve Pile Lateral Load Capacity ..................................................5-3
Table 5.3-1. Properties of Cohesionless Soil Useful in Pile Design ..............................................5-6
Table 5.3-2. Properties of Cohesive Soils Useful in Pile Design...................................................5-7
Table 5.3-3. Properties of Calcareous Soil Useful in Pile Design .................................................5-7
Table 5.3-4. Bearing Capacity Factors for Chain Lateral Force in Sand (Ref. 5-3) .......................5-9
Table 5.3-5. Recommended Limiting Values for Unit Skin Friction ........................................... 5-16
Table 5.4-1. Rock Properties (Ref. 5-8) ..................................................................................... 5-24
Table 6.3-1. Conditions Complicating or Hazardous to Direct-Embedment Anchor Use ............6-9
Table 6.5-1. Values for Strength Reduction Factor for Use in Equation 6-3.............................. 6-16
Table 6.6-1. Average Values of Soil Permeability (Ref. 6-10). ................................................... 6-19
Table 6.7-1. Factors Associated With Direct-Embedment Anchors Which Can Influence
Submarine Slope Stability (Ref. 6-12) .................................................................................. 6-27
Table 7.3-1. Estimated Maximum Fluke Tip Penetration of Some Drag Anchor Types in Soil .. 7-15
Table 7.4-1. Rating of Drag Anchor Types Based on Tripping and Dig-In, Roll Stability, and
Holding Capacity Efficiency ................................................................................................. 7-18
Table 7.5-1. Parameters m and b Used in Equation 7-2: HM = m (Wa)b ..................................... 7-22
Table 7.5-2. Average Anchor Efficiency for Small (< 200-lb) Anchors ....................................... 7-25
Table 7.5-3. Parameters Nc and f used for Clays and Cohesive Silts in Equation 7-4:
HA = Nc (f B L) su.................................................................................................................. 7-27
Table 7.5-4. Recommended Line Tension Limits and Factor of Safety on Mooring Lines ......... 7-28
Table 7.5-5. Recommended Factors of Safety for Drag Embedment Anchors ......................... 7-28
Table 7.6-1. Troubleshooting Procedures for Correcting Drag Anchor Performance
Problems ............................................................................................................................. 7-29
Table 8.3-1. Values of Constants Used in Equation 8-9 ............................................................ 8-13
xxiii

Table 8.4-1. Summary of Calculations for Problem 1................................................................ 8-20

Table 8.4-2. Summary of Calculations for Problem 2................................................................ 8-29
Table 9.5-1. Factors for Determining Long-Term-Lift Breakout Times at Selected Levels of
Confidence .......................................................................................................................... 9-14
Table 10.2-1. Factors Influencing Erodibility (Ref. 10-2) ........................................................... 10-4
Table 10.2-2. Relationship Between d/Lo and d/L................................................................... 10-11
Table 10.2-3. Important Wave Parameters Linear Wave Theory (Ref. 10-5). ...................... 10-12
Table 10.2-4. Correction factor for pier nose shape (Ref. 10-12). .......................................... 10-17
Table 10.2-5. Correction factor for bed conditions (Ref. 10-12). ............................................ 10-19
Table 10.2-6. Correction factor for abutment shape (Ref. 10-12). ......................................... 10-24
Table 10.3-1. Nikuradse equivalent bed roughness (After Ref. 10-30). .................................. 10-31
Table 10.4-1. Exponent for live-bed contraction scour (Ref. 10-12). ...................................... 10-42
Table 10.4-2. Average values for Mannings coefficient (Ref. 10-36). .................................... 10-44
Table 10.5-1. Portable versus fixed instrumentation (Ref. 10-50). ......................................... 10-58
Table 10.5-2. Portable instrumentation summary (Ref. 10-50). ............................................. 10-58
Table 10.5-3. Fixed instrumentation summary (Refs. 10-51 and 10-50)................................. 10-59

xxiv

1 INTRODUCTION
1.1 OBJECTIVE
Marine geotechnical engineering is the application of scientific knowledge and
engineering techniques to the investigation of seafloor materials and the definition of the
seafloors physical properties. The responses of these seafloor materials to foundation and
mooring elements, as well as other seafloor engineering related behaviors and processes, are
addressed in this document. This Handbook for Marine Geotechnical Engineering brings
together the more important aspects of seafloor behavior and Navy Ocean Engineering
problems.
The Navy installs, or may require installation of, a variety of facilities fixed to the
continental shelves and slopes, to the submarine slopes of seamounts and islands, and to the
deep ocean floor. Some of these facilities rest on shallow foundations resembling a spread
footing or on pile-like foundations. Other may be surface or subsurface-moored types where a
buoyant element is tethered to the seafloor by uplift-resisting foundations such as piles, or
propellant-embedded or drag-embedment anchors. Behavior of mooring elements lying on or
embedded in the seafloor is dependant on the physical properties of the materials making up
the seafloor in the immediate area. In addition, scour and slope stability problems may exist or
may be created by the placement of these elements.
Navy military and civilian engineers will be required to plan for, design, supervise
construction of or have technical responsibility for these facilities. Geotechnical aspects of
engineering problems associated with the facilities are difficult for Navy engineers to address
because of the highly specialized nature of most geotechnical topics. Also, due to a general lack
of historical precedence for seafloor construction, a low level of understanding of seafloor soil
behavior exists. Much of what does exist is published in documents not widely distributed. The
Handbook brings this information together. It is intended for use by Navy engineers who do not
have an extensive background in geotechnical engineering. The Handbook is not an all-inclusive
design manual. Rather, the objective of the Handbook is to familiarize engineers with
geotechnical aspects of problems, serve as a design guide for relatively uncomplicated
problems, and be a technical directory to more complete discussions and to more sophisticated
analysis and design procedures. Although it is intended for use with deep ocean problems
(nominally beyond the continental shelf or below about 600 feet), the information contained in
the Handbook is applicable to problems in shallow water as well.

1-1

1.2 HANDBOOK ORGANIZATION

This Handbook has 10 chapters; an Introduction, and nine technical chapters grouped
into three major sections: PROPERTIES DETERMINATION, DESIGN OF FOUNDATIONS AND
ANCHORS, and OTHER SEAFLOOR PROBLEMS.
The Introduction serves as a guide to the remaining chapters. It lists generalized
features for each type of foundation and anchor, and can assist the reader in selection of an
appropriate foundation or anchor type based on environmental conditions and structural
requirements.
The Properties Determination section, consisting of Chapters 2 and 3, discusses on-site
and laboratory determination of soil properties and presents physical property models for major
seafloor soil types. Chapter 2 describes the various aspects of surveying a site, including a
preliminary desk stop study and survey planning through brief descriptions of remote survey
equipment, shallow and deep sampling equipment, and in-situ soil properties testing
equipment. Chapter 2 also contains a section on estimating soil properties for use in a
preliminary design when no field data are available. Chapter 3 describes the laboratory tests
performed on recovered soil samples to generate index and engineering properties data
required for analysis and design of seafloor structures. Use of index properties to classify the
soil and to correlate with engineering properties is also described.
The Design of Foundations and Anchors section, consisting of Chapters 4 through 7,
describes the use of topographic, stratigraphic, and soil properties information necessary to
predict capacities of foundation and anchor systems. Chapter 4 covers the design of shallow
foundations and deadweight anchors bearing on the seafloor surface. Design of piles for use as
foundations or anchors is discussed in Chapter 5. Plate-shaped anchors embedded in the
seafloor are treated in Chapter 6. Chapter 7 covers the selection and sizing of drag-embedment
anchors; only the resistance developed from anchor and chain interaction with seafloor
materials is discussed and not the design of a complete mooring system. References 1-1, 1-2,
and 1-3 can be consulted for information regarding complete mooring systems.
In the Other Seafloor Problems section three other aspects of marine geotechnical
engineering are discussed. Chapter 8 describes techniques for predicting the depth of
penetration of objects into the seafloor. The techniques can be used for penetration predictions
with large and small objects of various shapes (such as lost hardware, instrument packages, or
foundation elements) impacting the seafloor at high or low initial velocities. The procedures
described in Chapter 8 can also be used to predict the force required to embed a given object to
a specified subbottom depth (shear keys below a bottom-resting foundation, for example).
Chapter 9 presents techniques for predicting the force or time required for breakout of objects
embedded in the seafloor and discusses conditions that can have a significant effect on
breakout. Analytical techniques are given for two significantly different cases full-suction and
zero-suction along with a discussion of mechanical techniques that can reduce the breakout
forces and time requirements. Chapter 10 describes scour prediction techniques. It is directed
1-2

primarily toward scour problems around objects on the seafloor (local scour), but includes a
discussion of nearshore seasonal seafloor profile changes. Most information on scour is drawn
from historical observations and model studies of nearshore and river conditions. Insight from
these studies is extrapolated to conditions more likely to exist in deeper marine environments.
Each chapter has a list of references and symbols used in that chapter. Example
problems, which outline design or calculation procedures, are presented at the end of each
chapter that includes design procedures.

1.3 SELECTION OF FOUNDATION/ANCHOR TYPE

Chapters 4, 5, 6, and 7 each describe a different type of foundation or anchor
deadweight, pile, direct-embedment, and drag-embedment (Figure 1.3-1). Each of these
foundation and anchor types has strong points or features. This section summarizes these
features (Table 1.3-1 through Table 1.3-4) to provide guidance on selecting the optimum
foundation or anchor type for a given set of problem conditions.

Figure 1.3-1. Simplified anchor types.

1-3

Shallow foundations and deadweight anchors are widely used in the deep ocean
environment because they are simple and readily sized for most seafloor types and loading
conditions. However, they do not perform well on steep sloping seafloors. In addition,
deadweight anchors are not very efficient (that is, the ratio of lateral load resistance to anchor
weight is low compared to other lateral-load-resisting anchor types). Table 1.3-1 lists these and
other features of the shallow foundations and deadweight anchors.
Pile foundations and anchors are used where less expensive types of shallow
foundations and anchors cannot mobilize sufficient resistance. A principal drawback of piles for
the deep ocean is the highly specialized equipment needed for installation and the associated
very high mobilization and installation costs. Table 1.3-2 lists features of piles used for
foundations and anchors on the seafloor.
Direct-embedment anchors can be driven into seafloor soils by impact, vibratory, water
jetting, augered-in systems. Some of the more significant advantages of the direct-embedment
anchors are: (1) their very high holding-capacity-to-weight ratio and (2) their resistance to nonhorizontal loading, which permits short mooring line scopes and tighter moorings. Other
features of direct-embedment anchors are listed in Table 1.3-3.
Table 1.3-1. Features of Shallow Foundations and Deadweight Anchors

Features of Shallow Foundations and Deadweight Anchors

1. Simple, on-site construction feasible, can be tailored to task.
2. Size limited only by load-handling equipment.
3. Reliable on thin sediment cover over rock.
4. Lateral load resistance decreases rapidly with increase in seafloor slope.
Additional Features of Deadweight Anchors
1. Vertical mooring component can be large, permitting shorter mooring line scope.
2. No setting distance required.
3. Reliable resisting force, because most resisting force is directly due to anchor mass.
4. Material for construction readily available and economical.
5. Mooring line connection easy to inspect and service.
6. A good energy absorber when used as a sinker in conjunction with non-yielding
anchors (pile and plate anchors).
7. Works well as a sinker in combination with drag-embedment anchors to permit shorter
mooring line scopes.
8. Lateral load resistance is low compared to other anchor types.
9. In shallow water, the large mass can be an undesirable obstruction.
1-4

Table 1.3-2. Features of Pile Foundation and Anchor Systems.

Features of Pile Foundations and Pile Anchors

1. Requires highly specialized installation equipment.
2. Transmits high axial loads through soft surficial sediments down to competent bearing
soils or rock.
3. Can be designed to accommodate scour and resist shallow mudflows.
4. Can be installed and performs well on substantial slopes.
5. Can be installed in hard seafloors (rock and coral) by drill-and-grout technique.
6. Drilled-and-grouted piles require more specialized skills and installation equipment and
incur high installation costs.
7. Wide range of sizes and shapes are possible (pipe, structural shapes).
8. Field modifications permit piles to be tailored to suit requirements of particular
applications.
9. Costs are high and increase rapidly in deeper water or exposed locations where more
specialized installation vessels and driving equipment are required.
10. Accurate soil properties are required for design.
Additional Features of Pile Anchors
1. High lateral capacities (greater than 100,000 lb) achievable.
2. Resists high uplift as well as lateral load, permitting use with short mooring line scopes.
3. Anchor setting not required.
4. Anchor dragging eliminated.
5. Short mooring line scopes permit use in areas of limited sea room or where vessel
excursions must be minimized.
6. Pile anchor need not protrude above seafloor.
7. Driven piles are cost competitive with other high-capacity anchor when driving
equipment is available.
8. Special equipment (pile extractor) may be required to retrieve or refurbish the mooring,
or new pile and pendant must be installed.
9. More extensive and better quality site data are required than the data required for
other anchor types.
10. Pile capacity goes to zero when its capacity as an anchor is exceeded and pullout occurs
(is a non-yielding anchor).

1-5

Table 1.3-3. Features of Direct-Embedment Anchors.

Features of All Direct-Embedment Anchors

1. High capacity (greater than 100,000 lb) achievable.
2. Resists uplift as well as lateral loads, permitting moorings of short scope.
3. Anchor dragging eliminated.
4. Higher holding-capacity-to-weight ratio than other anchor types.
5. Handling is simplified due to relatively light weight.
6. Accurate anchor placement is possible; no horizontal setting distance necessary.
7. Does not protrude above the seafloor.
8. Possibly susceptible to strength reduction accompanying cyclic loading when used in
taut moorings in loose sand and coarse silt seafloors.
9. For critical moorings, soil engineering properties required.
10. Anchor typically not recoverable.
11. Anchor may be susceptible to abrasion or fatigue.
Features Unique to Screw-In, Vibrated-In, and Hammer-Driven Plate Anchors
1. Can better accommodate layered seafloors (seafloors with variable resistance) because
of continuous power expenditure during penetration.
2. Penetration is controlled and can be monitored.
3. Surface vessel must maintain position during installation.
4. Operational water depth is limited by power and line strength when using surfacepowered equipment.
5. Operation limited to sediment seafloors.

Table 1.3-4 lists features of drag-embedment anchors. Although these anchors can
develop high capacities, the load on a drag anchor is usually limited to one direction, and the
mooring line angle at the seafloor must be virtually horizontal. The holding capacity of drag
anchors decreases very quickly as mooring line angles exceeds approximately 6.
To assist in understanding the advantages and disadvantages of the various anchor
types, Table 1.3-5 compares how well they function under different conditions. Judgments of
expected performance have been made primarily on the basis of holding capacity and relative
cost. It should be noted that Table 1.3-5 is an expeditious guide for general use, and special
circumstances can shift the performance ratings.

1-6

Table 1.3-4. Features of Drag-Embedment Anchor Systems

Features of Drag-Embedment Anchors

1. Wide range of anchor types and sizes available.
2. High capacity (greater than 100,000 lb) achievable
3. Most anchors are standard off-the-shelf equipment.
4. Broad experience with use.
5. Can provide continuous resistance even though maximum capacity has been exceeded.
6. Is recoverable.
7. Does not function well in rock seafloors.
8. Behavior is erratic in layered seafloors.
9. Low resistance to uplift loads; therefore, large line scope required to cause near
horizontal loading at seafloor.
10. If dragging is not acceptable, anchor must be pulled horizontally at high loads (higher
than expected service load) to properly penetrate and set.
11. Dragging of anchor to achieve penetration can damage pipelines, cables, etc.
12. Loading must be limited to one direction for most anchor types and applications.
13. Exact anchor placement limited by ability to estimate setting distance.

1-7

Table 1.3-5. Performance of Foundation and Anchor Types as a Function of

Seafloor and Loading Conditions

Item

Performancea for Following Types:

Direct
Deadweight
Pile
Drag
Embedment

Seafloor Material Type

Soft clay, mud

++

++

++

Soft clay layer (0-20 ft thick), over

hard layer

++

++

Stiff clay

++

++

++

++

Sand

++

++

++

++

Hard glacial till

++

++

++

Boulders

++

Soft rock or coral

++

++

++

Hard, monolithic rock

++

Moderate slopes, <10 deg

++

++

++

++

Steep slopes, >10 deg

++

++

Downward load component

(foundations)

++

++

Omni-directional (not down)

++

++

++

Uni-directional (not-down)

++

++

++

++

Large uplift component

++

++

++

To 100,000 lb

++

++

++

100,000 to 1,000,000 lb

++

++

Over 1,000,000 lb

++

Seafloor Topography

Loading Direction

Lateral Load Range

++ = functions well
+ = normally is not the preferred choice
o = does not function well

1-8

1.4 REFERENCES
1-1.

Unified Facilities Criteria (UFC): Military Harbors and Coastal Facilities, Naval Facilities
Engineering Command (Preparing Activity), UFC 4-150-06. Washington, DC, Dec 2001.

1-2.

API Recommended Practice for the Analysis of Spread Mooring Systems for Floating
Drilling Units, 2nd Edition, American Petroleum Institute, API RP 2P. Dallas, TX, May 1987.

1-3.

Rules for Building and Classing Mobile Offshore Drilling Units, American Bureau of
Shipping, ABS 6-2008. New York, NY, Oct 2008.

1-9

[This page intentionally left blank]

1-10

2 SITE SURVEY AND IN-SITU TESTING

2.1 INTRODUCTION
2.1.1

Purpose

This chapter summarizes the considerations and methods used to aid in the selection
and characterization of a site for bottom-resting or moored platforms in the deep ocean.
2.1.2

Factors Influencing the Site Survey

2.1.2.1 Constraints
There are many factors that influence site surveys, including the survey constraints. In
general, the type and detail of site data sought will be a function of the following constraints:

Value and replacement cost of platform

Impact of platform failure (primarily) on human life or project risk

Purpose of the platform

Topography and seafloor material type

Any pre-survey requirements for an exact geographical location

Types of man-induced and environmental loadings

Type and size of the foundations or anchors

Availability of personnel, equipment, and survey support platforms

2.1.2.2 Minimum Required Data

Table 2.1-1 is a summary of site data requirements for various geotechnical engineering
applications. The level of importance or need for each site data element is also identified in the
table. A High need indicates the information is mandatory, while N/A indicates the data is
not needed for design. Low in Table 2.1-1 indicates a low requirement level, which may result
from either: (1) a low impact of this data element on the system design and performance, as in
the low impact of micro-topography on drag anchor performance or (2) a technical inability to
use this data element in design because analysis techniques are not developed, as in the
inability to use dynamic soil properties in drag anchor design due to an absence of a
performance-related model. Table 2.1-2 lists site data required for each of the geotechnical
engineering applications.
2-1

Table 2.1-1. Site Data Requirements for Categories of Geotechnical Engineering Applications
Requirements for Following Site Data:
Geotechnical
Engineering
Application

Bathymetry
Macro
(>3ft)

Micro
(<3ft)

Shallow Foundations/
Deadweight Anchors

High

High

Deep Foundations/
Pile Anchors

High

Direct-Embedment
Anchors

Material
Thickness

Sediment

Rock

Index
Properties

In-Situ
Strength

Laboratory
Strength

Dynamic
Response

Index
Properties

Laboratory
Strength

Low

High

High

Low

Low

Low

High

Low

High

High

High

High

High

High

High

Low

N/A

High

High

High

High

High

High

Low

Drag Anchors

High

Low

High

High

Low

Low

Low

N/A

High

Penetration

N/A

N/A

High

High

High

Low

High

High

N/A

Breakout

Low

Low

N/A

High

Low

High

N/A

N/A

Low

Scour

High

High

N/A

High

Low

N/A

N/A

N/A

High

Slope Stability

High

High

High

High

High

High

Low

Low

High

2-2

Table 2.1-2. Soil Parameters Normally Required for Categories of Geotechnical Engineering Applications
Geotechnical
Engineering
Applications

Soil
Classification

Grain
Size

Atterberg
Limits

Strength
Properties
Clay

Compression Properties
Depth of Survey

Sand

su, St

Clay

Sand

cv, k

Cc

Cc

Shallow Foundations

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

1.5 to 2 x foundation width

Deadweight Anchors

Yes

No

No

Yes

Yes

No

No

No

1.5 to 2 x anchor width

Deep Pile
Foundations

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

1 to 1.5 x pile group width, below individual pile

tips

Pile Anchors

Yes

Yes

Yes

Yes

Yes

No

No

No

To depth of pile anchor

Direct-Embedment
Anchors

Yes

Yes

No

Yes

Yes

Yes

No

No

To expected penetration of anchor; maximum 33

to 50 ft clay; 13 to 33 ft sand

Drag Anchors

Yes

Yes

No

Yes

No

No

No

No

33 to 50 ft clay; 10 to 16- ft sand for large

anchors

Penetration

Yes

Yes

No

Yes

Yes

No

No

No

33 to 50 ft clay; 13 to 33 ft sand

Breakout

Yes

Yes

Yes

Yes

Yes

No

No

No

1 x object width plus embedment depth

Scour

Yes

Yes

No

Yes

No

No

No

No

3.3 to 16- ft; related to object size and water

motion

Slope Stability

Yes

Yes

Yes

Yes

Yes

No

No

No

33 to 100 ft; more on rare occasions

2-3

2.1.2.3 Regional Versus Site-Specific Surveys

Some projects or project phases require general information from a large region,
whereas others require more accurate data from a smaller geographic area. For example, a
manned habitat installation may require low-precision data resulting from a regional survey
over a large area to determine an adequate or a best location for its placement; whereas, design
for the habitat's foundation needs high-precision data from the selected site.
Since regional surveys compare sites or cover large distances, detailed information is
generally neither possible nor needed. Site-specific studies on the other hand require more
detailed information that is used in design. Regional surveys typically include geophysical data
collection with limited soil sampling, such as gravity coring. Deep soil borings and in-situ tests
are not typically used for site selection. Once a site has been selected however, site-specific data
are usually collected by from by soil sampling and by in-situ testing. Geophysical and geological
information beyond that collected during the regional survey may also be needed, depending on
the project complexity.
2.1.2.4 Hazardous Conditions
The scope of the site investigation will be influenced by an acceptable level of risk of the
project to geotechnical hazards; including earthquake loading, faulting, liquefaction, submarine
landslides, gas hydrates, erosion, and the presence of underconsolidated sediments. These
conditions must be assessed for sites being evaluated.
Table 2.1-3 outlines historical environmental information needed for assessment of
geotechnical hazards from earthquakes, winds, waves, and currents. Investigation of
environmental factors and hazardous features can be pursued initially by an examination of
existing maps, charts, and bottom environmental data (Section 2.2.1).
Table 2.1-3. Historical Environmental Information Needed to Assess Geotechnical Hazards

Hazard

Information Needed

Earthquakes

Frequency, Magnitude, Peak

Accelerations, Response Spectra

Wind

Velocity Distribution, Direction

Distribution, Maximum Wind Velocity

Waves

Wave Height Distribution, Maximum

Wave Height, Direction Distribution

Currents

Vertical Velocity Profile, Distribution of

Current Velocity
2-4

2.1.2.5 Positioning Capability

The ability to reference a site survey and position a platform on the seafloor may dictate
the scope of the site investigation. A precise determination of horizontal and vertical position is
a critical aspect of both geophysical and geotechnical investigations for a specific installation.
Positioning an object on the seafloor usually requires location of the object with respect
to the surface vessel and location of the vessel with respect to geographical coordinates. Using a
state-of-the-art Global Positioning Systems (GPS), the vessel position can be measured to an
accuracy of 3 to 5 meters. Positional accuracy can be improved to 1 meter if a Differential GPS
(DGPS) system is used. DGPS systems use a network of ground based reference stations to
enhance the accuracy of the GPS derived location. The U.S. Coast Guard runs a DGPS system
that is broadcast at major waterways and harbors.
Relative seafloor-to-surface positions are measured by sonar transponders to accuracies
on the order of 0.1% of the distance being measured.

2.2 DESK TOP STUDY

2.2.1

Information Sources

In a preliminary survey of a site, one important step, generally referred to as a desk top
study, is the search for available information from previous investigations near the site.
Findings from the desk top study can provide area information, as well as site-specific data, and
aid in planning for a more detailed survey.
Information can be obtained from a variety of governmental, industrial, and educational
institutions. Sources of information on geological and geotechnical properties of ocean
sediments and on earthquake and earthquake effects are given in the following lists. Many of
the sources listed below have online data repositories that can be accessed online by searching
for the source name through any standard search engine.
Universities and Government Organizations

Naval Facilities Engineering Service Center, Oceans Department

Digital Bathymetric Data Base Variable Resolution (DBDB-V) from the U.S. Naval
Oceanographic Office (NAVOCEANO)

USGS Woods Hole Coastal and Marine Science Center

USGS Pacific Coastal and Marine Science Center

National Ocean Service, National Oceanic and Atmosphere Administration

Lamont-Doherty Earth Observatory, The Earth Institute at Columbia University

2-5

National Environmental Satellite, Data, and Information Service (NESDIS), National

Oceanic and Atmospheric Administration Satellite and Information Service

Naval Oceanographic Office, NAVO

Scripps Institution of Oceanography

Woods Hole Oceanographic Institution

Texas A&M University, Ocean Drilling Program Janus Database

Journals and Conference Proceedings

U.S. Exclusive Economic Zone (EEZ) GLORIA Mapping Program

Canadian Geotechnical Journal, National Research Council of Canada

Civil Engineering in the Oceans (I through VI), American Society of Civil Engineers

Geotechnique, The Institution of Civil Engineers, London, England

Journal of Geotechnical and Geoenvironmental Engineering, American Society of Civil

Engineers

Marine Georesources & Geotechnology, Taylor & Francis

Ocean Engineering, An International Journal of Research and Development, Elsevier

Offshore Technology Conference, Houston

Sources of Data on Earthquakes and Earthquake Effects

Incorporated Research Institutions for Seismology, IRIS

National Earthquake Information Center, NEIC, United States Geological Survey

Consortium of Organizations for Strong Motion Observations Systems, COSMOS

United States National Strong-Motion Project, NSMP, United States Geological Survey

Internet Site for European Strong Motion Data, ISED

American Meteorological Society

Bulletin of the Seismological Society of America

2-6

Journal of Geophysical Research, American Geophysical Union

Seismological Laboratory, California Institute of Technology, Division of Geological and

Planetary Sciences

University of California, Berkeley Seismoligical Laboratory

University of Hawaii at Manoa, Hawaii Institute of Geophysics and Planetology

University of Tokyo, Hongo, Bunkyo-Ku, Tokyo, Japan

2.2.2

Typical Ocean Sediments

2.2.2.1 Sediment Types

Seafloor sediments are referred to by origin as either terrigenous (land-derived) or
pelagic (ocean derived). Figure 2.2-1 shows the distribution of surface sediments over the
world's oceans.
A majority of terrigenious sediments are located on the continental shelves and slopes
and are also known as neritic sediments. Terrigenous sediment may also be found beyond the
continental slope, on the continental rise and abyssal plain, as a result of transport by slope
failures and turbidity currents.
Terrigenous soils, described below, include gravels, sands, silts, and clays. These soils are
formed on or adjacent to land; are transported by currents, wind, or iceberg rafting to the deep
sea; and contain >30% silt and sand-sized particles of land origin.

Terrigenous Silty Clays, or Muds bordering continents

Turbidites sand, silt, and clay deposits transported great distances into deep water
areas by turbidity currents; characterized by graded bedssands at bottom grading
to clays at top

Slide Deposits and Volcanic Ash derived from slumps on marine slopes or from
volcanoes

Glacial Marine Soils coarse-grained sediments produced by glacial scouring of land

features

2-7

Pelagic sediments, described below, include abyssal clays, siliceous oozes, and
calcareous oozes. These soils are formed in the sea, are composed of clays or their alteration
products or skeletal material from plants or animals, and cover 75% of the seafloor.

Abyssal Clays contain <30% biogenous material, silty clays of very high plasticity

Authigenic Deposits minerals precipitated and crystallized in seawater,

predominantly manganese nodules and phillipsite

Biogenous Oozes derived from marine organisms and plants

Calcareous Oozes contain >30% biogenous calcium carbonate material,

includes coralline deposits, calcareous sands (oolithes) and shells, and finegrained remains of microscopic animals (oozes)

Siliceous Oozes contain >30% siliceous fine-grained remains of plants and

animals

2-8

Conhnontat
(l.lthogonou5)

EJ

Abyual
clay

CAlcareous
OOlG

S1heeous ooze
Dalom

~adiolar~<~n

Figure 2.2-1. Ocean Sediment Distribution (Ref. 2-1).

2-9

The pelagic sediments are composed primarily of wind-blown dust (abyssal clays) or
calcareous or siliceous biogenous materials. The abyssal clays are usually found at water depths
deeper than the carbonate compensation depth (CCD) (Figure 2.2-2). The CCD is defined as the
depth above which the calcium carbonate dissolution is less than the carbonate supply. This
depth is nominally 4,500 meters but can vary with temperature and salinity. Calcareous ooze
(sediment composed of at least 30% by weight of remains of organisms whose hard parts are
calcium carbonate) is usually found at depths shallower than the CCD. Siliceous oozes are found
in ocean areas of high surface productivity, usually where the seafloor depth is below the CCD. A
world wide distrubtuion of calcium carbonate in surface sediments is shown in Figure 2.2-3.

Figure 2.2-2. Characteristics of water above and below the calcite compensation depth (CCD) (Ref. 2-1).

2-10

of

PACIF C
OCEAN

Great r than 80% by wetght

PblQ bOund.lfy

Figure 2.2-3. Distribution of calcium carbonate in modern surface sediments (Ref. 2-1).

2-11

2.2.2.2 Sediment Consolidation State

Three terms are used to describe the existing state of a soil: overconsolidated, normally
consolidated, and underconsolidated. Overconsolidated sediments have been subjected to a
greater load (overburden) in the past than exists at present. They have been compressed and
become stronger. The overconsolidation (OC) phenomenon can also result from many chemical
or physical processes. Normally consolidated (NC) materials have never been loaded by
overlying material more than they are now. Underconsolidated sediments are young. That is,
they have not come to equilibrium with the weight of overlying materials and are weaker than
they will be when this equilibrium is reached. Permeability characteristics generally limit
underconsolidation to the fine-grained cohesive soils.
The degree of consolidation is important to a site investigation because it dictates the
existing state and, therefore, the strength of the material. In a normally consolidated soil,
strength generally increases with depth in proportion to the weight of soils which lie above. For
a particular soil, strength at equal depths below the seafloor will be greatest for
overconsolidated soils and least for underconsolidated soils. Soil compressibility will vary
inversely with the degree of consolidation, being least for overconsolidated and most for
underconsolidated.
For pelagic sediments, it is usually correct and conservative to assume that they are
normally consolidated. In contrast, terrigenous (neritic) sediments are often overconsolidated,
particularly those sediments that were exposed when the sea level was significantly lower than
at present. No consistent rule exists for locating overconsolidated sediments except that
exposed locations (such as tops of rises or passages) are more likely to be overconsolidated than
are protected areas (such as basins). Underconsolidated sediments are almost always found
where fine-grained soils are being deposited at a very high rate. In active river deltas, such as
near the Mississippi River Delta, there may be little-to-no increase in soil strength with
increasing depth below the sea bottom.
2.2.2.3 Estimating Soil Properties
For planning a geotechnical survey or design of a nonsensitive, bottom-resting device,
estimates of the soil engineering properties can be developed when the marine geological
province is known. First, the probable soil type for that province is identified from Figure 2.2-4;
then the soil shear strength and buoyant unit weight parameters are estimated from data
extrapolations presented in Figure 2.2-5 through Figure 2.2-9. Additional discussion of sediment
types and properties can be found in other chapters where they apply to specific chapter
subjects.

2-12

Figure 2.2-4. Marine geological provinces and probable soil types.

When the site is on the continental shelf or slope, the sediment is assumed terrigenous.
Available National Ocean Survey charts should be consulted to determine whether the sediment
is primarily cohesionless (sandy) or cohesive (mud or clay). If the sediment is cohesive, Figure
2.2-5 is used for the strength distribution of normally consolidated sediment. A literature search
is made for strong indications of overconsolidation (e.g., recorded outcrops of older sediments
or an exposed location such as rise top, high recorded bottom currents). If sufficient evidence
exists that overconsolidated soils are suspected, it would be prudent to drop some
penetrometers or short gravity corers.
Nonpenetration or slight penetration with attainment of minimal sample length
suggests that overconsolidated sediment does indeed exist. Typical sand properties are given in
Figure 2.2-6. If the location is near a large active river delta, the site must be surveyed directly.
When the site location is beyond the continental margins, the probable sediment type
can be identified from Figure 2.2-1. If the sediment is classed as a turbidite, Figure 2.2-6 gives
typical parameters for proximal and distal turbidites. The distinction is made based on the
distance from a source of sand (e.g., the edge of the continental shelf) as follows: if the distance
is greater than about 30 miles, the sediment is probably a distal turbidite.

2-13

Figure 2.2-5. Typical strength profile for hemipelagic terrigenous silty clay.

Figure 2.2-6. Typical strength profiles for proximal and distal turbidites.

2-14

Figure 2.2-8. Typical strength profiles for abyssal clay.

Figure 2.2-7. Typical strength profiles for calcareous ooze.

2-15

Figure 2.2-9. Typical strength profile for siliceous ooze.

If the sediment is classed as siliceous ooze (diatom or radiolarian ooze, Figure 2.2-1), the
typical properties can be found in Figure 2.2-9. If the site is in the deep ocean and not an
abyssal plain, it must be determined whether its water depth lies above or below the CCD
(Figure 2.2-3).
1. If the site is above the CCD, the sediment is probably calcareous ooze. Figure 2.2-7
gives the typical properties; it should be noted that a further subdivision between
coarse and fine ooze is made at the 10,000-foot level.
2. If the site is below the CCD, the sediment is probably abyssal clay or siliceous ooze.
Figure 2.2-8 presents estimates of properties for abyssal clay.
Whenever possible, specialists in seafloor soils behavior should be consulted as they can
provide information difficult to glean from the open literature. Many parts of the seafloor have
been mapped for sediment distributions, and much more detailed information than is given in
this discussion may be available. In addition, many core sample descriptions are available.
Sources for experts, maps, and core descriptions are listed in Section 2.2.1.
2-16

2.3 REGIONAL SURVEYS

2.3.1

General

Regional survey techniques include subbottom profiling, limited soil sampling, sidescan
sonar surveys, and direct (visual) observation. Data obtained from the regional survey are often
qualitative only from the standpoint of physical soil behavior. For example, subbottom profiling
can be used to delineate major soil layers but gives little if any information about soil properties.
Table 2.3-1 summarizes the steps in a typical regional survey.
Table 2.3-1. Steps in a Typical Regional Survey

Steps

Procedure

Perform literature and data bank search

Identify facility to be installed

Identify parameters that impact the siting and design of facility

Plan acoustic reconnaissance program for identifying relevant geological

hazards
a. Acoustic subbottom profiler
b. Survey line spacing, 500 ft

Plan shallow sampling program consistent with geotechnical hazard

identification and soil parameter evaluation
a. Gravity cores
b. One core per 1/4 mi2

Perform acoustic and shallow sampling

Assign soil tests, test soil, and select design soil parameters; for each 6-1/2 ft of
core:
a.
b.
c.
d.
e.

2.3.2

Two bulk unit weight tests

Two water content tests
Two grain size analyses (for sand and silt)
One Atterberg limit test (cohesive soils only)
One shear strength test (cohesive soils only)

Conduct post survey analysis to evaluate cost versus risk for the proposed sites;
select and rank the sites

Subbottom Profiling

Subbottom profiling techniques use reflected sound signals to develop a profile of the
seafloor bathymetry and subbottom layering. Compressive waves formed by a controlled sound
source propagate outward through the seawater at a certain velocity. When the compressive
2-17

wave encounters another medium (i.e., surficial sediments or deeper, denser sediment layers)
with different acoustic properties, a portion of the energy is reflected. The times of arrival of the
reflected waves are recorded, producing a profile of acoustic interfaces in the sediments.
High-resolution, continuous, subbottom profiling is commonly used for studying the
upper 300 feet of soil. These devices are often referred to as sediment sounders, boomers, or
sparkers. They are characterized by their transmission frequency and, consequently, the
penetration of the signal and its resolving power. In general, lower frequencies produce greater
penetration with lower resolution, while high-frequency systems yield less penetration but have
a greater resolution. Typically, geotechnical engineering needs are best served using a 12-kHz
sounder system to develop profiles of the seafloor surface and a chirp subbottom profiler
system to delineate the sediment strata, near-surface rock contact, and surface faulting. An
exmple of data from a 2-16 kHz system is shown in Figure 2.3-1.
2.3.3

Limited Sampling

Regional surveys should include some bottom sampling in order to provide examples of
surficial sediment types and consistencies. In areas of outcropping sediment layers, acoustic
profiling and surficial sampling can be used together to provide information on the sediment
type and projected properties of subbottom layers of an area. Samplers used for such surveys
would generally be of the less sophisticated variety the grab samplers, short gravity corers,
and rock dredges. A discussion of sampling equipment is included in Section 2.4.
2.3.4

Sidescan Sonar

Sidescan sonar systems provide graphic records that show two-dimensional plan views
of the seafloor topography. Seafloor objects as well as gas bubbles are detected and displayed
as in an aerial photograph.
The sidescan sonar operates by emitting high-frequency sound waves in narrow beam
pulses from a transducer fish that is towed off the stern of a ship (Figure 2.3-2). The fish is
towed above the seafloor at a height dictated by the chosen range. The returning acoustic
signals are received by the same fish and transmitted by electrical or fiber optic cable to the
ship. On deck, data acquisition systems transform these reflected signals into an acoustic water
fall image on a monitor. Depending on the scale selected, this image can record a continuous
path of the seafloor from 75 to 3,000 feet wide. Individual lines are processed into a mosaic
image of the surveyed area.
Sidescan sonar surveys can be used to detect seafloor obstructions, such as sunken
ships, pipelines, sediment flows, and rock outcrops (Figure 2.3-3). By studying the results of a
sidescan sonar survey, an undesirable site can sometimes be avoided during preliminary site
selection.

2-18

Subbottom
Figure 2.3-1. Example of subbottom profiler data (Ref. 2-2).

2-19

Figure 2.3-2. Acoustic data collection operations (Ref 2-2).

2-20

WWII Submarine
Figure 2.3-3. Example of sidescan acoustic data (Ref. 2-2).

2-21

2.3.5

Visual Observation

Visual observations of the seafloor are made by three general methods: (1) direct
observation, (2) use of a remotely controlled still camera, and (3) underwater video cameras.
Divers can make direct observations in shallow water. In deep water, visual observations are
generally made from a Remotely Operated Vehicle (ROV). Visual observations become necessary
when other survey techniques cannot provide necessary site data. For example, remote survey
techniques may not be able to delineate the extent of a talus deposit at the base of a steep rock
slope. A survey by an ROV, possibly with some waterjetting to remove sediment infilling, could
provide such information.
2.3.6

Survey Line Spacing

For small and relatively low risk (unmanned, low cost) installations, a regional survey
may not be required if general information on the site bathymetry and stratigraphy is available.
Major structures (such as manned gravity platforms or pile-supported platforms),
however, may require a full-scale regional survey. The following guidelines are suggested for
mesh spacing of regional surveys for such structures where the overall survey area is to cover a
1-by 1-mile area.

For bathymetric surveys, a mesh spacing of about 100 feet is recommended at

locations where significant bottom change is occurring, and a spacing of 500 feet is
recommended at other locations.

The mesh spacing for subbottom profiling is essentially the same as for bathymetric
survey. If the soil is generally homogeneous, the profile spacing can be increased.

2.4 SITE-SPECIFIC SURVEY

2.4.1

General

Soil properties at a site can be established by sampling the soil and returning it to a
laboratory for testing. Generally, in shallow waters the techniques of drilling and sampling used
on land can be adapted, utilizing a jackup barge or a fixed platform. In the deep ocean, because
of the great water depth, the sampling of soil sediments often involves more complicated
equipment and techniques than sampling on land or near shore. In deeper waters, sampling
must be done from a floating vessel. Gravity corers and vibracorers are usually used to obtain
samples in the upper 10 to 20 feet. Below this soil depth, drilling rigs and wireline sampling
techniques are normally used. The performance of these sampling techniques in the deep ocean
is limited by the handling capability of the supporting vessel and the weather conditions. Table
2.4-1 summarizes the steps of a typical site-specific survey.
2-22

Table 2.4-1. Steps in a Typical Site-Specific Survey

Steps

Procedure

Check data bank and literature search for completeness

Identify facility to be installed

Identify soil parameters and geotechnical hazards impacting on design of facility

Identify types of information needed to complement existing data (from

preliminary studies and regional survey) [see Tables 2.1-1 and 2.1-2]

Plan geophysical data collection as necessary to complete data collection

a. Close survey line spacing to 100 ft
b. Make additional or more accurate seafloor profiling (deep tow) and
subbottom profiling

Complete shallow sampling. Note: shallow sampling may be sufficient depending

on the platform type and size
a. Gravity corer generally acceptable
b. Spacing of coring locations, 300 ft
c. Core to a depth of 1.5 times expected width of foundation or to maximum
expected penetration of anchor, if possible

Perform deep sampling where necessary; use in-situ tests for high-risk platforms:
a. Core to a depth of 1.5 to 2.0 times expected width of foundation or to
maximum expected penetration of anchor
b. Sampling frequency (within single boring):
(1) One sample/5 ft, up to 30 ft
(2) One sample/10 ft, between 30- and 200-ft interval
(3) One sample/20 ft, over 200 ft
c. In-situ tests:
(1) Use vane for clay undrained properties
(2) Use cone penetrometer for sand or clay and to define strata boundaries
(3) Use pressuremeter for soil compression properties
(4) Define strata boundaries by borehole logging

Assign soil tests, test soil samples, and select design parameters. For every core
sample:
a. One water content test
b. One bulk unit weight test
c. One grain size analyses
d. One Atterberg limit test every other sample (cohesive soils only)
e. Shear strength tests (cohesive soils only)

2-23

2.4.2

Shallow Sampling

Shallow soil sampling is usually conducted as part of the regional survey. For small
seafloor installations, shallow-penetration samples may provide the soil parameters required for
foundation design. The equipment used for shallow sampling in the deep ocean includes grab or
dredge samplers, box corers, gravity corers, and i.e., vibracorers. A summary of shallow
sampling tools and their application is given in Table 2.4-2.
Table 2.4-2. Shallow Soil Sampler Types and Applications
Sampler Type

Sample
Quality

Maximum
Sample
Length (ft)

Grab Sampler

low

Application

Soil classification
(USCS)

Comments

Inexpensive, no water depth

limitation

Index property tests

Box Corer

very high

Soil classification
(USCS)
Sample for:

No water depth limitation;

pretripping causes delays in deep
water; best for seas below 7 ft

- Strength test
- Index test
Gravity Corer

high

Soil classification
(USCS)

Free Fall

Short Corer

10

Long Corer

30

- Strength test

20-40

Soil classification
(USCS)

Vibracorer

moderate

Sample for:
- Index test

Free-fall is limited to 20,000 ft and

may be difficult to find upon
surfacing; others can use piston for
higher sample quality; no water
depth limitation; specialty piston
corers can sample deeper soils
Used primarily in sands; water depth
limited by power umbilicals

Sample for:
- Index test

2.4.2.1 Grab or Dredge Samplers

Grab or dredge samplers (Figure 2.4-1) offer the simplest method for obtaining seafloor
soil samples. Because samples obtained by this method suffer from significant disturbance, grab
or dredge samples have little value in evaluating soil strength characteristics. Large grab
samplers are, however, often the only means for taking samples of gravels and pebbles for
surficial sediment identification. The washing out of fines during sample recovery can be a
problem with grab samplers. This can be minimized by use of samplers designed to minimize
such sample loss (Ref. 2-3).
2-24

Figure 2.4-1. Grab samplers and dredges (Ref. 2-4).

2.4.2.2 Box Corers

Box corers obtain large volume of relatively undisturbed surficial soil. Sample sizes range
from 1 to 2 feet in height and 0.25 to 3 ft2 in area. A box corer typically consists of a weight
column, sample box, spade and spade lever arm, and a tripod support frame (Figure 2.4-2).
2.4.2.3 Gravity Corers
Gravity corers are tube samplers that are driven into the soil by the kinetic energy of
their falling mass. Most gravity corers are lowered by winch through the water column and freefall through only the last 10 to 20 feet of the water column after being released by bottom
contact of a trigger weight (Figure 2.4-3) or, when a trigger weight is not used, by free-wheeling
of the winch.
Gravity corers may be of open-barrel or piston type. Open-barrel corers are relatively
short corers and their use is limited to approximately the upper 10 feet of the seafloor. The
piston corer incorporates a piston fixed at the mudline during penetration to improve soil
recovery and recovered soil quality. Most gravity corers incorporate plastic barrel liners to
promote sample quality and post-recovery soil handling, and use core catchers to limit core loss
during retrieval. A comprehensive discussion of corer performance and coring techniques can be
found in Reference 2-5. Section 2.2.1 listed many universities and research organizations that
make and maintain bottom sampling equipment which may be available for rental. Mooring
Systems Inc. sells gravity and piston corers (http://www.mooringsystems.com).

2-25

Figure 2.4-2. Box corer and its operation sequence.

2-26

Figure 2.4-3. Long piston corer operation sequence with a short corer used as a trigger weight.

2.4.2.4 Vibracorers
Vibracorers are used in cohesionless sediments, where gravity corers often fail to retain
the soil or are capable of only limited penetration. The typical vibracorer consists of a core
barrel and driver-vibrator unit supported by a stand, as shown in Figure 2.4-4. The drivervibrator may be of a rotating eccentric weight or reciprocating piston variety and it may be
powered by a pneumatic, hydraulic, or electrohydraulic source. Most government and
commercial organizations interested in marine geotechnical investigations maintain vibratory
corers some with only slight differences to accommodate company preferences. Most are
limited to operation in less than 600-foot water depths because of the necessity to supply
power from a vessel down to the corer. Ability to penetrate varies with the strength of material
being cored. Unless very soft sediment is encountered, maximum coring length is limited to 40
to 50 feet.

2-27

Figure 2.4-4. Alpine vibracore sampler (from Ref. 2-6).

2.4.3

Deep Sampling

Offshore site investigations for major engineering structures, especially those placed on
piles, require expensive deep soil sampling and recovery of representative samples. Deep boring
techniques require a higher level of sophistication in equipment and in the drill vessel or
platform than is needed to perform shallow sampling. Drilling and sampling operations are
generally carried out from a fixed platform, a jackup platform, an anchored barge or ship, or a
dynamically positioned ship.
The most versatile and economical approach today to obtain deep samples at sea is
wireline sampling, which involves use of an anchored ship with a centerwell. Regular oil
platform supply boats, which are about 150 to 200 feet long, are generally suitable for this type
of operation. Drilling is performed with a rotary rig mounted on the ship deck over the
2-28

centerwell. The drill bit is advanced into the soil by rotating a drill pipe while pumping drilling
fluid down the pipe. The fluid carries the soil cuttings to the seafloor surface and is not returned
to the ship (open circulation). The drill bit and casing are advanced to the elevation where a
sample is desired and then the sample is taken.
One of two sampler types is used: wireline hammer samplers and wireline push
samplers. The wireline hammer sampler uses successive vertical blows to advance the sampler
and provides somewhat disturbed samples. However, it is economical and provides adequate
information for pile design. Wireline push samplers advance the sampler with a continuous
motion, which produces less soil sample disturbance. However, the operation of a push sampler
requires a fairly calm sea since the motion of the ship is transferred to the sampler through the
drill pipe. A limited number of drill ships do compensate for motion with specialty equipment,
but this is an expensive complication to the basic drilling operation.
A discussion of borehole logging techniques for additional information about soil
stratigraphy is given in Section 2.5.6.
2.4.4

Location, Number, and Depth of Sampling

The recommended location and number of borings are based on structure purpose and
size, seafloor bathymetry, slope angle of the soil strata, and uniformity of the acoustic profiles.
For most structures, if the acoustic profiles are practically uniform over an extensive area, one
deep boring at the center of the structure location along with other, more shallow, data is often
sufficient. If the subbottom acoustic profiles display a number of irregularities, more deep
borings should be drilled. For small, low-risk installations, a few gravity cores taken at the site
may provide sufficient information for foundation design.
The depth to which soil sampling is necessary depends on the type and size of the
structure. For most pile foundations, the borehole should be at least as deep as the anticipated
pile penetration plus three pile diameters. For gravity structures the borehole depths are usually
between one and two times the diameter of the foundation, depending on soil conditions. In
general, the softer the subsurface soils, the deeper the borehole required. The sampling
frequency for a borehole normally varies with depth as approximated in Table 2.4-1.
2.4.5

Sample Handling

2.4.5.1 Preparing and Packaging

To minimize sample disturbance, cores must be prepared and packaged for shipment as
soon as possible after recovery.
For gravity cores, liners should be pulled out of the barrel and cut into sections 3 to 6
feet long. The top and bottom of each section and the position of each section in the core
should be marked on the liner. The ends of the liner tube should be sealed with plastic caps and
electrical tape and preferably sealed again with an appropriate wax.
2-29

With box corers, the metal corer box is not watertight. It is very difficult to maintain box
corer samples at their natural water content. For quality samples, shipboard subsampling of the
recovered sample should be done as soon as possible. Many large-diameter liners with
sharpened ends are pushed from top to bottom of the box sample with a rapid and continuous
motion. When all liners have been pushed into the box, the sediment around the liners is
removed and can be saved in jars or plastic bags for tests that do not require undisturbed
samples. The subsamples in the liners are then sealed and marked.
Wireline samples are usually extruded onboard the ship. Clay sediments are normally
cut into sections about three diameters long. Each section is then wrapped with wax paper and
aluminum foil and sealed with wax in a plastic container. If liners are used, the liners are
extruded and separated using a wire saw. Each liner is then sealed with plastic caps, tape, and
wax. Cohesionless sediments are usually stored loose in bags or jars because they are quite
disturbed in the coring process.
2.4.5.2 Storage
Proper sample storage prior to testing is somewhat controversial. It is usually best that
samples are stored vertically, when possible, to maintain their natural orientation and to limit
mixing or changes in stress conditions. Cushioning should be used to protect the samples from
vibration. Samples should be stored at 5 2C in near 100% relative humidity and away from
direct sunlight to prevent biological growth and other physical alterations that might otherwise
occur.
2.4.5.3 Transit
Samples should be shipped to the laboratory as soon as possible after the vessel arrives
in port. Undisturbed samples are best hand-carried, either as carry-on luggage in an airplane
or in a private vehicle rather than by commercial carrier. For larger shipments, where personal
control is not possible, air freight is recommended since it minimizes the time in transit and also
reduces vibration and shocks that might further disturb the sample.
Samples should be tested as soon as possible because even proper storage will only
slow down and not stop sample property changes that occur with time.

2.5 IN-SITU TESTING

2.5.1

General

The complexity of equipment-seafloor interactions has escalated with the progression

of naval operations from shallower (< 200 m) to deeper (> 2000 m) water. With greater depths
come new load sources and greater foundation loads that require more reliable and economic
design. This puts a premium on the importance of more accurate and detailed investigations to
2-30

determine seabed soils properties. Deepwater has made traditional investigations of drilling and
sampling exponentially more difficult (and costly) and there has been a shift within the ocean
community to increased reliance on in-situ testing to determine appropriate strength and
deformation parameters.
In-situ testing procedures involve making measurements within the soil with specialized
tools. The in-situ tools are advanced into the seafloor by a support vessel that pushes the tool
into the soil from the bottom of a drilled borehole (termed downhole mode). Alternatively,
and now more common, the in-situ tools may be advanced directly into the seabottom from a
rig placed on the seabed (termed seabed mode).
The most commonly used in-situ testing tools for offshore investigations are the vane
and cone penetrometer. In recent years, there has been increased use of flow type
penetrometers (T-bar and ball) [Ref. 2-7 and 2-8]. Other less common tools include gas probes,
piezoprobe, pressuremeter and free-fall penetrometers. The measurements obtained from
these in-situ tools are used to identify soil stratigraphy and/or estimate soil parameters for
foundation design (e.g., undrained shear strength, friction angle, modulus of elasticity) or to
identify possible geohazards.
The attraction of the in-situ test approach is that soils are not removed from their native
environment during property evaluation. Marine soil samples are normally subjected to
appreciable disturbance and a decrease in hydrostatic and confining soil pressure when
retrieved from the seabed. This decrease results in further disturbance to the internal structure
of the soil. When combined with disturbance introduced by sampling and subsequent sample
handling, the total disturbance can mask the actual in-situ properties of the soil. This is
particularly true in soft cohesive soils containing appreciable dissolved gases, such as those
found in the Gulf of Mexico. For these soils, decreases in hydrostatic stress often result in gases
coming out of solution, which completely disturbs and remolds the soil.
Table 2.5-1 summarizes types of in-situ tests and equipment capabilities. The types of
tests, soil information derived from each, and data evaluation will be discussed in subsequent
sections. A more detailed discussion of in-situ testing and equipment is given in References 2-9,
2-10, and 2-11.

2-31

Table 2.5-1. In-Situ Tests, Applications, and Some Equipment Characteristics

Operational Limits
Test

Sediment

Parameter

Apparatus

Performed

Type

Obtained

Type

Vane Shear

Cone
Penetrometer

Mini CPT

Cohesive

Cohesionless
or Cohesive

Cohesionless
or Cohesive

su

Company

Name

Seafloor

Depth

Penetration

Dolphin

10,000

Halibut

20

Seacalf

19,500

65

Wison-APB

10

Seacalf

19,500

160

SeaRobin

6,600

A.P. Vandenberg

ROSON

6,600

16

Datem

Neptune 5000

9,900

65

Gregg Drilling

Seabed CPT

9,900

160

Fugro

Seascout

16

Datem

Neptune 3000

9,900

33

Gregg Drilling

9,900

35

4,500

15

Fugro

Mini CPT
eXpendable
Doppler
Penetrometer
(XDP)
Seacalf

19,500

130

Gregg Drilling

Seabed CPT

9,900

Wireline

Fugro

Platform

Fugro

Wireline

A.P. Vandenberg

or su

Dynamic
Penetrometer

Cohesionless
or Cohesive

and Dr

Tbar or Ball

Cohesive

su

Borehole
Logging

Cohesionless
or Cohesive

or su

b, sediment
boundary
layers

Platform

Platform

Freefall

Platform

(feet)
Water

Fugro

or su

Device

NFESC

Wireline

Limted to cored and cased boring holes.

2-32

2.5.2

Vane Shear Tests

The vane shear test is used to determine the peak and remolded undrained shear
strength of soft to medium stiff clays and silts (< 200 kPa). In the vane shear test, the torque
required to rotate a four-bladed vane embedded (Figure 2.5-1) in the soil is measured and
converted into a measure of the shear strength of the soil. Selection of the vane size is dictated
by the anticipated soil strength and by the torque measuring limits of the equipment. Vane
geometry and rotation rate are standardized (Ref. 2-12). However, offshore operations typically
vary somewhat from the standardized rotation rate of 6 deg/min, due to the operator's
experience and preference.

Figure 2.5-1. Vane shear device.

In-situ vane shear test devices are available for either wireline operation through a drill
string at the bottom of a borehole or from a seafloor resting platform (Table 2.5-1). The
maximum depth of test for the seafloor resting systems is limited by the available reaction force
(the underwater weight of the system) to about 20 feet in soft clays for existing devices.
The shear strength can be calculated from measured torque values using:

suv =

2T
d [ H + (d / 3)]

(2-1)

2-33

where:
suv =

vane shear strength [F/L2]

applied torque [LF]

diameter of vane blade [L]

H =

height of vane blade [L]

To obtain the undrained shear strength, su, a correction factor, accounting for effects of
anisotropy and strain rate, should be applied to the vane shear strength determined from
Equation 2-1 such that:

su = suv

(2-2)

where:

correction factor from Figure 2.5-2 based on the soil plasticity index (PI)

Many factors can affect the measurement of shear strength. Values obtained in
sensitive, overconsolidated, or cemented clays may not be correct due to disturbance of the clay
during insertion of the vane. Erratic results are obtained in soils containing shells, gravel, or
wood fragments. Effects of anisotropy, strain rate, and sensitivity can often affect vane results
but only to the extent that they can be used as a rough measurement of strength variability.

Figure 2.5-2. Correction factor for vane determined shear strength (Ref. 2-13).

2-34

2.5.3

Cone Penetration Tests

The cone penetration test (CPT) or cone penetration test with pore pressure
measurement (CPTU) is the most widely used in-situ tool for offshore investigations (Ref. 2-9).
The penetrometer is pushed into the soil at a constant rate while tip resistance, side friction,
and porewater pressure (in the case of CPTU) are measured. The data is then correlated with
soil type and estimates of strength parameters are derived for foundation design. The cone
penetrometer obtains continuous in-situ information with depth in both coarse-grained
cohesionless soils and fine-grained cohesive soils. Fully-drained conditions are assumed in
cohesionless soils, which means the excess porewater pressure is zero and the measured
porewater pressure is the static in-situ pressure. Undrained conditions are assumed in finegrained cohesive soils, which means excess porewater pressures will be developed. The
measurement of these porewater pressures is useful in interpreting the cone test results.
The standard electronic cone has a 60 apex angle, a base diameter of 3.57cm (1.4
inches), a projected area of 10cm2 (1.55 in2) and a friction sleeve area of 150 cm2 (23.3 in2). This
penetrometer has been accepted as the reference cone according to national and international
standards (Ref. 2-14, 2-15, and 2-16). Figure 2.5-3 illustrates a diagram of a typical cone
penetrometer.

Figure 2.5-3. Cross-section of a typical cone penetrometer (Ref. 2-14).

2-35

2.5.3.1 Cone Measurements

Cone tip resistance and sleeve friction measurements are obtained from electrical strain
gauge load cells located behind the cone tip. The total cone tip resistance (qc) is determined by
dividing the total cone force Qc by the projected area of the cone, Ac (10cm2 in case of the
standard cone), as shown in Equation 2-3.

qc =

Qc
Ac

(2-3)

The sleeve friction (fs) is determined by dividing the total force acting on the friction
sleeve Fs by the surface area of the friction sleeve, As (150 cm2 in case of the standard cone), as
shown in Equation 2-4.

fs =

Fs
As

(2-4)

Porewater pressure measurements are normally recorded by a filter and pressure

sensor located just behind the cone tip, although other locations have been used. The advent of
pore pressure measurements in the 1980s marked a significant advancement in cone
penetration testing because they allowed more accurate soil characterization and strength
profiling especially in soft fine-grained sediments. Additionally, cone penetrometers can be
outfitted with sensors to measure temperatature, resisitivity, and shear wave velocity.
Cone penetrometers are used both from a wireline system in downhole mode, or now
more commonly from a seafloor-resting platform in seabed mode. In offshore testing, it is
common practice to zero-out cone resistance and porewater pressure at the seabed prior to
testing. Reference 2-17 contains comprehensive information on the use and interpretation of
CPT/CPTU equipment.
As mentioned previously, the 10 cm2 cone is the reference standard. However, larger
2
(15 cm ) and smaller (1 to 2 cm2) cones have also been used in offshore practice. Larger cones
are capable of increased sensitivity and can provide enhanced accuracy when investigating
softer sediments, while smaller diameter minicones have the ability to detect thinner soil
lenses. The ability to detect thinner lenses is especially important when investigating the upper
1 to 2 meters of the seafloor. The minicone also requires less downward thrust (and thus lighter
seabed equipment) to advance the penetrometer into the seafloor, which is advantageous in
seabed mode in deepwater environments.

2-36

2.5.3.2 Cone Penetrometer Correction

Due to cone design, soil parameters derived from CPTU results should be corrected for
porewater pressure effects. This was first noted during early offshore cone testing in deepwater
where it was observed that the measured total cone resistance (qc) was not equal to the
hydrostatic water pressure at depth. Because of the way cones are designed, there is a small
area behind the cone face where the porewater pressure pushes down on the cone
This imbalance of force aids penetration and should be accounted for to calculate a
corrected total cone resistance, qt as shown in the equation below. This effect is known as the
unequal area effect and influences the cone and friction sleeve resistances.

qt = qc + u(1 a )

(2-5)

where:
qc =

total cone tip resistance [F/L2]

measured porewater pressure at the shoulder position [F/L2]

cone area ratio

In this equation, the cone area ratio, a, is approximately equal to the ratio of the area of
the load cell or shaft, d, divided by the projected area of the cone tip, D (10 cm2 in the case of
the standard cone). The cone area ratio is provided by the manufacturer but also can be
determined by calibration in a laboratory pressure vessel. Good cone design will maximize the
area ratio as close to unity as possible. In stiff or dense soils the effect of the correction will be
small (since the value of qc will generally be much larger than u). However, the correction can be
significant in soft saturated fine-grained soils where the pore pressures are large relative to the
cone resistance.
Likewise, the sleeve friction will be influenced by porewater pressure effects, however,
this correction requires knowledge of the porewater pressure behind the sleeve which is
normally unavailable. Therefore, without this measurement it has been recommended that this
correction not be made (Ref. 2-17).
As more investigations are occurring in deep water, cone manufacturers are developing
pressure compensated load cells for cone penetrometers which eliminate the need for the
correction factor.
2.5.3.3 Soil Classification by Cone Penetrometer
One of the strengths of the CPT and CPTU is the ability to develop a continuous soil
stratigraphy profile from the cone tip, sleeve, and porewater pressure measurments. The
classification charts shown on Figure 2.5-4 incorporate all three measurements to classify the
2-37

soil. The chart on the left should be used if only basic CPT data is available (i.e., qc and fs). If
porewater pressures are measured, the chart on the right should be used to identify soil type.
Note that in practice Qt is referred to as the normalized cone resistance; Fr is the normalized
friction ratio; and Bq is the pore pressure parameter. Normalization of these parameters with
effective vertical stress better captures the effects of overburden stress with increasing depth.

Figure 2.5-4. Soil behavior type classification chart (Ref. 2-18).

2.5.3.4 Estimating Relative Density of Cohesionless Soil using CPT data

Relative density (Dr) is a quantitative parameter typically used to describe the in-situ
density state of granular (sandy) soils. It is sometimes used as an intermediate soil parameter in
determining the strength of granular soils. Many of the relationships developed for estimating
relative density from cone penetration resistance are based on laboratory calibration chamber
testing. The most widely accepted correlations are summarized below. It is well known that
relative density alone cannot describe the engineering behavior of sand. Therefore it is
suggested that a conservative value be used based on a range of relative densities computed
using the following three equations:

2-38

1. Kulhawy & Mayne (Ref. 2-19). The relationship is primarily based on unaged, uncemented
sands.

Dr =

qc1
305 Qc QOCR

(2-6)

qc
p
a
qc1 =
0.5
v '

pa

(2-7)

where:
qc1 =

normalized cone resistance (dimensionless)

qc =

measured cone tip resistance [F/L2]

pa =

atmospheric pressure [F/L2]

v =

effective vertical stress [F/L2]

Qc =
=
=
=

compressibility factor ( 0.91 < QC < 1.09 )

0.91 (Low compressibility: quartz sands, rounded grains w/little to no fines)
1.0 (Med. compressibility: quartz sands w/some feldspar and/or several % fines)
1.09 (High compressibility: high fines content; mica, other compressible
minerals)

QOCR = overconsolidation factor = OCR0.18

2. Baldi, Bellotti, Ghionna & Jamiolkowski (Ref. 2-20). The solution was based on calibration
chamber testing of Ticino sand that was subangular to angular, medium to coarse, and
primarly quartz.

Dr =

1 qc
ln
C2 C0 ( ')C1

(2-8)

where:
Cn =

soil contants for normal consolidated sand; C 0 = 157, C1 = 0.55, C2 = 2.41

qc =

measured cone tip resistance (kPa)

effective stress either mean normal stress, mean, or vertical stress, vo (kPa)

2-39

3. Lunne & Christoffersen (Ref. 2-21). The solution was derived from two large calibration
chamber studies using 5cm2 and 10cm2 cone penetrometers on pluviated dry sand. The
equation is for normally-consolidated, uniform, fine to medium, completely dry or saturated
sand. The sand should consist mainly of non-crushable grains or be quartz-based.

Dr =

1
qc

ln
0.71
2.91 61( v ')

(2-9)

where:
qc =

cone-tip penetration resistance (kPa)

v =

effective vertical stress (kPa)

2.5.3.5 Estimating Friction Angle of Cohesionless Soil using CPT data

Numerous correlations relating the cone tip resistance to peak friction angle of sands
have been published in the literature (Ref. 2-17). The correlations have been derived using
different assumptions and theories but generally can be categorized as empirical methods,
bearing capacity methods, or cavity expansion methods.
As with any modeling technique there are strengths and weaknesses of each approach
and these have been discussed at great length in the literature (Refs. 2-17, 2-22, and 2-23).
Empirical methods are in widespread use but generally lack theoretical background. Cavity
expansion models are thought to simulate cone penetration resistance reasonably accurately at
deeper penetration and are able to incorporate the effects of soil compressibility and curvature
of the strength envelope (Refs. 2-22, 2-24, and 2-25). Bearing capacity models might better
simulate the failure mechanism of an advancing cone at shallow penetration (Refs. 2-25 and 226) and therefore may be appropriate for estimating friction angles of near surface seafloor
soils. However, the bearing capacity methods generally lack the ability to incorporate the effects
of soil compressibility and curvature of the strength envelope.
The correlation proposed by Robertson and Campanella (Ref. 2-26) to compute the peak
soil friction angle is shown in Equation 2-10. It is empirical in that it is based on the results of
calibration chamber tests but it uses the bearing capacity theories of Durgunoglu and Mitchell
(Ref. 2-27) and Janbu and Senneset (Ref. 2-28) as upper and lower bounds, respectively, of the
data set. The correlation is recommended because of its simplicity and wide acceptance in
geotechnical practice. The equation is a function of tip resistance and overburden pressure.
Inclusion of overburden pressure in part accounts for the influence of confining pressure on the
soil friction angle.

2-40

tan ' =

1 qc
+ 0.29
log
2.68 vo '

(2-10)

where:
qc =

cone-tip penetration resistance [F/L2]

vo =

effective vertical stress [F/L2]

The equation provides reasonable estimates of friction angle for normally consolidated,
moderately incompressible (Fr of about 0.5%), and predominantly quartz sands.
2.5.3.6 Estimating Youngs Modulus of Cohesionless Soil using CPT data
The value of Youngs modulus of elasticity (Es) for sand to be used in settlement
computations may be estimated from Equation 2-11:

Es = (1.5 to 3.0) q c

(2-11)

The lower range is applicable to normally consolidated sands, while the higher range
applies to overconsolidated sands. Additional information and correlations for Youngs modulus
and other moduli are provided in Reference 2-17.
2.5.3.7 Estimating Undrained Shear Strength of Cohesive Soil using CPT data
The undrained shear strength of clays may be estimated based on the cone tip
resistance and knowledge of the in-situ soil stress and a cone factor. The equation takes the
following form:

su =

qt t Z
N kt

(2-12)

where:
qt =

corrected total cone resistance [F/L2]

total unit weight [F/L3]

depth below seafloor [L]

Nkt =

cone factor

2-41

Laboratory and field studies have shown the values of Nkt to vary widely depending
upon which methods were used to back-calculate su. In general, Nkt varies between about 10 and
20 with an average of 15 appropriate for normally consolidated marine clays (Ref. 2-29). The
value of Nkt tends to increase with increasing soil plasticity and decrease with increasing soil
sensitivity. At sites with limited information, use a conservative value of Nkt between 15 and 20.
At sites with very soft clays where there might be inaccuracies in determining qt , estimates of su
can be made using excess pore pressure measurements as given by Equation 2-13:

su =

u
N u

(2-13)

where:
u = pore pressure at shoulder position minus in-situ pore pressure [F/L2]
Nu = cone factor
Various studies have shown that Nu varies between about 4 and 10 in normally to
slightly overconsolidated deposits (Ref. 2-17). In general, a conservative estimate would be
between 7 and 10.
In both equations above, the hydrostatic pressure at the mudline should be subtracted
from the numerator except when using a compensated cone or where the porewater pressure
at the seabed has been zeroed-out prior to penetration. It is recommended that at sites where
high-quality field and laboratory data exists, site specific correlations should be used based on
reliable values of su.
2.5.4

Pressuremeter Tests

The pressuremeter test measures soil deformation as a function of expansion pressure

when a membrane is expanded out into the soil from its position down a borehole. Soil
parameters that can be estimated from the test are shear strength, deformation modulus
(modulus of elasticity), and the horizontal earth pressure at rest. The pressuremeter may be
placed either in a predrilled hole or pushed into the soil, Reference 2-30 presents details on the
test and on data interpretation.
2.5.5

Dynamic Penetrometer

A dynamic penetrometer is a hydrodynamically shaped cylinder that free falls through

the water column and penetrates into the seafloor. Penetrometer velocity is monitored as it is
slowed by the soil during penetration. Undrained shear strengths are calculated in a manner
similar to the reverse of the dynamic penetration prediction procedure of Chapter 8. In this
2-42

method, the change in velocity over a short penetration interval is used to calculate the kinetic
energy consumed, and then to calculate the soil strength required to consume that energy.
The Navy's expendable Doppler penetrometer (XDP) system is designed to make
possible, through data analysis, an accurate determination of the mechanical strength of various
types of seafloor soils. The system does this by recording the signal transmitted by a
precise-frequency sound source within the probe as it falls through the water and penetrates
the seafloor. The system derives the instantaneous velocity of the probe from changes in the
frequency of the received signal caused by the Doppler effect. By analyzing the velocity data as
the probe impacts the bottom and decelerates, the system provides an estimate of the strength
profile and penetrability of the seafloor. The XDP system has the following components:
1. A penetrometer with its constant frequency source
2. A receiving hydrophone with a preamplifier
3. A receiver for processing the incoming data
The Navy system is capable of operating in water depths of up to 4,500 feet and has
penetrated up to 15 feet in some soils.
2.5.6

Borehole Logging Techniques

Borehole logging techniques are used to enhance knowledge of soil changes in lieu of
more expensive and time-consuming testing. They can be performed in the drill pipe after the
drilling and sampling operations. In one type of test, an electric probe is lowered in the drill pipe
while continuously measuring natural gamma emissions of the soil. The higher radioactive
mineral contents of clays yield higher gamma emissions than sands. Thus, a correlation between
natural gamma logs and soil types (stratigraphy) can be established. The importance of this type
of testing will be greatly increased where coring problems are encountered and core recovery
(percent) is very low.
Information on thermal and magnetic properties of the soil mass around the borehole
can be gathered by other logging techniques.

2-43

2.6 REFERENCES
2-1.

A. Trujillo and H. Thurman. Essentials of Oceanography, 9th edition, Upper Saddle River,
NJ, Pearson Education, Inc., 2008.

2-2.

V. Capone. Images provided by Black Laser Inc., 2010.

2-3.

R. McQuillin and D.A. Arders. Exploring the Geology of Shelf Seas. London, England,
Graham and Trotman, Ltd., 1977.

2-4.

I. Noorany. Underwater Soil Sampling and Testing - State-of-the-Art Review, in

Underwater Soil Sampling, Testing, and Construction Control, American Society for
Testing and Materials, ASTM STP 501. Philadelphia, PA, 1972, pp. 3-41.

2-5.

H.J. Lee and J.E. Clausner. Seafloor Soil Sampling and Geotechnical Parameter
Determination Handbook, Civil Engineering Laboratory, Technical Report R-873. Port
Hueneme, CA, Aug 1979.

2-6.

Alpine staff. Vibracore 3. Alpine Ocean Seismic Survey,

http://www.alpineocean.com/vibracore.html# (January 11, 2007).

2-7.

T. Lunne, M.F. Randolph, S.F. Chung, K.H. Anderson, and M. Sjursen. Comparison of
Cone and T-bar Factors in Two Onshore and One Offshore Clay Sediments, in
Proceedings Frontiers in Offshore Geotechnics: ISFOG 2005 Gourvenec and Cassidy,
eds., pp. 981-989, 2005.

2-8.

M. F. Randolph. Characterisation of Soft Sediments for Offshore Applications,

Proceedings ISC-2 on Geotechnical and Geophysical Site Characterization, Fonseca and
Mayne, eds., pp. 209-232, 2004.

2-9

T. Lunne. In Situ Testing in Offshore Geotechnical Investigations, in Proceedings of the

International Conference on Insitu Measurement of Soil Properties, Bali, Indonesia, pp.
61-81, 2001.

2-10.

T. Lunne, S. Lacasse, and N.S. Rad. General Report/Discussion Session 2: SPT, CPT,
Pressuremeter Testing and Recent Developments in In-Situ Testing Part 1: All Tests
Except SPT, Proceedings of The Twelfth International Conference On Soil Mechanics
and Foundation Engineering, Vol. 4, Rio De Janeiro, August 1989, pp. 2339-2403.

2-11.

H.J. Kolk, and J. Wegerif. Offshore Site Investigations: New Frontiers, Frontiers in
Offshore Geotechnics: ISFOG 2005-Gourvenec and Cassidy, eds., Taylor and Francis
Group, London, 2005, pp. 145-161.

2-44

Inc.

Website.

2-12.

Standard Test Method for Field Vane Shear Test in Cohesive Soil, from ASTM Volume
04.08 Soil and Rock (I): D420 D5876, American Society for Testing and Materials, ASTM
D2573-08. Philadelphia, PA, 2008.

2-13.

L. Bjerrum. Embankments on Soft Ground, in Performance of Earth and EarthSupported Structures, Vol. II, American Society of Civil Engineers. New York, NY, 1972,
pp. 1-54.

2-14.

Standard Test Method for Performing Electronic Friction Cone and Piezocone
Penetration Testing of Soils from ASTM Volume 04.08 Soil and Rock (I): D 420-D 5876,
American Society for Testing and Materials, ASTM D5778-95. Philadelphia, PA, 2008.

2-15.

International Reference Test Procedure for Cone Penetration Test (CPT). Report of
the ISSMGE Technical Committee on Penetration Testing of Soils TC 16, International
Society for Soil Mechanics and Geotechnical Engineering, 1989.

2-16.

Svenska Geotekniska Freningen. Recommended Standard for Cone Penetration

Tests, Swedish Geotechnical Society , SGF Report 1:93 E, 1993.

2-17.

T. Lunne, P.K. Robertson, and J.J.M. Powell. Cone Penetration Testing in Geotechnical
Practice. Blackie Academic and Professional, 1997.

2-18.

P.K. Robertson. Soil Classification using the Cone Penetration Test, Canadian
Geotechnical Journal , Vol. 27, No.1, pp. 151-158, 1990.

2-19.

F. H. Kulhawy, and P.W Mayne. Manual on Estimating Soil Properties for Foundation
Design. Cornell University, Geotechnical Engineering Group; Electric Power Research
Institute, EPRI EL-6800 Project 1493-6, 1990.

2-20.

G. Baldi, R. Bellotti, V. Ghionna, and M. Jamiolkowski, M. Interpretation of CPTs and

CPTUs; 2nd part: Drained Penetration of Sands, in Proceedings of the Fourth
International Geotechnical Seminar, Singapore, pp. 143-156, 1986.

2-21.

T. Lunne, and H.P. Christoffersen. Interpretation of Cone Penetrometer Data for

Offshore Sands in Proceedings Offshore Technology Conference, OTC 4464, 1983.

2-22.

H.S. Yu, and J.K. Mitchell, J.K. Analysis of Cone Resistance: Review of Methods. Journal
of Geotechnical and Geoenvironmental Engineering, Vol. 124, No. 2, pp. 140-149, 1998.

2-23.

J.W. Chen, and C.H. Juang. Determination of Drained Friction Angle of Sands from CPT.
Journal of the Geotechnical Engineering, Vol. 122, No. 5, pp.374-381, 1996.

2-45

2-24.

A. Puech, and P. Foray. Refined Model for Interpreting Shallow Penetration CPTs in
Sands. Proceedings Offshore Technology Conference, OTC 14275, 2002.

2-25.

J. H. Schmertman. Guidelines for cone penetration test, performance and design. U.S.
Department of Transportation, Federal Highway Administration, FHWA-TS-78-209,
1978.

2-26.

P.K. Robertson, and D. Woeller. Cone Penetration Testing Geotechnical Applications

Guide. Proceedings from a Short Course on Geotechnical Site Investigation using the
Cone Penetration Test, Gregg, CA, Sec. 3, pp. 15-16, 2005.

2-27.

H.T. Durgunoglu, and J.K. Mitchell. Static Penetration Resistance of Soils: I Analysis, II
Evaluation. Proceedings of the Conference on In Situ Measurement of Soil Properties,
ASCE, Vol. 1, pp. 151-189, 1975.

2-28.

N. Janbu, and K. Senneset, K. Effective Stress Interpretation of In-Situ Static Penetration

Tests. Proceedings of the European Symposium on Penetration Testing, ESOPT,
Stockholm, Sweden, Vol. 2, pp. 181-193, 1974.

2-29.

T. Lunne, and A. Kleven. Role of CPT in North Sea Foundation Engineering, Cone
Penetration Testing and Experience, American Society of Civil Engineers, NY, October
1981, pp. 76-101.

2-30.

J. Briaud. In Situ Tests to Measure Soil Strength and Soil Deformability for Offshore
Engineering, Texas A&M Research Foundation. College Station, TX, Oct 1980.

2-46

2.7 SYMBOLS
Ac

Projected area of the cone [L2]

As

Surface area of the friction sleeve [L2]

Cone area ratio

Bq

Pore pressure parameter

Cc

Compression index

CCD

Carbonate compensation depth, below which carbonate materials will dissolve

Drained cohesion intercept (effective soil cohesion) [F/L2]

cv

Coefficient of consolidation [L/T]

C0,1,2

Soil contants for normal consolidated sand

Diameter of vane blade [L]; Also, area of the load cell or shaft [L2]

Projected area of the cone tip [L2]

Dr

Relative density

Es

Constrained modulus of elasticity for sand [F/L2]

Fr

Normalized friction ratio

Fs

Total force acting on the friction sleeve [F]

fs

Sleeve friction [F/L2]

Height of vane blade [L]

Permeability [L/T]

Nkt

Cone factor

Nu

Cone factor

PI

Cohesive soil plasticity index

pa

Atmospheric pressure [F/L2]

Qc

Total cone force [F]

QOCR

Overconsolidation factor = OCR0.18

Qt

Normalized cone resistance

qc

Cone tip resistance [F/L2]

qc1

Normalized cone resistance

qt

Corrected total cone resistance [F/L2]

St

Sensitivity

su

Undrained shear strength [F/L2]

suv

Vane shear strength [F/L2]

Torque applied to vane [LF]

2-47

Measured porewater pressure at the shoulder position [F/L2]

Depth below seafloor surface [L]

Pore pressure at shoulder position minus in-situ pore pressure [F/L2]

'

Effective stress [F/L2]

v'

Effective vertical stress [F/L2]

vo'

Effective vertical stress [F/L2]

Buoyant unit weight of soil [F/L3]

Total unit weight [F/L3]

Correction factor for vane shear strengths

Drained, or effective, friction angle [deg]

2-48

3 LABORATORY DETERMINATION OF SOIL PROPERTIES

3.1 INTRODUCTION
3.1.1

Scope

Table 2.1-2 of Chapter 2 identified engineering properties of soils required for analysis
and design for several applications in the deep ocean environment. Chapter 2 outlined elements
of preliminary desk-top and field surveys, including the acquisition of some engineering
properties from in-situ tests. This chapter describes the laboratory phase of soils classification
and engineering properties determination.
3.1.2

Special Considerations

Most considerations and concepts developed in conventional onshore geotechnical

engineering apply also in the marine environment. Differences in handling, testing, and data
evaluation techniques arise because of the very low effective stresses in surficial materials (and
resulting very soft or loose physical state); the new soil materials encountered (primarily the
biogenous remains and the authigenic precipitates); and, to a lesser extent, the salt content of
the pore fluid. This chapter often cites conventional soils testing references (Refs. 3-1 and 3-2),
with most of the material devoted to presenting necessary deviations from standard
procedures.

3.2 SOIL CLASSIFICATION

3.2.1

Classification Information

Soils may be classified in a number of manners, including by origin, by grain size, and by
a combination of grain size and behavior. A brief discussion of those classification methods is
presented in Sections 3.2.2 through 3.2.4. Additional information on soil classification can be
found in the article Classification of Marine Sediments by Iraj Noorany (American Society of
Civil Engineers Journal of Geotechnical Engineering, Vol. 115, No. 1, January 1989).
3.2.2

Classification by Origin

Marine geologists classify seafloor soil types by origin. This classification system was
introduced in Section 2.2.2, where characteristic soil strength profiles were discussed for each
major type, based on origin. A soil sample in this system can often be classified with visual
examination of core material by experienced personnel. Classification by inexperienced
personnel or where soil does not cleanly fit into one of the major types requires properties
3-1

testing. This is done with tests to establish grain size distribution (Section 3.3.7), to determine
carbonate and organic carbon content (Section 3.3.8), and to identify and sort constituents by
visual microscopic examination. With soils found in the deep ocean, classification by origin is
often a necessary element in predicting the engineering behavior.
3.2.3

Classification by Grain Size

The marine geologist also classifies sediments strictly by grain size, according to the
Wentworth scale (Table 3.2-1a) or according to an American Society for Testing and Materials
(ASTM) scale that has slightly different grade limits and subdivides material types (Table 3.2-1b).
The portion of the sample below gravel size from each of the size groups (sand, silt, and clay), in
percent of sample dry weight, is often reported on a trilineal plot (Figure 3.2-1). This Trilineal
Classification System by itself normally does not provide an adequate description of a soil for
engineering purposes, but it is a rapid, size classification tool.
Table 3.2-1. Size Range Limits for Two Soil Classification Systems

Material Type

Diameter Range (mm)

(a) Wentworth Scale Grade Limits

Gravel

64 2.0

Sand

2.0 0.062

Silt

0.062 0.0036

Clay

< 0.0036
(b) ASTM Grade Limits (Ref. 3-1)

Cobbles

> 76.2

Gravel
Coarse

76.2 19.1

Fine

19.1 4.76

Sand
Coarse

4.76 2.00

Medium

2.00 0.42

Fine

0.42 0.074

Silt

0.074 0.005

Clay

< 0.005

Colloids

< 0.001
3-2

Figure 3.2-1. Trilineal soil classification plot normally used with Wentworth grade limits.

3.2.4

Classification by Grain Size and Behavior

The Unified Soil Classification System is based on the soils grain size distribution and its
index properties. A sieve analysis for grain size distribution (Section 3.3.7) and simple index tests
(Section 3.3.6) are necessary for classification. Data from these tests are input for the Unified
Soil Classification Chart (Figure 3.2-2) in developing a soil's classification.
The System first divides soil into three groups: coarse-grained (gravels and sands), finegrained (silts and clays), and highly organic materials. The classifications indicate that more than
50% of the sample grains, based on dry weight, are larger (coarse-grained) or smaller (finegrained) than 0.074 mm in diameter (no. 200 sieve). Highly organic soils are identified by their
black or dark gray color and by their hydrogen sulfide odor.
The coarse-grained soils are further subdivided by their predominant grain size and by
the index properties of their fine fraction. The fine-grained soils are subdivided entirely based on
their index properties (see Figure 3.2-2). The Unified System is described in detail in References
3-1 and 3-3.

3-3

UNIFIED SOIL CLASSIFICATION

INCLUDING IDENTIFICATION AND DESCRIPTION

Well graded gravels, gravel-sand mixtures, little

or no fines.

Cu = D60 Greater than 4

D10

GP

Poorly graded gravels, gravel-sand mixtures,

little or no fines

Non-plastic fines (for identification procedures

see ML below)

GM

Silty gravels, poorly graded gravel-sand-silt

mixtures

Plastic fines (for identification procedures see

CL below)

GC

Clayey gravels, poorly graded gravel-sand-clay

mixtures

Wide range in grain sizes and substantial

amounts of all intermediate particle sizes

SW

Well-graded sands, gravelly sands, little or no

fines

Predominantly one size or a range of sizes with

some intermediate sizes missing

SP

Poorly-graded sands, gravelly sands, little or no

fines

Non-plastic fines (for identification procedures

see ML below)

SM

Silty sands, poorly graded sand-silt mixtures

Plastic fines (for identification procedures see

CL below)

SC

Clayey sands, poorly graded sand-clay mixtures

Liquid Limit
less than 50
Liquid Limit
greater than 50

SILTS AND CLAYS

SILTS AND CLAYS

DRY STRENGTH
(Crushing
Characteristics)

DILATENCY
(Reaction to
Shaking)

TOUGHNESS
(Consistency Near
Plastic Limit)

None to slight

Quick to slow

None

ML

Inorganic silts and very fine sands, rock flour,

silty or clayey fine sands with slight plasticity

Medium to high

None to very slow

Medium

CL

Inorganic clays of low to medium plasticity, silty

clays, gravelly clays, sandy clays, lean clays

Slight to medium

Slow

Slight

OL

Organic silts and organic silt-clays of low

plasticity

Slight to medium

Slow to none

Slight to medium

MH

Inorganic silts, micaceous or diatomaceous fine

sandy or silty soils, elastic silts

High to very high

None

High

CH

Inorganic clays of high plasticity, fat clays

Medium to high

None to very slow

Slight to medium

OH

Organic clays of medium to high plasticity

Readily identified by color, odor, spongy feel and

frequently by fibrous texture

Cc = (D30)2
D10 x D60

Between one and 3

Not meeting all gradation requirements for GW

Atterberg limits below A line,
or PI less than 4
Atterberg limits above A line
with PI greater than 7

Cc = (D30)2
D10 x D60

Between one and 3

Not meeting all gradation requirements for GW

Atterberg limits below A line,
or PI less than 4
Atterberg limits above A line
with PI greater than 7

Peat and other highly organic soils

Boundary classifications - Soils possessing characteristics of two groups are designated by combinations of group symbols. For example GW-GC, well graded gravel-sand mixture with clay binder.
All sieve sizes on this chart are U.S. standard.

Figure 3.2-2. Unified Soil Classification Chart (Ref. 3-3).

3-4

Above A line with

PI between 4 and 7
are borderline cases
requiring use of dual
symbols

Cu = D60 Greater than 6

D10

Less than 5%
More than 12%
5% to 12%

Predominantly one size or a range of sizes with

some intermediate sizes missing

GW, GP, SW, SP

GM, GC, SM, SC
Borderline cases requiring
use of dual symbols

GW

Wide range in grain size and substantial amounts

of all intermediate particle sizes

Determine percentage of gravel and sand from grain size curve.

Depending on percentage of fines (fraction smaller than No. 200
sieve size) coarse grained soils are classified as follows:

LABORATORY CLASSIFICATION CRITERIA

IDENTIFICATION PROCEDURES ON FRACTION SMALLER THAN No. 40 SIEVE SIZE

HIGHLY ORGANIC SOILS

a

TYPICAL NAMES

Use grain size curve in identifying the fractions as given under field identification

Gravels with
Fines
Clean Gravels
(Appreciable (Little or no fines)
amount of fines)
Sands with Fines
Clean Sands
(Appreciable
(Little or no fines)
amount of fines)

(For visual classification, the size may be used as equivalent to

the No. 4 sieve size)

SANDS
GRAVELS
More than half of coarse fraction is More than half of coarse fraction is
smaller than No. 4 sieve size
larger than No. 4 sieve size

(The No. 200 sieve size is about the smallest particle visible to the naked eye)

FINE GRAINED SOILS

More than half of material is smaller than No. 200 sieve size

COARSE GRAINED SOILS

More than half of material is larger than No. 200 sieve sizeb

FIELD IDENTIFICATION PROCEDURES

GROUP
(Excluding particles larger than 3 and basing fractions on estimated weights) SYMBOLSa

Above A line with

PI between 4 and 7
are borderline cases
requiring use of dual
symbols

3.3 INDEX PROPERTY TESTS

3.3.1

General

Index tests provide information on the present condition (water content) and on the
physical and chemical composition (grain size distribution, Atterberg limits, and carbonate
content) of a soil sample. The index tests can be run quickly and inexpensively, compared to
most tests for engineering properties. Empirical relationships have been developed between
several index properties and engineering properties (Chapter 2, Table 2.1-2) of soils found on
land. Most of these empirical relationships can be expected to apply to terrigenous marine soils
because these soils are essentially similar soils moved offshore or submerged due to sea level or
land elevation changes. However, when dealing with pelagic soils, the previously established
empirical correlations between index and engineering properties may not be applicable.
Table 3.3-1 lists pertinent information on the most widely used index property tests and
the standard ASTM references. This section will discuss particularly important aspects of these
test procedures as applied to marine soils and will describe modifications to the standard test
and data reduction procedures necessary to properly evaluate marine soils. Some index and
engineering properties determined from a range of marine soil types are shown in Table 3.3-2.
3.3.2

Sample Preparation

ASTM D421 (Ref. 3-1) describes the standard method for dry preparation of soil samples
for grain size and Atterberg limit tests. This dry preparation technique can be used for
cohesionless terrigenous soils having no more than a trace of biogenous material. However, for
those soils with measurable proportions of biogenous material, dry preparation should not be
used. Air drying removes water from intra-particle voids of biogenous material, and these voids
are not resaturated later during the Atterberg limit tests. Further, the mechanical disaggregation
technique used (grinding with mortar and rubber-covered pestle) is far too abrasive for use with
fragile biogenous materials, including coralline sands.
Instead, marine soil samples are normally prepared in a wet state and are only dried
when the test is completed to obtain dry sample weight. Disaggregation, if required, is best
accomplished using an ultra-sonic bath, with the sample immersed in a deflocculant solution.

3-5

Table 3.3-1. Requirements for Index Property Tests (Ref. 3-4)

Index Property
Test

Reference for
Standard Test
Procedure

Variations From
Standard Test
Procedure

Type of Sample
for Testa

Size or Weight
of Sample
for Testb

Sample
preparation

ASTM D421

None

Disturbed or
undisturbed.

As required for
subsequent
tests.

Water content

ASTM D2216

None

Disturbed or
undisturbed with
unaltered natural
water content.

As large as
convenient.

Dry unit weight

ASTM D2937

Determine total dry

weight of a sample of
measured total volume.

Undisturbed with
unaltered natural
volume.

As large as
convenient.

ASTM D854

Volumetric flask
preferable; vacuum
preferable for deairing.

Disturbed or
undisturbed.

ASTM C127

None

Disturbed or
undisturbed.

25 to 50 gm for
fine-grained
soils; 150 gm
for coarsegrained soil.
500 gm.

Atterberg limitsc:
Liquid limit

ASTM D4318

Disturbed or
undisturbed, fraction
passing No. 40 sieve.

50 to 100 gm.

Plastic limit

ASTM D4318

Harvard liquid limit

device and grooving
tool acceptable; open
wire grooving tool
acceptable.
Ground glass plate
preferable for rolling.

Disturbed or
undisturbed, fraction
passing No. 40 sieve.

15 to 20 gm.

Gradation:
Sieve analysis

ASTM D422-63

Selection of sieves
varies for samples of
different gradation.

600 gm for
finest grain soil;
to 4,000 gm for
coarse-grained
soils.

ASTM D422-63

Fraction of sample for

hydrometer analysis
may be that passing
No. 200 sieve. Entire
sample of fine-grained
soil may be used.

Disturbed or
undisturbed,
nonsegregated
sample, fraction
larger than No. 200
sieve size.
Disturbed or
undisturbed,
nonsegregated
sample, fraction
smaller than No. 10
sieve size.

Specific gravity:
Material smaller
than No. 4 sieve
size

Material larger
than No. 4 sieve
size

Hydrometer
analysis

65 gm for finegrained soil;

115 gm for
sandy soil.

Disturbed or undisturbed indicates that the source sample may be of either type.
Sample weights for tests on air-dried basis. Dry weight estimated before test and determined after index test is run.
c
Material for these tests should not be dried before the test is run.
b

3-6

Table 3.3-2. Some Index and Engineering Properties of Ocean Sediments

(Most Data Limited to Upper 2 Meters of Seafloor) (Ref. 3-5).
Water
Depth
(m)

Core
No.

wn%

wL

wp

(kN/m3)

CaCO3%

S.G.
Solids

TERRIGENOUS
Terrigenous Clayey Silt

180

44-59

35-48

29-32

16.6-17.8

negligible

Terrigenous Clayey Silt (basin)

370

73-108

73-88

43-49

14.4-15.4

negligible

su, Vane
kPa

7-25 in-situ
1.4-17 lab
1.4-17
in-situ
3.4-25 lab
3.4-14 lab

St
Vane

2-3
3-4
2

c
(kPa)

(deg)

0.22-0.40

1.38

37

0.68-0.91

Cc

0.100.17
0.200.25

4-very
high
3-5

Terrigenous Clayey Silt

1,700

104-144

109-121

61-89

13.5-14.3

negligible

Calcareous
Proximal Turbidite
(silt-clayey silt)

2,000

52-79

N.A.

N.A.

78

2.71-2.72 1.7-10 ship

4-very high

0.91
0.67
-

0.21
0.19
-

5
6
7
8
9
10

PELAGIC - Calcareous ooze

Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze

3,160
4,480
3,500
3,530
3,690
3,670

86-116
84-110
168-236
156-212
203
150-218

43
56
-

NPa
NPa
-

13.8-15.4
13.8-15.4
12.4-12.9
12.6-13.1
12.9-13.3
12.9-13.5

88
93
72-78
72-77
73-79
74-82

2.67
2.76
2.54-2.59
2.53-2.58
2.55-2.58
2.55-2.63

11-14
11-12
1.1-4.9
2.9-12.9
2.3-5.8
1.6-13.0

11
?
6
8
8
4-12

29
-

27
-

11
12
13
14
15
16

Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze

3,940
4,100
4,560
4,700
4,500
4,370

127-210
112-248
128-414
143-415
172-255
120-250

13.0-13.9
12.4-14.0
11.4-13.6
11.6-13.3
12.4-13.6
12.2-13.7

76-84
68-81
58-81
47-79
64-85
56-86

2.51-2.61
2.51-2.62
2.33-2.60
2.40-2.62
2.49-2.61
2.55-2.62

2.0-4.1
2.6-11.6
2.1-8.1
1.7-6.6
1.6-3.4
2.3-5.9

4-10
4-12
5-7
4-6
2-12
4-11

5.9

35

17
18
19
20
21

Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze
Calcareous ooze

4,450
4,300
4,300
4,520
4,850

81-215
102-196
172
100-164
296-324

12.8-14.3
13.4-14.7
14.8
14.0-14.9
11.8-12.3

70-87
79-88
90
80-86
34-47

2.54-2.61
2.57-2.65
2.57
2.62-2.66
2.53-2.56

2.6-7.5
2.6-3.2
5.0
1.9-4.3
1.0-5.0

5-9
5
8
6
5

3.7
5.7
-

22

Nanno foram chalk ooze

1,950

115

112

45

2.73

14

40
(1.4 kPa, 44)b
35
(1.4 kPa, 42)b
*at stress < 32 kPa
-

23
24
25

Nanno ooze
Clay rich nanno ooze
Calcareous ooze

4,721
4,431
3,930

123
60
98-110

146
59
66-70

55
16
42-57

14.2-14.3

56-75

2.60
14
2.65-2.69 4.8-8.9 lab

3-6

11

28

26

Calcareous ooze

1,100

51-71

N.A.

N.A.

80-86

2.68-2.72 14-27
in-situ
0.4-1.8 ship

5-10
0
in-situ

5,518

219

198

71

19

2,649
2,649
2,649
2,414
2,414

151
185
119
87-106
83-171

71
NPa
NPa
-

47
NPa
NPa
-

13-14
12-13
13.0-13.5
13.8-13.9
13.1

small
small
small
1
1

2.38
2.30

1.6
18-44
83
43
40

2.2-4.4 ship

27
28

29

Siliceous ooze
Radiolarian and ash rich Diatom
Ooze
Clayey Diatom Ooze (1.2-10m)
Diatom ooze (170m)
Silt rich Diatom ooze (230m)
Diatom ooze (118m)
Diatom ooze (155m)

b
(2.7 kPa, 40)

0.64-0.89

0.170.23

(3.4 kPa, 34)c

32
-

0
0

36
41

2.64
2.78
-

0.49
0.67
-

2-3

3.1

27

30

Pelagic Clay
Pelagic clay

5,460

94-112

73-111

35-48

negligible

31
32

Pelagic clay
Pelagic clay

4,600
4,600

144-162
135-162

115-124
105-109

55-56
56-61

very low
very low

2.72
0.68-1.35
2.69-2.73 0.73-1.37

3-12
3-12

0
37
1.82
(3.1 kPa, 30)d 1.70

0.35
0.34

33
34
35
36

Pelagic clay (Abyssal hills)

Pelagic clay (Abyssal hills)
Iron oxide (Abyssal hills)
Iron oxide (Abyssal hills)

5,421
5,768
5,644
5,163

112-138
115-122
186-284
202-235

91-103
74-86
157-223
225-229

35-38
36-37
79-102
97-101

14.1
14.3-14.4
12.2
13.0

0.1
0
0.1
0

2.69-2.79
2.74-2.81
2.70
2.84-3.30

1.8-4
2.4
2-3
1.8-2

1.7
3.4
3.5
4.3

0.20
0.29

4.3-6.0
1.3-2.8
9.3-13.1
12.2-13.5

37
35
38
38

0.72
2.06

a: NP indicates Non-Plastic
b: Data in parentheses are (c, ) at normal effective stress < 32 kPa. Data in c and columns at normal effective stress > 32 kPa.
c: Data in parentheses are (c, ) at normal effective stress < 80 kPa. Data in c and columns at normal effective stress > 80 kPa.
d: Data in parentheses are (c, ) for core 31 at normal effective stress <25kPa. Data in c and columns at normal effective stress >25kPa.

3-7

3.3.3

Water Content

ASTM D2216 (Ref. 3-1) describes the standard method for the laboratory determination
of water content for terrestrial soils. In marine soils, salt comprises a small portion of the fluid
phase in the natural state. For highly accurate computations, a correction should be applied to
the equation for calculating the water content. This correction, however, is most often not
made.
The water content of the soil sample, corrected for dissolved salts in the pore fluid, is
obtained from:

(W1 W2 ) + r (W1 W2 )
100
(W2 Wc ) r (W1 W2 )

w=

(3-1)

where:
w =
r

3.3.4

water content corrected for salt content [%]

salinity of pore fluid defined as the ratio between the weight of dissolved salt
and the weight of seawater; for engineering, assume a value of 0.035

W1 =

weight of container and moist soil [F]

W2 =

weight of container and oven-dried soil [F]

Wc =

weight of container [F]

Unit Weight

The wet and dry unit weights are determined from relatively undisturbed soil samples
obtained directly from core tube or liner sections of known length and diameter (ASTM D2937,
Ref. 3-1) or from a carved sample of known volume, such as a consolidation sample or a triaxial
cylindrical sample. The wet, or bulk, unit weight of the soil sample is:

W
V

(3-2)

where:
W =
V

wet weight of the soil sample [F]

volume of the soil sample [L3]

The adjusted dry density, corrected for salt content, is:

d =

(W2 Wc ) r (W1 W2 )
V

(3-3)
3-8

3.3.5

Specific Gravity

Two methods are used for determining the specific gravity, or grain density, of materials
that make up soil samples. For that portion of a sample finer than the no. 4 sieve [4.76 mm], the
pycnometer method is used (ASTM D854, Ref. 3-1). For the coarser portion of a sample, a
technique better suited to the larger grain sizes is used (ASTM C127, Ref. 3-6). Most marine soils
are finer than 4.76 mm, and a discussion of the pycnometer method will suffice here. ASTM
D854 provides guidance on computing the weighted average specific gravity for those samples
containing both coarse and fine materials.
The soil sample is first leached of soluble salts by placing the sample on filter paper in a
Bchner funnel and washing the sample with distilled water. This sample is then washed into
the pycnometer, and the test is run as described in the ASTM standard.
The specific gravity of soil grains is calculated from:

Gs=

G wWd
Wd (Wb Wa )

(3-4)

where:
Gw =

specific gravity of distilled water at the temperature t of the pycnometer and

contents (see ASTM D854)

Wd =

weight of oven-dry soil [F]

Wa =

weight of pycnometer filled with distilled water at temperature t [F]

Wb =

weight of pycnometer filled with distilled water and soil sample at temperature
t [F]

For most seafloor soils (except for siliceous oozes and pelagic clays of high iron oxide
content), the specific gravity can be estimated as 2.7 without incurring significant error. Table
3.3-2 lists some measured values for specific gravity of ocean sediments (Ref. 3-5).
3.3.6

Liquid Limit, Plastic Limit, and Plasticity Index

The liquid limit and plastic limit are water contents of soils at borderlines used to
describe significant changes in physical properties. They are known as Atterberg limits, after the
man who designed the test. Although the test specifics were somewhat arbitrary, they are now
a primary standard for indexing behavior of fine-grained soils. ASTM D4318 (Ref. 3-1) describes
the standard test methods for determining the liquid limit, plastic limit, and plasticity index of
soils.
3-9

3.3.6.1 Liquid Limit

The liquid limit (wL) is the water content at the transition between the liquid and plastic
states of a soil. This is determined from testing with a cupped device into which remolded soil is
placed. A groove is scoured into the soil, separating it into two halves. The liquid limit is arbitrarily defined as the water content at which the two halves will flow together when the finely
calibrated cup containing the soil halves is dropped a specific distance 25 times at a specified
rate.
The liquid limit test is intended to be performed only on that portion of a soil sample
passing a no. 40 sieve (less than 0.42 mm in diameter). It is very important that preparation of
the test sample does not change the sample characteristics and cause this boundary to shift.
Shifting of the boundary is likely with marked change of: (1) the soils pore water salt content
and (2) the sediment grain characteristics.
To minimize the impact of salt concentration change in the pore water, the liquid limit
test on marine soils should be run on material taken directly from the stored sample tubes.
Distilled or deionized water should be added to the sample to raise the water content, or the
sample should be allowed to lose moisture by air drying with air blower or heat-lamp assistance
until the liquid limit has been defined by running the test at several water contents. Although
this procedure will result in some change in water-salt concentration, the effect of this small
change on the liquid-plastic boundary is minimal.
To minimize degradation of sediment grains, especially for the pelagic oozes, the
mechanical agitation and remolding of the soil must be minimized. Dry preparation should not
be used for specimens containing measurable percentages of biogenous or organic materials
(Section 3.3.2).
For those cohesive soil samples containing significant amounts of coarser materials, separation of coarse and fine material may be possible but is a laborious process. The sample can
be soaked in distilled water and gently pushed through a no. 40 sieve. The empty sieve is first
placed in a pan; and then the soaked sample is poured into the sieve. Distilled water is added to
the pan, bringing the water level to 1 cm over the screen. The soil is then gently stirred with the
fingers while the sieve is agitated up and down. Remains of the original sample are worked until
all the fine material has passed through the sieve into the pan. Most water from the pan sample
is removed by passing through filter paper in a funnel. The moist soil fines retained on the filter
paper are then warmed by heat lamp or air blower until the soil reaches a puttylike consistency
suitable for the liquid limit test. However, because this method of sample preparation removes
most of the pore water salt from the sample, it may influence test results. If at all possible,
direct use of marine soils from the stored sample tubes and physical separation of coarse
materials is preferred for Atterberg limit determinations.

3-10

Except for the recommended changes in sample preparation and mixing, the liquid limit
test is conducted as specified in ASTM D4318 (Ref. 3-1). It is most desirable to run the test at
water contents just above and below that which would require 25 drops to cause sample
closure. Two tests should be run at each of these levels, and interpolation should be used to
determine the 25-drop water content. The one-point method described in the standard should
not be used for marine soils.
3.3.6.2 Plastic Limit
The plastic limit (wp) of a soil is the water content at the transition between the plastic
and semi solid states. The plastic limit is arbitrarily defined as the lowest water content at which
the soil can be rolled into threads 1/8 inch in diameter without the threads breaking into pieces
(ASTM D4318, Ref. 3-1).
All comments pertaining to the preparation and handling of the sample for the liquid
limit test also apply to the plastic limit test.
3.3.6.3 Plasticity Index
The plasticity index (PI) is calculated as the difference between the liquid and plastic
limits; i.e.,

PI
= wL wP

(3-5)

Values of the liquid limit and plastic limit for samples of seafloor soil types are reported
in Table 3.3-2.
3.3.7

Grain Size Analysis

The determination of the grain size distribution of marine soils is performed in the same
way as for terrestrial soils (ASTM D422-63, Ref. 3-1), with some variation in sample preparation
to limit grain particle degradation. 1 The distribution of particle sizes larger than 0.075 mm (no.
200 sieve) is determined by sieving. The distribution of sizes finer than 0.075 mm is determined
by hydrometer test. Grain sizes up to 2.0 mm (no. 10 sieve) can be included in the hydrometer
test sample to provide an overlapping of grain size distribution curves from the two methods.
Since most marine soils, including the brown clays and oozes, are finer than 2.0 mm, separation
of the sample on the no. 10 sieve is not necessary; the hydrometer test can be performed
directly on the sample.
1

Salt content of the water plays no part in this test.

3-11

Samples of marine soils for grain size sieving are prepared by the wet method. The soil is
not oven-dried prior to the test because this would remove the water from within the
biogenous structures and could alter the structure of clay-sized particles or could cause particle
bonding into larger particles. These effects are not reversed upon rewetting. When washing
these sediments on the sieves, the agitation must be kept to a minimum to limit particle
degradation.
Samples of marine soils for the hydrometer test are prepared by rough mixing the
sample with water to promote separation of the very small particles. Some pelagic clay samples,
notably those having a high iron oxide content, are very difficult to separate into individual
particles. One technique places the sample in a solution of dispersing agent, sodium
hexametaphosphate. The soil and dispersant are then mixed in a blender, followed by
centrifuging of the mixture to separate the solid particles. This process is repeated perhaps
three times to reduce the natural flocculated structure to a dispersed structure. Particle
degradation for clay-sized material is not a significant problem, as the material is primarily
minute plate-shaped particles that do not break down.
The grain size curves from the sieve analysis for larger particles and from the
hydrometer analysis for smaller particles may not agree exactly where the test data overlap.
Part of this deviation arises because the theory on which the hydrometer grain size analysis is
based (Stoke's theory) assumes a spherical-shaped particle. Clay particles and much of the
foram fragments are plate shaped and do not conform to the theory. Further, the whole
biogenous shells, especially the foraminifera, are hollow spheres. Thus, their effective specific
gravity is lower than that measured (Section 3.3.5). The specific gravity error causes the
percentage of the sediment classified as fine-grained to be larger than it really is.
3.3.8

Carbonate and Organic Carbon Content

The organic and carbonate carbon contents of the marine sample should be measured
for those soils with suspected high carbonate content (>30%) and for those giving off hydrogen
sulfide gas. ASTM D4373-02 (Ref. 3-1) describes the standard test methods for determining the
carbonate content of soils. The test is a gasometric method that utilizes a simple portable
apparatus. Note that this method does not distinguish between the carbonate species and such
determination must be made using quantitative chemical analysis methods such as atomic
absorption.
The organic carbon content may be determined by wet combustion using an elemental
chemical analysis. Details of this test method are presented in the ASTM Special Procedures for
Testing, STP38516S.

3-12

3.4 ENGINEERING PROPERTY TESTS

3.4.1

General

Engineering property tests define properties of soil or soil samples at specific states of
stress. The most important is the undisturbed state or as the soil exists in its natural
environment. Most testing attempts to establish properties for this condition.
The undrained shear strength (su) of samples of cohesive marine soils can be measured
either by a vane shear test or by an unconsolidated-undrained (UU) triaxial test. The unconfined
compression test, a special case of the UU triaxial test where confining pressure is zero, is often
run because of its simplicity. Soil strength is measured differently in each of the tests, but the
value will be approximately the same as undrained shear strength.
Laboratory vane shear testing is uniquely suited to very soft sediments that cannot
stand under their own weight outside the core liner (a prerequisite for sample preparation in
most UU testing). In addition, the vane shear test is the only laboratory test used to date for
determining the sensitivity of soft marine cohesive soils. The vane shear test can be used only
on cohesive soils. Tests should never be taken in granular soils as any such measurement is
meaningless and misleading.
Other, generally more complex, testing is done for soil parameters useful in predicting
soil behavior under conditions different than those existing (for example, the different stress
conditions created by placement of a structure on or in the soil). The effective stress
parameters, c and , define a generalized soil failure criterion (Mohr-Coulomb failure
envelope) and are usually determined in a consolidated-drained (CD) or consolidated-undrained
(CU) triaxial test with pore pressure measurements.
The compression index, Cc, and coefficient of consolidation, cv, are determined from the
one-dimensional consolidation test. The permeability, k, can be calculated either from consolidated triaxial tests or from one-dimensional consolidation tests.
A summary of test requirements is given in Table 3.4-1. Care should be taken that the
testing conditions represent stress states for the soil being investigated.

3-13

Table 3.4-1. Requirements for Engineering Property Tests (Ref. 3-4)

Test

Reference for
Suggested Test
Procedure

Applicability and Variations

From Suggested Test
Procedure

Size or Weight of Sample

for Test (Undisturbed or
Remolded)

Vane Shear

ASTM D4648

Applicable to very soft to stiff

saturated fine-grained
(cohesive) soils.

Test usually run on exposed

sample at end of core liner
tube. Specimen height 3 3
vane height. Specimen
diameter 3 3 vane
diameter.

Unconfined
Compression (UC)

ASTM D2166

Pelagic clays from depths

greater than 15ft; biogenous
oozes, and nearshore
terrigenous silts normally too
soft to be properly prepared
for this test.

Minimum cross-sectional
area 10 cm2. Length = 2 to 3
3 vane diameter.

ASTM D2850

Information similar to that for

UC test; can be used with
softer and more pervious
sediments than UC.

Same as UC test.

ConsolidatedDrained (CD)

Ref. 3-2

Rate of shear limited to allow

complete drainage.

Same as UC test.

ConsolidatedUndrained (CU)

ASTM D4767
and Ref. 3-2

More common and generally

less time-consuming than CD.
Pressure lines leading to
sample should be seawater
filled. Loading rod friction
should be minimized by using
air bushing or equivalent.

Same as UC test.

One-Dimensional
Consolidation

ASTM D2435

Must provide for very low

initial load increments. Sample
should be submerged in
seawater.

Sample diameter 50 mm
or 2 to 5 3 height. Sample
height 13 mm.

Direct Shear

ASTM D3080

Limited to consolidated shear

tests on fine-grained soils.

Sample diameter 50 mm,

or 2 3 height. Sample
height 12.5 mm.

Triaxial Compression
Unconsolidated
Undrained (UU)

3-14

3.4.2

Vane Shear Test

ASTM D4648 (Ref. 3-1) standardized the laboratory vane shear tests. The following is
based this standard.
1. Scope. The laboratory vane shear test is applicable to very soft to stiff saturated
fine-grained (cohesive) soils. The laboratory vane shear test should not be used in
soils with very high undrained shear strengths (su greater than 14 psi) because vane
failure conditions in these higher strength soils may deviate from the assumed
cylindrical failure surface and cause significant error in the measured strength. This
method includes use of either conventional calibrated spring units or electrical
torque transducer units with a motorized miniature vane.
2. Description of the Test. The miniature vane shear test consists of inserting a fourbladed vane in an undisturbed tube sample or remolded sample and rotating it at a
constant rate to determine the torsional force required to cause a cylindrical surface
to be sheared by the vane. Force is measured by a calibrated torque spring or
torque transducer directly attached to the vane. This force is then converted to a
shearing resistance primarily on the cylindrical surface.
3. Apparatus. The vane should consist of a rectangular four-bladed vane as illustrated
in Figure 3.4-1. It is recommended that the height of the vane be twice the
diameter, although vanes with other ratios can be used, including a height equal to
the diameter. Vane blade diameter typically varies from 0.5 to 1.0 inch. Variations
from recommended values would be made where sample size presents constraints
or where other special conditions exist. The vanes should be thin so as to displace
no more than 15% of the soil when inserted into the soil.
Torque is applied to the vane by manual or motorized power. The shaft should be
rotated at a constant rate of 60 to 90 deg/min. Another, slower standard rate (6
deg/min) is sometimes used. Torque is measured through a spring or an electrical
transducer rotating with the shaft.
4. Preparation of Samples. Soil samples into which the vane is inserted should be large
enough to minimize influence of container sides on the test results. The test should
not be centered closer to the edge of the container than 1.5 times the vane
diameter. Tests run in the same container should be at least 2.0 times the vane
diameter apart from each other.

3-15

Figure 3.4-1. Miniature vane blade geometry.

5. Test Procedure. The vane shear unit should be securely fastened to a table or frame
to prevent movement during a test. The vane is inserted and fixed at an elevation in
the sample so that the vane top is embedded by an amount at least equal to the
vane height. The sample should be held firmly to prevent rotation. Torque readings
should be recorded at a frequency that will allow good definition of the torquerotation curve (approximately every 5 of rotation) or until a maximum of 180 of
rotation is obtained. The vane blade is removed and cleaned, and a representative
sample of the specimen is taken from the vicinity of the test to determine the water
content. The soil is inspected for sand, gravel, and other inclusions that may have
influenced test results. Care should be taken to make notes of all sample or test
peculiarities observed.
The remolded vane strength, if desired, is obtained following the test on the
undisturbed sample and prior to removal of the vane and soil sampling. Following
the initial test, the vane rotation should be continued (at a more rapid rate) until
two complete revolutions have been completed from the original position of the
vane when it was inserted. Determination of the remolded strength should be
started immediately after completion of rapid rotation. The procedure, outlined
above, is followed with vane removal and soil sampling done at its conclusion.
3-16

6. Calculations. A graph is prepared showing the applied torque versus the rotation
angle. The vane shear strength (suv) is computed from the maximum torque value
using the same equation previously introduced for computing in-situ vane shear
strength [Equation 2-1]. The remolded shear strength is computed the same way.
Soil sensitivity (St) is derived from the ratio of undisturbed to remolded shear
strength as follows:

St =

suv (undisturbed )
suv (remolded )

(3-6)

The shear strengths measured by the laboratory vane shear test are influenced by
effects of anisotropy and strain rate, as described in Section 2.5.2 for in-situ vane
tests. For comparison with undrained shear strengths determined by triaxial testing,
a correction factor should be applied as done for the in-situ vane data through use
of Equation 2-2 and the correlation with plasticity index from Figure 2.5-1.

3.4.3

Unconfined Compression Test

The standard test method for determining the unconfined compressive strength of
marine soils is defined in ASTM D 2166 (Ref. 3-1).
The unconfined compression test should only be performed on samples that are
cohesive, are relatively impervious, and have sufficient strength to stand under their own
weight. Pelagic clays from subbottom depths beyond 15 feet would usually meet these criteria;
biogenous oozes and nearshore silty sediments generally would not.
3.4.4

Unconsolidated, Undrained Triaxial Compression Test

The unconsolidated, undrained (UU) triaxial comprerssion test for marine soils is run as
described in ASTM D2850 (Ref. 3-1). Although the UU test determines the same type of
information as the unconfined compression test, it can be run on somewhat softer and more
pervious sediments, but requires very careful sample preparation and handling.
3.4.5

Consolidated-Undrained and Consolidated-Drained Triaxial Compression

Tests
The consolidated-undrained (CU) and consolidated-drained (CD) triaxial tests are used

to measure the effective strength parameters, c and , of cohesive marine soils. These
parameters can also be measured from the drained direct shear test (Section 3.4.6). The CU
triaxial test is standardized by ASTM D4767 (Ref. 3-1) but the CD test is not. Comprehensive test
descriptions and procedures for both tests are given on pages 122-137 of Reference 3-2 and in
Reference 3-7.
3-17

3.4.6

Consolidated-Drained Direct Shear Test

The consolidated-drained direct shear test is another alternative for determining the

effective strength parameters, c and , for marine cohesive soils. This test is standardized as
ASTM D3080 (Ref. 3-1). The direct shear test is well-suited to a consolidated-drained condition
because the drainage paths through the test specimen are short, thus allowing consolidation to
take place fairly rapidly. However, the test is not suited to the development of exact stressstrain relationships within the test specimen because of the nonuniform distribution of shearing
stresses and displacements. The slow rate of displacement provides for dissipation of excess
pore pressures, but it also permits plastic flow of soft cohesive soils.
3.4.7

Consideration for Triaxial Testing of Marine Soils

Some special considerations must be made for triaxial testing of marine sediments. First,
since marine sediments have seawater as a pore fluid, the pressure lines leading to the sample
should be filled with seawater rather than freshwater, if possible, when this water may enter
the sample. Although data have not been published to show that freshwater changes soil
behavior, in theory, changes in pore water salt content accompanying water entry to marine
samples could significantly alter behavior. Using saltwater in the pressure lines may, however,
introduce a corrosion problem requiring use of stainless steel fittings at critical points. Secondly,
many marine sediments are considerably softer than those usually found on land. Load and
pressure transducers used to make measurements need to be sensitive or accurate at
abnormally low readings: accuracy to within 0.02 pound for load and 0.02 psi for pressure.
Devices such as air bushings must be used to reduce friction between loading rod and cell
considerably below what is normally acceptable for soils testing.
3.4.8

One-Dimensional Consolidation Test

Procedures for the one-dimensional consolidation test have been standardized in ASTM
D2435 (Ref. 3-1). Engineering properties determined by this test include the Compression Index,
Cc; the Recompression Index, Cs; the coefficient of consolidation, cv; the coefficient of
permeability, k; and the coefficient of secondary compression, c. These data are used for estimating the amount and time rate of settlement under applied loads.
The degree of overconsolidation is also typically determined from this test. It is an
engineering property of high value because of the high impact that soil stress history has on
shear strength and other soil behavior. A soil that has undergone consolidation under a higher
effective vertical overburden pressure than presently exists is overconsolidated. The ratio of this
past effective pressure to the present effective pressure is called the overconsolidation ratio
(OCR). OCR may also be determined through triaxial testing, which measures consolidation.
The only major procedural difference in adapting the standardized consolidation test to
marine soils is a need for applying very low loads, as low as 8 psf. This is normally achieved by
3-18

placing small weights on the loading cap for the first few load increments. In addition, the soil
sample should be submerged in seawater rather than freshwater.

3.5 PROPERTY CORRELATIONS

3.5.1

General

This section presents correlations of soil engineering properties with index properties
more easily measured. The correlations can be used as a rough guide for estimating properties
when only limited site survey information is available. They should not be used for design
without evaluation of actual material properties through laboratory or in-situ tests.
3.5.2

Nearshore Sediments

The nearshore terrigenous sediments are highly variable in composition. A considerable

amount of information in geotechnical engineering literature can be applied to these sediments.
Figure 3.5-1 shows a correlation between su / pvo versus plasticity index for normally
consolidated (NC) glacial clays on land and in coastal regions (Ref. 3-8). In this figure, su is the
undrained shear strength, and pvo is the effective vertical overburden pressure. In Figure 3.5-1,
young refers to normally consolidated recent sediments, and aged refers to clays that have
developed higher strength due to higher inter-particle bonding that has occurred with aging.
The effects on strength are similar to a mild overconsolidation.

Figure 3.5-1. Relationship between su/pvo and PI for normally consolidated late glacial clay (Ref. 3-8).

3-19

The su / pvo ratio for overconsolidated (OC) soils will be higher than the range shown in
Figure 3.5-1. Compared with normally consolidated (NC) soils, the ratio su / pvo has been
observed to increase as a function of the over-consolidation ratio (OCR) as follows:

su / p vo for OC soil
= (OCR ) 0.8
su / p vo for NC soil

(3-7)

This relationship and the data in Figure 3.5-1 can be used to make a rough estimate of
the in-situ strength of overconsolidated nearshore marine clays.
Figure 3.5-2 shows a correlation between friction angle (angle of shearing resistance, )
and plasticity index for normally consolidated, fine-grained soils. Although this was not
developed with data from marine soils, it can be used to make a rough estimate of for nearshore, terrigenous, fine-grained soils.
Figure 3.5-3 shows a correlation between coefficient of consolidation (cv) and liquid limit
for fine-grained soils. Although this was not developed with data from marine soils, it can be
used to make a rough estimate of cv for nearshore, terrigenous, fine-grained soils.

Figure 3.5-2. Relationship between friction angle and PI for normally

consolidated fine-grained soils (Ref. 2-5).

3-20

Figure 3.5-3. Correlation between coefficient of consolidation and liquid limit (Ref. 3-4).

The soil deposits in many river delta front regions of the continental shelf are under
consolidated (have not fully consolidated under their present effective overburden pressure)
and have strengths lower than would be expected for their existing stress condition. References
3-9, 3-10, and 3-11 contain information on the properties of these special types of sediments.
The properties of nearshore calcareous sediments, particularly their interaction with
pile foundations, have been found to be different from those of terrigenous sediments.
Calcareous sands are highly variable in character and behavior due to mode of deposition and
alterations that take place after deposition. For this reason, typical properties cannot be
suggested for nearshore calcareous sands. Reference 3-12 gives a summary of available
information.

3-21

3.5.3

Deep Sea Sediments

Although the deep sea region is a relatively calm depositional environment, other
processes, such as turbidity currents, can cause deposition in a considerably different manner.
Still, vast regions of the seafloor are covered with sediments relatively uniform in profile
(compared to adjacent sediments at the same depth) with corresponding relatively uniform
engineering properties at equivalent depths. Chapter 2 presented estimated strength profiles
for soils found in deep ocean regions to assist in planning for site surveys. Most data were
extrapolated from shallow soil samples by consolidating them to the state of stress found at
deeper elevations. The following sections present additional data on deep sea sediments, most
of which were obtained in connection with shallow (upper 60 cm) exploration for manganese
nodule deposits.
3.5.3.1 Pelagic Clays
The pelagic brown or red clays are very fine-grained silty clays typically with more than
60% particles finer than 0.002 mm. Liquid limits range from 75 to 275, and plasticity indices
range from 40 to 180. As shown in Figure 3.5-4, the plasticity data for pelagic clays indicate they
behave like highly compressible clayey silts and silty clays (this is indicated by data plotting close
to the A line and to the right of the B line).
The water content for pelagic clays is usually higher than the liquid limit. The average
undrained shear strength within the upper 60 cm of the soil profile is in the range of 0.5 to 1.5
psi. The laboratory-measured sensitivity is in the range of 2 to 10. Effective cohesion values, c, in
the range of 0.14 to 0.45 psi and a friction angle, , in the range of 27 to 37 are indicated
(from very limited test data).
The range of compression index (Cc) for pelagic clays is shown in Figure 3.5-5. In
consolidation tests, pelagic clays from shallow embedment depths exhibit mild
overconsolidation behavior. In the figure, e0 refers to the void ratio, which is equal to the
volume of voids divided by the volume of solids for the soil sample.
3.5.3.2 Pelagic Oozes
Pelagic oozes are calcareous or siliceous remains of tiny marine organisms or plants and
have properties based on the type of sediment and the amount of clay in the sediment. Only a
limited amount of data is available on the engineering properties of pelagic oozes in the upper
few feet of the soil profile. These indicate that oozes have water contents in the range of 50 to
100% (or up to 300% for siliceous ooze) and shear strengths in the range of 0.5 to 1.5 psi.
Very limited test data indicate effective cohesion values, c, in the range of 0 (not
measurable) to 4 psi and a friction angle, , in the range of 27 to 37. The range of
compression index (Cc) for calcareous oozes is illustrated in Figure 3.5-5.
3-22

Figure 3.5-4. Range of PI values for pelagic clay.

Figure 3.5-5. Correlation between water content and Cc / (1 +e0) for pelagic clay and calcareous ooze.

3-23

3.6 REFERENCES
3-1.

04.08 Soil and Rock (I): D 420 D 5876, in Annual Book of ASTM Standards, American
Society for Testing and Materials. Philadelphia, PA, Mar 2010.

3-2.

T.W. Lambe. Soil Testing for Engineers. New York, NY, John Wiley and Sons, 1951.

3-3.

Earth Manual, 3rd Edition, Bureau of Reclamation, U.S. Department of the Interior.
Denver, CO, 1998.

3-4.

Unified Facilities Criteria (UFC): Soil Mevhanics, Naval Facilities Engineering Command
(Preparing Activity), UFC 3-220-01N. Washington, DC, Jun 2005.

3-5.

P.J. Valent. Engineering Behavior of Two Deep Ocean Calcareous Sediments, Including
Influence on the Performance of the Propellant Driven Anchor, Ph.D. Thesis, Purdue
University. Lafayette, IN, Aug 1979, pp 19-20.

3-6.

04.02 Concrete and Aggregates, in Annual Book of ASTM Standards, American Society
for Testing and Materials. Philadelphia, PA, Oct 2009.

3-7.

A.W. Bishop and D.J. Henkel. The Measurement of Soil Properties in the Triaxial Test, 2nd
Edition. London, England, Edward Arnold Ltd., 1962.

3-8.

L. Bjerrum. Embankments on Soft Ground, in Proceedings of ASCE Specialty

Conference on Performance of Earth and Earth-Supported Structures, Vol. 2, Purdue
University. Lafayette, IN, 1972.

3-9.

I. Noorany and S.F. Gizienski. Engineering Properties of Submarine Soils, State-of-theArt Review, in Journal of Soil Mechanics and Foundations Division, ASCE, Vol. 96, No.
SM5, Sep 1970, pp 1735-1762.

3-10.

A.F. Richards. Marine Geotechnique. University of Illinois Press, 1967.

3-11.

K. Terzaghi. Varieties of Submarine Slope Failures, in Proceedings of Eighth Texas

Conference on Soil Mechanics and Foundation Engineering, University of Texas, 1956.

3-12.

K. R. Demars, editor. Geotechnical Properties, Behavior, and Performance of Calcareous

Soils, American Society for Testing and Materials, STP 777. Philadelphia, PA, 1982.

3-24

3.7 SYMBOLS
c

Effective soil cohesion (drained cohesion intercept) [F/L2]

Cc

Compression index, also grain size coefficient

CD

Consolidated-drained triaxial compression test

CH

Inorganic clay, high plasticity

CL

Inorganic clay, low to medium plasticity

Cs

Recompression index

CU

Consolidated-undrained triaxial compression test (with pore pressure measurement)

Cu

Coefficient of (grain size) uniformity

cv

Coefficient of consolidation [L2/T]

Coefficient of secondary compression

Diameter of vane blade [L]

D10

Sample grain diameter, below which 10% of material falls [L]

D30

Sample grain diameter, below which 30% of material falls [L]

D60

Sample grain diameter, below which 60% of material falls [L]

e0, e0

Void ratio

GC

Clayey gravel

GM

Silty gravel

GP

Poorly graded gravel

Gs

Specific gravity (see also S.G.)

Gw

Specific gravity of distilled water

GW

Well-graded gravel

Height of vane [L]

Permeability [L/T]

LI

Liquidity index

MH

Inorganic elastic silt

ML

Inorganic silt, low plasticity

NC

Normally consolidated

OC

Overconsolidated

OCR

Overconsolidation ratio

OH

Organic clays, medium to high plasticity

OL

Organic silts and clays, low plasticity

PI

Plasticity index
3-25

Pt

Peat and other highly organic soils

pvo

Vertical effective stress, or soil overburden pressure [F/L2]

Salt content

SC

Clayey sand

S.G.

Specific gravity (see also Gs)

SM

Silty sand

SP

Poorly graded sand

St

Sensitivity

su

Undrained shear strength [F/L2]

suv

Vane shear strength [F/L2]

SW

Well-graded sand

Reference temperature for pycnometer test weights

UC

Unconfined compression test

UU

Unconsolidated-undrained condition for triaxial testing

Volume [L3]

Wet weight of soil sample [F]

Wa

Weight of pycnometer filled with distilled water [F]

Wb

Weight of pycnometer filled with distilled water and soil sample [F]

Wc

Weight of container in water content determination [F]

Wd

Weight of oven-dry soil [F]

W1

Weight of container, and moist soil [F]

W2

Weight of container and oven-dried soil [F]

Water content corrected for salt content

wL

Liquid limit

wP

Plastic limit

wn

Natural water content

Wet, or bulk, unit weight [F/L3]

Dry unit weight [F/L3]

Effective, or drained, friction angle [deg]

3-26

4 SHALLOW FOUNDATIONS AND DEADWEIGHT ANCHORS

4.1 INTRODUCTION
4.1.1

General

Shallow foundations and deadweight anchors are typically similar structures, their main
element being a footing that interacts with the soil. Shallow foundations primarily resist
downward-bearing and sideward forces, while deadweight anchors resist upward and sideward
forces.
The design methods in this chapter are applicable to shallow foundations and
deadweight anchors located in the deep and shallow ocean areas and follow an iterative or trialand-error process. The process starts with an estimation of reasonable or convenient
foundation or anchor dimensions, and then an analysis is made to predict performance. If the
proposed foundation or anchor is found to be inadequate or to be excessively overdesigned, the
dimensions are changed and the analysis process is repeated. In some cases the selected
shallow foundation or deadweight anchor for the given soil conditions may be found impractical
or too costly. Other foundation types (such as piles) must then be considered.
4.1.2

Definitions/Descriptions

4.1.2.1 Shallow Foundations

Generally, to be considered shallow a foundation would have a depth of embedment,
Df, less than the minimum lateral dimension (width) of the foundation, B. The horizontal base
dimensions of a shallow foundation are generally large relative to the foundation thickness.
Figure 4.1-1 is a sketch of a simple foundation. In the figure, zs is the shear key height, and H is
the foundation base height. Other types of shallow foundations are shown in Figure 4.1-2.
Some shallow foundations for use in soft ocean soils are constructed with shear keys or skirts
that extend below the foundation base to improve the lateral load resistance of the foundation.
The loading on a shallow foundation will be the combination of structure weight,
environmental loading from current and wave forces (and possibly from wind and earthquake
forces), and other externally applied forces. Loadings may include overturning moments, which
create uplift (tensile) as well as downward (compressive) pressures. Virtually all loadings (except
gravitational loadings on a horizontal seafloor) develop some load component parallel to the
seafloor (lateral loads).

4-1

The type of loading will determine the methodology used in design. If the foundation
loading is compressive (downward), resistance is derived from the bearing capacity of the soil. If
a portion of the foundation is loaded in tension (upward), the uplift resistance will depend on
the submerged weight of the foundation, the soil friction on the embedded surfaces, and
suction beneath the foundation.

Figure 4.1-1. Features of a simple shallow foundation.

4-2

Figure 4.1-2. Types of shallow foundations.

4.1.2.2 Deadweight Anchors

A deadweight anchor can be any heavy object that is placed on the seafloor.
Deadweight anchors can rest on the seafloor or be partially or even completely buried within it.
The primary purpose of a deadweight anchor is to resist uplift and lateral forces from a mooring
line connected to a buoyant object. With the exception of a few specially shaped deadweight
anchors (designed to dig into the soil to a limited extent as the anchor is dragged), the behavior
of a deadweight anchor is practically the same as the behavior of a shallow foundation
subjected to an uplift load. The uplift resistance is provided primarily by the net submerged
weight of the anchor. Often, these specially shaped anchors provide little additional uplift
resistance above that provided by their submerged weight.
Ten types of deadweight anchor are shown in Figure 4.1-3. They range from relatively
sophisticated anchors with shear keys to simple concrete clumps or clumps of heavy scrap
materials. Anchors with shear keys provide greater lateral load resistance than do those without
shear keys. However, the additional capacity of the more sophisticated deadweight anchors may
be offset by increased costs for fabrication and installation.
4-3

Figure 4.1-3. Types and significant characteristics of deadweight anchors.

4.2 DESIGN CONSIDERATIONS

4.2.1

General

First, information about potential sites and the loading characteristics for the
foundation or anchor must be determined. This information is used for the following purposes:

To define the appropriate types of geotechnical information needed which will allow
foundation or anchor design.

To select sites attractive from geotechnical considerations and to avoid sites

containing hazards.

To obtain the needed specific soil parameters for design.

Factors influencing a foundation or deadweight anchor design are then weighed as the
selection and design process is carried out. These factors include:

Knowledge of site characteristics (water depth, bathymetry and slope, stratigraphy,

environmental loading conditions, potentially hazardous features, among others).
4-4

Structure or moored platform characteristics (and the nature and relative

importance of the structure or platform).

Soil characteristics (vertical and lateral extent of the soil investigation to determine
existing conditions and parameters for design).

Extent of knowledge and local experience on the behavior of similar foundation or

anchor types.

Cost and level of risk of failure.

The foundation design process is interactive and involves all these considerations in
varying degrees. The listed considerations should influence the choice of safety factors for
design calculations which contain uncertainties.
4.2.2

Site

Site characteristics important to shallow foundations and deadweight anchor design

include water depth, topographic features, data on environmental conditions, stratigraphic
profiles, sediment characteristics, and potentially hazardous seafloor features. At the earliest
opportunity, attention should be given to identifying seafloor features that suggest steep slopes,
erosion, existing slumps, or under-consolidated sediment. These indicate that excessive
settlement, overstressing, or large foundation movement can occur. If a more suitable site
cannot be located, minimization of the effects of these problems should be considered during
design.
4.2.3

Structure

Characteristics of the structure or moored platform drive the foundation or anchor

design. Weight, configuration, stiffness, purpose, design life, and cost, as well as other
information, are relevant. These dictate the loading conditions and other design considerations
and relevant factors of safety which determine the type and size of the foundation or anchor.
4.2.4

Loading
The following loading conditions should be determined:
1. Static long-term loading (i.e., relatively constant loads applied for a long time
period) for cohesionless soils only. For example: the deadweight loading from the
structure and foundation.

4-5

2. Static short-term loading (i.e., relatively constant loads applied for a short time
period). For example: a downward force applied during installation to insure
penetration of shear keys, or a load increase on the foundation or anchor during
infrequent replacement of a subsurface buoy which had been applying a significant
buoyant force.
3. Rapid cyclic loading (i.e., significant repetitive forces occurring over a relatively short
period, so that excess pore pressures generated by the loading do not have time to
dissipate). For example: mooring line loads created from storm waves, or
earthquake loading of the structure or of the soil mass itself.
4. Slow cyclic loading (i.e., cyclic forces that occur over a sufficiently long time period
so that excess pore pressures generated by the loading have sufficient time to
dissipate between loads). For example: mooring line load variations created by tiderelated changes in current.
4.2.5

Geotechnical

The design of shallow foundations and deadweight anchors requires that the following
items affecting geotechnical aspects of design be considered:

Foundation instability: bearing capacity failure and other failures due to uplifting,
overturning, horizontal sliding, or combinations of these.

Slow foundation displacements primarily excessive consolidation settlement.

Installation problems associated with the use of shear keys.

Recovery problems associated with high resistance to breakout (Chapter 9).

The soil data required include soil type, index properties, density, strength under the
conditions of the applied loads, and deformation characteristics under static and cyclic loading
conditions. Table 4.2-1 lists the property values necessary to evaluate the loading conditions
discussed in Section 4.2.4 for cohesive and cohesionless soils.
At the site where the foundation or deadweight anchor is to be placed, the depth to
which soils data are required equals approximately the foundation width or diameter. The soil
characteristics and design parameters should be obtained through on-site and laboratory
testing. For unmanned or other noncritical installations, and for small structures and low loads,
where overdesign is not costly, soil information can often be estimated from available literature
(Chapters 2 and 3 include properties for typical soil types and engineering property correlations
with more easily obtained index properties). However, this lack of high quality soils data must
be reflected by use of a high factor of safety.

4-6

4.2.6

Factor of Safety

A safety factor must be applied during the design of foundations and deadweight
anchors to account for uncertainties in loading, soils data accuracy, and analytical procedure
accuracy. Table 4.2-1 lists recommended factors of safety to be applied to the loading conditions
discussed in Section 4.2.4 when soils properties are accurately known (by field and laboratory
testing). When these data are not well known, and for a critical installation, the safety factors
should be increased by multiplying the table value by 1.5.
Table 4.2-1. Soil Properties Required for Analysis and Recommended Factors of Safety

Loading
Condition

Recommended
Factor of Safety
(Fs) for Stabilitya

Soil Properties for

Cohesive Soilb

Long-Term
Static Loading

2.0

Drained Parametersc
, b, Cc, E, , eo

Drained Parameters
, b, E,

Short-Term
Static Loading

1.5

Undrained Parameters
su, St, b, Cc, E, , eo

Drained Parameters
, b, E,

Rapid Cyclic
Loadingd

1.5

Undrained Parameters
su, St, b, Cc, E, , eo

Undrained Parameters
u, b, E,

Slow Cyclic
Loadingd

2.0

Undrained Parameters
su, St, b, Cc, E, , eo

Drained Parameters
, b, E,

Soil Properties for

Cohesionless Soilb

These factors are recommended for the cases where properties data are accurately known. These
factors should be increased by multiplying the listed value by 1.5 if geotechnical data are not accurately
known or if the installation is particularly critical (see above).

In the absence of site-specific data on E and , the following are recommended:

For cohesive soil: E as given by Equation 4-47, with PI = 45%, and = 0.45.
For cohesionless and mixed soils: E as given by Equations 4-48 and 4-47 (with PI = 45%, and = 0.45),
respectively.

Long-term static loading in cohesive soils is rarely the limiting design case compared to short-term static
loading as cohesive soil tends to gain strength over time due to consolidation, and is not covered in this
chapter. Also, determination of drained cohesive parameters is expensive and time prohibitive.

Usually treated as equivalent to short-term static loading.

4.3 DESIGN METHODOLOGY AND PROCEDURE

4.3.1

General

The design procedure for a shallow foundation or deadweight anchor is an iterative

process. A foundation or anchor trial size is selected, and then checked for adequacy. When that
4-7

size is found to be inadequate, it is modified and checked again until a satisfactory design
results. A flow chart for design of shallow foundations and deadweight anchors is given in Figure
4.3-1. The individual steps in the design process are summarized in Table 4.3-1. The design must
consider all applicable factors discussed in Section 4.2.
Table 4.3-1. Summary of Steps in the Design of Shallow Foundations and Deadweight Anchors

Cohesionless Soils

Cohesive Soils
Shallow Foundation

1. Assume regular configuration.

1. Same.

2. Assume zs.

2. Same.

3. Bearing capacity consideration (Equations 4-1

through 4-31). Determine Wbf, B, and A.

3. Same.

4. Lateral load resistance consideration (Equation 4-33).

Determine Wbf, B, and A.

4. Consider lateral load resistance (Equation

4-32). Determine Wbf, B, and A.

5. Preliminary sizing. Optimize Wbf, B, A and H based on

results of steps 3 and 4.

5. Same.

6. Determine number of shear keys (Equations 4-40,

4-42 and 4-43).

6. Determine number of shear keys

(Equations 4-40 and 4-41).

7. Determine thickness of shear keys from structural

considerations.

7. Same.

8. Check penetration of shear keys (Section 4.3.5.2).

8. Same.

Deadweight Anchors
1. Assume configuration of deadweight anchor.

1. Same.

2. Assume zs.

2. Same.

3. Consider lateral load resistance (Equation 4-33).

Determine Wbf, B, and A.

3. Consider lateral load resistance (Equation

4-32 or 4-37). Determine Wbf, B, and A.

4. Check bearing capacity with eccentricity (Equations

4-1 through 4-31). If no good, adjust Wbf, B, and A,
and go to step 3. If okay go to step 5.

4. Same.

5. Determine preliminary sizing. Optimize Wbf, B, A, and

H based on steps 3 and 4.

5. Same.

6. Determine number of shear keys (Equations 4-40,

4-42 and 4-43).

6. Determine number of shear keys

(Equations 4-40 and 4-41).

7. Determine thickness of shear keys from structural

considerations.

7. Same.

8. Check penetration of shear keys (Section 4.3.5.2).

8. Same.

4-8

STRUCTURAL
CHARACTERISTICS:
TYPE, CONFIGURATION, WEIGHT

ENVIRONMENTAL
INFORMATION:
WIND, WAVE,
CURRENT,
EARTHQUAKE

SITE CHARACTERIZATION:
WATER DEPTH, GEOPHYSICAL DATA,
BATHYMETRY,
GEOLOGIC

DESIGN LOADS
Fh, Fv

SITE INVESTIGATION:
GEOTECHNICAL AND
GEOPHYSICAL

SOIL PARAMETERS
TABLE 4.2-1

FOUNDATION TYPE
SELECTIONS,
POTENTIAL CONCERNS,
DESIGN METHODOLOGY

SHALLOW FOUNDATION
(SPREAD FOOTING)
FOR BOTTOM SUPPORTED
STRUCTURE

BEARING
CAPACITY
ANALYSIS

DEADWEIGHT ANCHOR
OR SPREAD FOOTING
FOR MOORED
STRUCTURE

LATERAL
RESISTANCE
ANALYSIS

LATERAL
RESISTANCE
ANALYSIS

PRELIMINARY
SIZING

IF NOT OK

CHECK
ECCENTRICITY
OF LOADING

CHECK
ECCENTRICITY
OF LOADING

PRELIMINARY
SIZING

IF NOT OK

CHECK
UPLIFT
CAPACITY

IF OK

IF OK

SHEAR KEY
DESIGN AND
PENETRATION
PROBLEMS

SHEAR KEY
DESIGN AND
PENETRATION
PROBLEMS

SETTLEMENT AND IF NOT OK

DISPLACEMENT

SETTLEMENT AND
DISPLACEMENT

IF OK

IF OK

FINAL SIZING

FINAL SIZING

IF NOT OK

Figure 4.3-1. Flow chart for the design of shallow foundations and deadweight anchor.

4-9

4.3.2

Bearing Capacity

4.3.2.1 General Relationship

The bearing capacity of a seafloor soil is dependent upon the following factors:

Engineering properties of the soil profile

Type and size of foundation

Depth of embedment

Load direction

Inclination of the ground surface

The maximum bearing capacity, Qu, for the trial size foundation is calculated using the
general formulation presented in Equation 4-1, below. This general equation is based on
Reference 4-1, with the addition of side traction, represented as an equivalent base stress due
to side adhesion and friction. The maximum bearing capacity is compared to the sum of all
forces acting normal to the seafloor surface, with an appropriate safety factor applied to these
normal forces. The effects if eccentric loading are addressed in Sections 4.3.2.2 and 4.3.2.3.
Specific equations for the maximum bearing capacity under various loading conditions and soil
types are presented in Sections 4.3.2.6 through 4.3.2.10.

Q=
A(qc + qq + q ) + P H s ua + b zavg tan
u
St

(4-1)

where:
A =

effective base area of foundation depending on the load eccentricity [L2]

(Section 4.3.2.3)

qc =

bearing capacity stress for cohesion = suz Nc Kc [F/L2]

qq =

bearing capacity stress for overburden = b Df [1 + (Nq Kq 1) fz] [F/L2]

q =

bearing capacity stress for friction = b (B /2) N K fz [F/L2]

fz

depth attenuation factor for the frictional portion of bearing capacity stress, to
extend the formulation to any footing depth, as described in Section 4.3.2.6,
Equation 4-24

base perimeter = 2B + 2L [L]

Hs =

side soil contact height = min (Df, H + zs) [L]

sua =

undrained shear strength averaged over the side soil contact zone [F/L2]

St =

soil sensitivity = ratio of undisturbed to remolded strength

4-10

b =

buoyant unit weight of soil above the foundation base [F/L3]

zavg =

average depth over side soil contact zone = [Df + max(0, Df H zs)] [L]

=
=
=

effective friction angle between the soil and the side of the foundation [deg]
5 deg for rough-sided footings, or
0
for smooth-sided footings or where the soil is greatly disturbed

soil friction angle ( = u for undrained case; = for drained case)

suz =

undrained shear strength effective for base area projected to depth of shear key
tip [F/L2] = average strength from shear key tip depth to 0.7B below

Df =

depth of embedment of foundation [L]

zs

B =

depth of shear key tip below foundation base [L]

effective base width depending on eccentricity [L] (Section 4.3.2.3)

base width [L]

base length [L]

H =

base block height [L]

Nc, Nq, N = bearing capacity factors (Section 4.3.2.4)

Kc, Kq, K = bearing capacity correction factors (Section 4.3.2.5)

4.3.2.2 Nominal Bearing Pressure Distribution from Eccentric Loads

Most shallow foundation or anchors on the seafloor will be under an eccentric load due
to waves, currents, residing on a slope, or a horizontal component of the mooring line for
anchors. These loads will result in a moment being placed on the foundation or anchor in
addition to the normal force (Figure 4.3-2). The nominal non-uniform pressure distribution on
the soil is to assume a linear distribution ranging from a maximum to a minimum as:

q max =

Fn
6M
+ 2
BL B L

(4-2)

q min =

Fn
6M
2
BL B L

(4-3)

where:
qmax = estimated maximum bearing pressure [F/L2]
qmin = estimated minimum bearing pressure [F/L2]
4-11

Fn

= normal bearing load [F]

= applied moment [FL]

= foundation width [L]

= foundation length [L]

The normal bearing load and the moment can be represented as single offset normal
load as shown in Figure 4.3-3. The amount of eccentricity can be calculated by Equation 4-4.

e=

(4-4)

Fn

Figure 4.3-2. Linear bearing pressure distribution due to eccentric loading

Figure 4.3-3. Normal bearing load and moment depicted as an equivalent offset load.

4-12

Substituting Equation 4-4 into Equations 4-2 and 4-3 results in the following equations
for qmax and qmin when e < B/6:

q max =

Fn
6e
1 +
BL
B

(4-5)

q min =

Fn
6e
1
BL
B

(4-6)

When e > B/6, Equations 4-7 and 4-8 are used to estimate the maximum and minimum
bearing pressure, repectively.

q max =

4 Fn
3 L ( B 2e )

(4-7)

q min = 0

(4-8)

As a general design guide it is recommended that the eccentricity be less than or equal
to the the foundation width, B, divided by 6. This ensures that the entire foundation will be
under pressure. If the eccentricity is greater than B/6, some of the soil under the foundation
may be under tension or may separate from beneath the footing; this is generally not a
desireable condition.
It is noted, however, that for anchoring applications, a design that exceeds this limit may
be acceptable, so long as the bearing capacity of the reduced-area footing is adequate.
Calculation of the maximum allowable eccentricity for this option is discussed near the end of
Section 4.3.2.3.
Examples of estimated pressure distributions for various eccentricities are shown in
Figure 4.3-4.

4-13

Case 1: e = B/ 12

Case 2: e = B/6

Case 3: e = B/4

Figure 4.3-4. Examples of estimated pressure distributions for various eccentricities.

4-14

4.3.2.3 Bearing Capacity of Foundations with Eccentric Loading

Meyerhoff (Ref. 4-2) developed a method called the effective base dimensions to
account for eccentric loading when calculating bearing capacity, a reduced foundation base-tosoil contact area is used to determine bearing capacity. The equivalent or resultant vertical load
acts at the center of the reduced area determined as shown in Figure 4.3-5. For a rectangular
base area, eccentricity can occur with respect to either, or both, axis. The altered effective
length and width of the footing are:

L = larger of
B = smaller of

L 2e1
L 2e1

or
or

B 2e2
B 2e2

(4-9)

The effective area is:

A = BL

(4-10)

Figure 4.3-5. Area reduction factors for eccentrically loaded foundations (Ref. 4-3).

4-15

For shallow foundations in general, the rule of thumb is that eccentricity should not
exceed one-sixth the footing width (as measured in the pull direction). However, for anchors, it
is acceptable to exceed this limit so long as adequate bearing capacity is maintained over the
reduced area as calculated using Equations 4-9 and 4-10. The maximum allowable eccentricity
for this option, which is generally greater than B/6 or L/6, is derived from setting the ultimate
bearing capacity equal to the normal force multiplied by a suitable factor of safety, then
rearranging Equation 4-1 to obtain the minimum reduced area, and using Equations 4-9 and 410 to obtain a maximum value for eccentricity.
Thus, the required bearing capacity is given by Equation 4-11:

Qu = Fn Fs (bce)

(4-11)

where:
Fs(bce) = factor of safety for bearing capacity with eccentric loading
Next, the associated minimum allowable reduced area (from Equation 4-1, solving for
A) is given by:

Fn Fs (bce) PH s ua + b zavg tan

St

A' =
(qc + qq + q )

(4-12)

If the pull direction is parallel to the length and perpendicular to the width, the
maximum allowable eccentricity in the length direction is computed according to Equation 4-13:

e1max =

L A '/ B
2

(4-13)

If the pull direction is parallel to the width and perpendicular to the length, the
maximum allowable eccentricity in the width direction is given by Equation 4-14:

e2max =

B A '/ L
2

(4-14)

To minimize the potential for excessive eccentricity leading to massive foundation

rotation, the distance H + Hs (the moment arm of the lateral load component) should be kept
as small as possible. This is most easily done by minimizing the foundation base height. It is
recommended that H be limited to 0.25B where possible.
4-16

4.3.2.4 Bearing Capacity Factors

The bearing capacity stresses qc, qq, and q contain a number of bearing capacity factors
and correction factors in their formulation. The bearing capacity factors Nc, Nq and N may be
computed from Equation 4-15 through 4-17 (Ref. 4-1). Figure 4.3-6 graphically illustrates the
relationship between the bearing capacity factors and soil friction angle based on the equations.

N q = exp( tan ) N
Nc =

Nq 1
tan

for 0,

(4-15)
Nc = 2 +

for = 0

N = 2 (1 + N q ) tan tan( / 4 + / 5)

(4-17)

where:
N =

(4-16)

[tan(/4 + /2)]2 and is in radians

Figure 4.3-6. Bearing capacity factors as a function of soil friction angle.

4-17

4.3.2.5 Correction Factors

The correction factors Kc, Kq, and K, used in the calculation of bearing capacity stresses
(Equation 4-1, computation of qc, qq, and q), each represent a subgroup of factors, which
account for the following:
Item

Designation

Load Inclination

Foundation Shape

Depth of embedment

Inclination of foundation base

Inclination of ground surface

The correction factors for cohesion, overburden, and density (Kc, Kq, and K,
respectively) are evaluated from:

K c =i c sc d cbc g c

K q =i q s q d q bq g q

(4-18)

K =i s d b g
Load Inclination. Seafloor foundations and deadweight anchors are often subjected to a
large lateral load component arising from wave and current loadings and, occasionally, from
wind loading on a surface float which is connected by a mooring line. This large lateral load
component, combined with the gravity load component of a structure or deadweight, forms a
resultant load of substantial inclination to the vertical. This inclination of the resultant load
causes a change in the form of the bearing capacity failure surface, permitting failure to take
place at a lower load. Subgroup correction factors, which account for inclination of the resultant
load, are:

ic= iq

1 iq
N c tan

Fh
i=
1

q
Fv + B ' L ' c cot

Fh
i= 1

Fv + B ' L ' c cot

m +1

(4-19)

4-18

where:
Fh =

horizontal component of design load [F]

Fv =

vertical downward component of all loads [F]

2 + ( L '/ B ')
2 + ( B '/ L ') 2
cos 2 +
sin
1 + ( L '/ B ')
1 + ( B '/ L ')

=
m

effective cohesion, usually obtained from drained triaxial test of undisturbed

soil sample [F/L2]

angle between the line of action of Fh and the long axis of the foundation in the
horizontal plane

For the case of an undrained bearing capacity failure in cohesive soil ( = 0), the
correction factor ic is obtained from:

ic = 1

mFh
B ' L' suz N c

(4-20)

Foundation Shape. The basic bearing capacity factors of Figure 4.3-6 and Equations 4-15
through 4-17 are derived for the two-dimensional failure case or for an infinitely long strip
foundation. Corrections to the calculated two-dimensional bearing capacity prediction for the
more likely rectangular and circular bearing areas are calculated from:

sc = 1 + ( B' / L' )( N q / N c )

sq = 1 + ( B '/ L ') tan

(4-21)

s = 1 0.4( B '/ L ')

For circular foundations loaded without eccentricity, the shape correction factors are
calculated by setting B'/L' = 1.
Depth of Embedment. The basic bearing capacity factors are derived for a footing on
the soil surface. Corrections to the calculated bearing capacity prediction for a footing at a
shallow depth of embedment (generally less than the footing width for small footings),
subgroup d, are given by Equation 4-22.
These correction factors for depth of embedment, subgroup d, are sensitive to soil
disturbance along the sides of the embedded base. Therefore, if the depth of the footing is less
than the width or if the placement of the footing has disturbed the soil, it is typically wise to
4-19

discount entirely the beneficial effect of overburden shear strength. This is done by setting dc =
dq = d = 1.
Alternately, if the footing has been in place long enough so that the soil has
reestablished its strength (by compaction, aging, vibration, etc.) the following equations for the
depth of embedment correction factors may be applied. Note that these equations are valid for
all footing depths. For extension to any footing depth, a depth attenuation factor based on the
critical confining pressure is applied to q, and the frictional portion of qq, as described in the
Section 4.3.2.6.

Df
2
dc =
1 + 2 (1 sin ) arctan
B

Nq

Nc

Df
2
d q =1 + 2 (1 sin ) arctan
B

tan

(4-22)

d = 1
Note that for purely cohesive soils, the soil friction angle, , is zero, so the depth of
embedment correction factors presented in Equation 4-22 reduce to those shown in Equation 423, below. However, because for purely cohesive soils the bearing capacity factor Nq = 1, the
value of Kq (and hence, dq) is inconsequential in Equation 4-1.

Df
dc =
1 + 2 arctan
B

Nc

dq = 1

(4-23)

d = 1
Inclination of Foundation Base and Ground Surface. The correction factors for
inclination of the foundation base, subgroup b, and for the inclination of the seafloor, subgroup
g, can be set equal to 1 where the foundation is placed nearly level on a near-horizontal
seafloor. Thus, because nonsloping sites are usually sought for foundations and the foundation
is usually placed in a near-horizontal orientation, normally: bc = bq = b = 1, and gc = gq = g = 1.
Note that when a best estimate of the bearing capacity failure load is required, or for
those instances where foundations will be installed deeply in the seafloor, at a severe inclination
or on a slope, relationships for the correction factor subgroups d, b, and g can be found in
References 4-1 and 4-3.
4-20

4.3.2.6 Extension to Deep Behavior

The portion of bearing capacity due to intergranular friction becomes attenuated at
depth because the high intergranular stresses cause particle crushing during shear failure. This
attenuation applies to the q term in Equation 4-1, and to the net qq term after subtracting the
soil buoyancy portion b Df.
qq =

b Df + qqf

q =

b (B /2) N K fz

(4-24)

where:
qqf = b Df ( Nq Kq 1) fz

fz =

arctan ( D f / Dt )

(D

/ Dt )

Dt = transition characteristic depth related to onset of grain crushing behavior

(Equation 4-27) [L]
The transition characteristic depth is determined by equating the frictional portion of
the bearing capacity stress evaluated at a much greater depth with the maximum bearing stress
that can be developed plastically by the soil undergoing grain crushing at the critical confining
pressure. This maximum bearing stress is given by Equation 4-25:
qfmax = sucr Ncclay Kcclay

(4-25)

where:
sucr

=
=

effective shear strength at critical confining pressure [F/L2]

cr sin() / {1-sin()}

Ncclay =

2+

Kcclay =

icclay scclay dcclay bcclay gcclay

scclay =

1 + (B/L) / Ncclay = 1 + (B/L) / (2 + )

dcclay =

1 + (2 / Ncclay) arctan(Df / B) = 1 + /(2 + ) at great depth

icclay =

bcclay = gcclay = 1

cr

critical confining pressure [F/L2]; may be measured in the laboratory or

estimated from the empirical relationship cr Dr1.7 20,000 psf

4-21

Dr

fractional relative density =

(1/ b min ) (1/ b )

(1/ b min ) (1/ b max )

Note: In the computation of the fractional relative density, Dr, the minimum and
maximum values of the buoyant unit weight may be measured in the laboratory. Alternatively,
so long as the result is not zero or negative, use may be made of the empirical relationship Dr
(b 56.5 pcf) / 11.5 pcf.
At a depth much greater than the transition characteristic depth, the attenuation factor
becomes:
fzdeep = ( / 2) (Dt / Df)

(4-26)

Using this expression for fz and equating qfmax (Equation 4-25) with the sum of qqf and q
(Equation 4-24), and considering that the ratio B/Df approaches zero at great depth, gives the
transition characteristic depth, Dt, as:

Dt =

q f max

(4-27)

( / 2) b ( N q K q 1) + {( B '/ 2) / D f }N K

4.3.2.7 Static Short-Term Loading and Cyclic Loading in COHESIVE SOILS

Under static short-term loadings and all cyclic loadings, failure on cohesive soils will
occur before excess pore pressure can dissipate. These are, therefore, undrained failures and
the soils properties used in the design are undrained properties (Table 4.2-1).
The maximum downward vertical load, Qu, that a foundation on or in cohesive soil can
support under undrained conditions is calculated by Equation 4-28. This equation results from
setting the soil friction angle to zero in the general equation for bearing capacity (Equation 4-1).

Qu = A{suz N c K c + b D f }+ (2 B + 2 L )(min( D f , H + z s ) )

sua
St

(4-28)

where:
A =

effective base area of foundation depending on the load eccentricity [L2]

(Section 4.3.2.3)

suz =

undrained shear strength of cohesive soil-averaged over the distance 0.7B

below the foundation base [F/L2]

Nc =

bearing capacity factor (Section 4.3.2.4); for undrained failure Nc = 5.14

4-22

Kc =

correction factor that accounts for load inclination, foundation shape,

embedment depth, inclination of foundation base, and inclination of ground
(Section 4.3.2.5). For a nearly square or round footing on a nearly level seafloor
with a vertical load, Kc = 1.2

b =

buoyant unit weight of soil above the foundation base [F/L3]; for a soft cohesive
seafloor, b 20 lb/ft3

Df =

depth of embedment of foundation [L]

zs

shear key height [L]

base width [L]

base length [L]

H =

base block height [L]

sua =

undrained strength averaged over the side soil contact zone [F/L2]

St =

soil sensitivity; for a soft cohesive seafloor, St 3

For the simple case of a vertical load applied concentrically on a square or circular
foundation resting on the seafloor surface, where both the foundation base and seafloor are
horizontal, Equation 4-28 reduces to Equation 4-29, where A is the foundation base area.

Qu = (6.17) A suz

(4-29)

4.3.2.8 Static Long-Term Loading in COHESIVE SOILS

The static long-term loading condition on cohesive soils exists after the excess pore
water pressures have dissipated. Static long-term bearing loading in cohesive soils is rarely the
limiting design case compared to static short-term loading, as cohesive soil tends to gain
strength over time due to consolidation. (Note that this is not necessarily true for lateral
loading, as discussed in Section 4.3.3.1.) Also, the determination of drained cohesive
parameters is expensive and time prohibitive. Therefore, the effect of static long-term loading
in cohesive soils on bearing capacity will not be further addressed in this chapter.
4.3.2.9 Static Short- and Long-Term Loading in COHESIONLESS SOILS
Bearing capacity failure on cohesionless soils normally occurs under drained conditions.
Cohesionless soils have a sufficiently high permeability to allow water drainage and rapid
dissipation of excess pore pressures. Therefore, both the short- and long-term designs use
drained soil properties (Table 4.2-1).
4-23

The maximum downward vertical load capacity of a shallow foundation or deadweight

anchor on cohesionless soils is calculated by:

=
Qu A b D f {1 + ( N q K q 1) f z } + ( B / 2) N K f z

+ ( 2 B + 2 L ) ( min( D f , H + zs ) ) b tan ( D f + max(0, D f H zs ) ) / 2

(4-30)

where:
A =

effective base area of foundation depending on the load eccentricity [L2]

(Section 4.3.2.3)

b =

buoyant unit weight of soil above the foundation base [F/L3]

Df =

depth of embedment of foundation [L]

zs

shear key height [L]

Nq , N

bearing capacity factors obtained from Figure 4.3-6 or from Eqns. 4-15 and 4-17

Kq , K

correction factors dependent on load inclination, foundation shape,

embedment depth, inclination of foundation base, and inclination of ground
(Section 4.3.2.5). For a nearly square or round footing on a nearly level surface
with a vertical load, Kq = 1.0, and K can be assumed as 0.6.

fz

depth attenuation factor

B =

effective base width of foundation depending on the load eccentricity [L2]

(Section 4.3.2.3)

base width [L]

base length [L]

H =

base block height [L]

=
=
=

effective friction angle alongside the footing [deg]

5 deg for rough-sided footings,
0 for smooth-sided footings or where the soil is greatly disturbed

soil friction angle, for the drained case =

For the simple case of a vertical load applied concentrically on a square or circular
foundation with no shear keys resting at the seafloor surface, where both the foundation base
and seafloor are horizontal, A = A, B = B, Df = 0, K = s = 0.6, and Equation 4-30 reduces to
Equation 4-31, where A is the foundation base area:

Qu = 0.3 A b B N

(4-31)
4-24

4.3.2.10 Rapid Cyclic Loading in COHESIONLESS SOILS

Cyclic loading applied to a foundation on a cohesionless soil may occur without
sufficient time for dissipation of generated excess pore pressures. The bearing capacity of a
foundation or deadweight anchor under such rapid cyclic loading conditions may be lower or
higher than the static bearing capacity. The bearing capacity under rapid cyclic loading can be
determined by using Equation 4-30 with bearing capacity factors Nq and N determined using an
undrained friction angle u obtained from special cyclic undrained laboratory tests (which must
be run if this condition is anticipated).
For slower cyclic loading, where the excess pore pressures have time to dissipate, the
drained analysis of Section 4.3.2.9 is used with Nq and N obtained using the drained friction
angle (Table 4.2-1).
4.3.3

Lateral Load Capacity

The lateral load that acts on the foundation or deadweight anchor can result from:
downslope gravity force caused by a sloping seafloor, current drag on a foundation and
structure, nonvertical mooring line loading, or storm-wave and earthquake loadings.
Shear keys are often incorporated in the foundation base design (Figure 4.1-1), and can
be used with a variety of foundation shapes (circular, rectangular, square, etc.). This is done to
increase lateral load capacity by forcing the failure surface, the surface on which the foundation
will slide, deeper into the seafloor where stronger soils can resist higher lateral loads.
Three possible failure modes that can occur for shallow foundations fitted with shear
keys are shown in Figure 4.3-7. Generally, the shear keys should be designed sufficiently close
together to force the sliding failure to occur at the base of the keys as shown in Figure 4.3-7a.
Procedures for evaluating this base sliding resistance are described in the following two
sections. Methods for analyzing the passive wedge failure mode shown in Figure 4.3-7c are
addressed in the shear key design section (Section 4.3.5). The deep passive failure mode shown
in Figure 4.3-7b does not often occur and is not detailed in this chapter. Maximum lateral load
capacity is calculated as explained in this section. This capacity is then compared to the sum of
all forces driving the foundation in the downslope direction with an appropriate safety factor
applied to these driving forces.

4-25

Figure 4.3-7. Possible failure modes when sliding resistance is exceeded ( Ref. 4-4).

4.3.3.1 Static Short-Term Loading and All Cyclic Loading in COHESIVE SOILS
Static short-term loading and all cyclic lateral loading of foundations on cohesive soils
are treated as undrained failure problems (Table 4.2-1).
The maximum lateral load capacity (parallel to the seafloor and perpendicular to the
longitudinal axis), Qul, for a foundation on cohesive soil under undrained conditions is calculated
by:

=
Qul suz A + 2 sua H s L

(4-32)

where:
suz =
A

undrained shear strength at shear key tip (for the case of no keys, see Note
below) [F/L2]
foundation base area [L2]

sua =

undrained shear strength averaged over the side soil contact zone [F/L2]

Hs =

side soil contact height = min (Df, H + zs) [L]

Df =

depth of foundation base or skirt tip below the seafloor [L]

4-26

H =

height of foundation block [L]

zs

height of footing shear key skirt [L]

base length [L]

Note: Shear keys are generally recommended for resisting significant lateral loads. If
there are no shear keys, the short-term resistance on the foundation base is limited to suzA, or
Fn, whichever is lower ( = coefficient of friction 0.2 for cohesive soil).
4.3.3.2 Static Short- and Long-Term Loading in COHESIONLESS SOILS
For cohesionless soils, lateral load failure is a drained soil failure, and the maximum
lateral load capacity in sliding is calculated by:

Qul = [(Wbf + Wbst + Wb Fve )cos Fh sin ] + R p

(4-33)

where:

coefficient of friction between foundation base and soil or between soil and
soil when shear keys cause this type of sliding failure

Wbf

buoyant weight of foundation [F]

Wbst =

buoyant weight of bottom-supported structure [F]

Wb

buoyant weight of soil contained within the footing skirt [F] = b A zs

buoyant unit weight of soil [F/L3]

footing base area enclosed by the footing skirt [L2]

zs

height of footing shear key skirt [L]

Fve

design environmental loading and mooring line loading in the vertical

direction (upward is positive) [F]

Fh

design environmental loading and mooring line loading in the horizontal

direction (downslope is assumed positive) [F]

seafloor slope angle [deg]

Rp

passive soil resistance on leading edge of base and footing shear key skirt
(Section 4.3.5.1) [F]

The coefficient of friction depends on soil type and on base material type and material
roughness. Table 4.3-2 lists coefficient of friction values for typical construction materials and
marine cohesionless soils.
4-27

Table 4.3-2. Coefficient of Friction Between Cohesionless Soils and Marine Construction Materials
Friction Coefficient, , for:
Soil Internal
Friction
Coefficient

Smooth
Steel

Rough Steel

Smooth
Concrete

Rough
Concrete

Smooth
PVC

Quartz
Sand

0.67

0.27

0.60

0.60

0.69

0.33

Coralline
Sand

0.67

0.20

0.63

0.63

0.66

0.20

Oolitic
Sand

0.79

0.23

0.56

0.58

0.74

0.26

Foram
Sand-Silt

0.64

0.40

0.66

0.67

--

0.40

Soil

Where there is no other guidance, the value of can be estimated as follows:

tan( - 5 deg) for a rough steel or concrete base without shear keys

tan()

for a base with shear keys

where:

soil friction angle [deg]

Where shear keys are present or the foundation is embedded deeply, a wedge of soil in
passive failure develops in front of the leading foundation edge and provides resistance to
sliding. For some foundations this passive wedge can contribute around 10% of the total lateral
resistance. However, because sediment comprising this passive wedge may be removed by
current scour or by animal burrowing activity (see Chapter 10), the contribution of the passive
wedge to sliding resistance is often omitted.
In the design of a shallow foundation on cohesionless soils, the weight of the foundation
is often increased to raise the maximum lateral load capacity. On a slope, this also increases
the downslope force acting to cause sliding, as is represented by the sin term in the
relationship discussed in the next paragraph.
To maintain stability against sliding, the maximum lateral load capacity should exceed
the sum of forces acting to cause sliding by a suitable factor of safety (ratio of capacity to sum of
driving forces) to account for uncertainties in soil data or failure mechanism. The factor of
safety in this case is determined by Equation 4-34:

Fs =

(W

bf

+ Wbst

Qul
+ Wb Fve )sin + Fh cos
4-28

(4-34)

The minimum foundation buoyant weight for this case is derived from Equations 4-33
and 4-34 (assuming Rp = 0) as:

Wbf =

(Fs + tan ) Fh
Fs tan

+ Fve Wbst Wb

(4-35)

Note: Where skirts but no shear keys are used, the sliding will more likely occur along
the foundation base and not at the depth of the skirt. Therefore, the buoyant weight of soil
within the footing skirts, Wb, should not be used. For the special case of = 0 where the seafloor
is level, Equation 4-35 becomes:

Wbf =

Fs Fh

+ Fve Wbst Wb

(4-36)

Table 4.2-1 lists the recommended factor of safety value, Fs, to be used in Equations 435 and 4-36.
4.3.3.3 Static Long-Term Loading in COHESIVE SOILS
The static long-term loading condition on cohesive soils exists after the excess pore
water pressures have dissipated. Static long-term bearing loading in cohesive soils commonly is
not the limiting design case compared to static short-term loading because cohesive soil tends
to gain strength over time due to consolidation. However, the long-term (frictional) case
becomes critical under lateral loading when the uplift component of an anchor line load reduces
the normal force that creates the anchors frictional resistance to sliding.
The long-term lateral load capacity of a foundation or anchor on cohesive soil is based
on a drained soil failure analysis similar to that described for cohesionless soil with an additional
contribution from c , the effective soil cohesion. The maximum lateral load capacity (parallel to
the seafloor in the downslope direction) for a foundation on a cohesive soil in a drained
condition is calculated by:

Qul = cA + (Wbf + Wbst + Wb Fve ) cos Fh sin

(4-37)

The minimum foundation buoyant weight for this case is determined by:

=
Wbf

( Fs + tan ) Fh
Fs tan

cA
cos

+ Fve Wbst Wb
4-29

(4-38)

where:

tan( - 5 deg)

for a rough steel or concrete base without shear keys

tan( )

for a base with shear keys

drained soil friction angle [deg]

This long-term drained cohesive soil condition may control the design in a very few
cases where the soils are heavily overconsolidated and very stiff. Normally, the short-term
(undrained) case will yield a lower capacity and, therefore, will control lateral load aspects of
foundation and deadweight anchor design.
4.3.4

Resultant Normal Force

The resultant force acting normal to the seafloor slope is obtained from Equation 4-39.
The weights of the foundation and enclosed soil block are found according to Section 4.3.3.

Fn = (Wbf + Wbst + Wb Fve )cos Fh sin

(4-39)

This normal force must be borne by the bearing capacity with an adequate margin of
safety. To make this determination, the normal force is multiplied by a factor of safety (Table
4.2-1) and compared to the bearing capacity, Qu.
4.3.5

Shear Key Design

The depth of shear keys or perimeter skirts is usually limited by the net downward force
available to drive the keys. A penetration resistance calculation should show that full skirt
penetration is assured under only the submerged weight of the foundation.
When shear keys or perimeter skirts are used, venting holes are required in the base to
allow the water and soft surficial soils trapped by them to escape. Sharpening the leading edge
of keys will also aid penetration. The actual foundation placement should be smooth and
continuous to minimize disturbance to the seafloor soil and the possible resulting creation of an
eccentric foundation orientation.
4.3.5.1 Depth and Spacing of Shear Keys
In cohesive soils, the shear key height, zs, and spacing of shear keys are dictated by the
need to force a failure to occur along the base of the shear keys as shown in Figure 4.3-7a. The
recommended maximum depth of shear keys on cohesive soils is 0.1B (Ref. 4-5). This depth may
have to be reduced if full penetration cannot be achieved (Section 4.3.5.2). Other steps to reach
a satisfactory design for adequate lateral load capacity include making the base larger and
making it heavier if necessary to insure shear key penetration.
4-30

In cohesionless soils, a value of zs = 0.05B is appropriate for internal shear keys.

However, the shear key around the edge of the foundation, called a perimeter skirt, also
provides the benefit of preventing undermining of the foundation by scour and animal
burrowing. For this reason, the perimeter skirt will normally be deeper than the internal keys,
so a height of zs = 0.1B is recommended for the perimeter skirt.
The maximum number of shear keys (and the corresponding minimum spacing) is
limited to the number needed to force a failure to occur along the base of the shear keys as
shown in Figure 4.3-7a. A greater number (and a lesser spacing) do not add to the sliding
resistance of the soil block enclosed by the perimeter skirt, but only hinder the full penetration
of the shear keys. The minimum recommended shear key spacing is 1.0zs in cohesive soils and
2.0zs in cohesionless soils.
The number of shear keys, n, required in each direction is computed by comparing the
design load parallel to the seafloor to the passive resistance developed per key. This number, n,
is computed by Equation 4-40:

Fs Fhp + (Wbf + Wbst ) sin

n
+1
Rp

(4-40)

where:
Fhp =

resultant of applied loads in the downslope direction [F]

Rp =

resistance developed by one key against movement along the longitudinal axis
[F]; see Equation 4-41 for cohesive soil, or Equation 4-42 for cohesionless soil

For resistance to movement along the longitudinal axis, the shear keys perpendicular to
that axis have a width B, and their spacing is equal to L/(n-1). For resistance to movement
perpendicular to the longitudinal axis, the shear keys parallel to that axis have a width L, and
their calculated spacing is equal to B/(n-1).
For cohesive soils, the resistance developed by one key against movement along the
longitudinal axis (perpendicular to a key of width B), Rp, is calculated by Equation 4-41. For
motion perpendicular to the longitudinal axis, the width is replaced by the length, L, of the key.

z 2

=
R p b s + 2 sua zs B
2

(4-41)

where:
sua = undrained shear strength averaged over the shear key height [F/L2]
For cohesionless soils, the passive resistance developed by one shear key against
longitudinal movement is calculated as shown in Equation 4-42. In Equation 4-42, Kp is the
coefficient of passive lateral earth pressure as computed by Equation 4-43 ( is in degrees).
4-31

Rp =

K p b zs 2 B

(4-42)

K p = tan 2 ( 45 + / 2)

(4-43)

4.3.5.2 Penetration of Shear Keys

The embedment force required to ensure full penetration of shear keys and perimeter
skirts, Qe, can be calculated as Qu for the skirts at their full embedment depth using methods
presented in Section 4.3.2. The skirt is treated as a long, narrow footing, with its width equal to
the skirt thickness and its length equal to the total length of the skirts and shear keys, if any.
The effective area is the product of this width and length. In making the analysis, the highest
expected values of soil strength properties should be used to be on the conservative side.
For cohesive soils, Equation 4-28 is applicable. Undisturbed soil shear strengths should
be used, and the soil sensitivity should be set equal to 1.0. In the last term, the width (thickness)
may be neglected. For cohesionless soils, Equations 4-24 through 4-27 and 4-30 are applicable.
In the last term in Equation 4-30, the friction angle between skirts/shear keys and sand should
be set equal to the soil friction angle, and the width (thickness) may be neglected. A detailed
example of these calculations is in Section 4.4.2.2, Step 10.
After Qe has been calculated, it is compared to the sum of Wbst + Wbf, the forces (without
the line load) driving penetration, to check if it is smaller than the driving forces. If it is larger,
then the skirts must be made smaller or fewer, or the foundation weight will need to be
increased. If the foundation weight is increased, a check must be made to see that this increase
does not create a bearing capacity problem.
4.3.6

Foundation Settlement

The bearing capacity of the surficial seafloor soil is assumed to be sufficient to support
the foundation. If the bearing capacity is not sufficient, then the foundation will immediately
penetrate into the seafloor until its weight and the supported structure weight are balanced by
the soil resistance (bearing capacity determined according to Section 4.3.2). A method for
predicting rapid penetration is described in Chapter 8.
Foundation settlements due to elastic deformations and soil consolidation may still pose
a significant problem, even in the absence of a bearing capacity failure, because such
settlements are rarely uniform. The occurrence of differential settlement is greatly aggravated
by eccentric loading. The resulting tilting could impair structure function.
Settlement of a deadweight anchor is, in contrast, not normally considered a problem
because the holding capacity is unaffected, or is sometimes increased by such embedment. In
some cases, however, even excessive embedment of a deadweight anchor is not desirable
because it limits the ability to inspect and maintain the mooring line connections to the anchor.
4-32

Settlement is the summation of initial and consolidation settlements, which are

discussed in the following sections.
4.3.6.1 Initial Settlement
Initial settlement is the instantaneous response of the soil to the foundation loading and
results primarily from elastic soil deformations. Its value is obtained for a foundation that is not
so heavily loaded as to cause bearing capacity failure. The general expression for the initial
vertical settlement of a foundation, i, can be calculated for both cohesive and cohesionless
soils by Equation 4-44 (Ref. 4-1):

i =

Fv BC s (1 2 )

Ab
E

(4-44)

where:
Fv =

total downward vertical load on the foundation base [F]

Ab =

footing area [L2]

footing width [L]

Cs =

shape factor (Table 4.3-3 or Equation 4-45)

Poisson's ratio of the soil (assume = 0.35 for cohesionless soils and 0.45 for
cohesive soils)

Young's modulus of the soil [F/L2], a property which must be determined by soils
testing or can be estimated using Equation 4-47 for cohesive soils, and
Equations 4-48 and 4-47 for cohesionless or mixed soils

Table 4.3-3 lists the shape factors for various rigid footings on a soft seafloor soil (Ref. 41). In the table, the aspect ratio, L/B, is the ratio of the footing length to footing width. For
aspect ratios not listed in Table 4.3-3, Equation 4-45 may be used to compute the shape factor
for rigid rectangular footings on a very deep soil of uniform elastic modulus:

L 2 1
C s = 1.46 log10 + +
B 3 2

(4-45)

For the specific case of a shallow circular foundation, the initial vertical settlement is
given by (Ref. 4-6):

i =

(1 )
Fv
4GR

(4-46)
4-33

where:
R

radius of the base [L]

(E/2)/(1+) and is called the elastic shear modulus of the soil [F/L2]

G =

Table 4.3-3. Shape Factors for Rigid Footings on Soft Seafloor

Shape

Aspect Ratio,
L/B

Shape Factor,
Cs

Circular

0.79 (= /4)

Square

0.82

Rectangular

1.12

Rectangular

1.60

Rectangular

10

2.00

Because it is usually difficult to obtain elasticity data for seafloor soils, an approximate
expression for the elastic modulus is given in terms of shear strength of the soil and the load on
the footing base relative to its bearing capacity (Equation 4-47). Data from References 4-1 and
4-6 were used to develop a model in terms of shear strength and shear strain associated with
elastic settlement, as well as the effects of soil plasticity, and an approximate relationship in
terms of footing load was fitted to the model. The result is:

{2 / po }

25, 000 psf

E = su

3
{1 + 50 x y exp( su / 50 psf )}
su

y1/2

(4-47)

where:

po

baseline peak strain, = 0.035 * (PI / 35%) 1/2

PI

plasticity index = wL wP

wL

liquid limit = water content for specified slump test behavior (% of dry weight)

wP

plastic limit = minimum water content for specified ductility test behavior (%
of dry weight)

1/Fs(bc) = inverse factor of safety for bearing capacity = Fv / Qu

1 x = 1 [1/Fs(bc)]

4-34

At footing loads equal to or exceeding the bearing capacity, the inverse factor of safety
for bearing capacity is equal to one, and the modulus remains at its minimum value of (2Su / po).
Typical resulting values of modulus for a 5-foot by 10-foot footing on cohesive soil (PI =
45%, po = 0.04) are:
Soil Strength

Modulus E (psf) for

su (psf)

Fs(bc) = 10

Fs(bc) = 2

30

864,000

64,200

45

888,000

86,500

60

905,000

110,000

Equation 4-47 is based upon the soils shear strength and is thereby limited to cohesive
soils. For cohesionless soils, and for soils mobilizing both cohesive and frictional shearing
resistance, Equation 4-47 may be employed by assuming po = 0.04 and replacing the shear
strength su with an effective shear strength given by:

suef= su +

b D f {1 + ( N q K q 1) f z } + b ( B / 2) N K + ( PH s / A){su / St + b ( D / 2) tan }
Nc Kc

(4-48)

Typical resulting values of modulus for a 5-foot by 10-foot footing on cohesionless soil
on-grade (Df = Hs = 0, Nc = 5.14, sc = 1.10, dc = 1, s = 0.8, d = 1) are:
Soil Density

Friction Angle

BC Factor

Modulus E (psf) for

b (pcf)

(deg)

N (-)

Fs(bc) = 10

Fs(bc) = 2

60 (loose)

30

27.66

1,031,000

417,000

75 (medium)

35

61.47

1,087,000

562,000

90 (dense)

40

145.19

1,146,000

763,000

4.3.6.2 Consolidation Settlement

In cohesive soils, after installation, a foundation will gradually settle as the excess pore
pressure which developed in response to the foundation loading dissipates and the soil
consolidates. In cohesionless soils there is no significant amount of consolidation settlement as
pore pressure dissipates almost immediately. In evaluating this time-dependent consolidation
settlement for cohesive soils, the soil to a depth of 2B below the foundation base should be
4-35

considered. This is the depth where the effective stress change after consolidation is about 10%
of the change immediately below the foundation base (for a square foundation) (Figure 4.3-8).
Only consolidation of the cohesive soil layers within the depth 2B needs to be
calculated. The calculations are made by breaking the distance 2B into several incremental
layers. If the soil over the depth 2B is homogeneous, a fairly small number of layers (8 to 12)
will provide reasonably accurate results. If there are multiple cohesive soil layers having
different properties, each layer should be represented by at least a few incremental layers. The
total consolidation settlement is the sum of the settlement of the individual incremental layers
and is obtained from:

H i Cci
i =1 1 + eci
n

c =

pci + pci

log10
pci

(4-49)

where:

c =
n

consolidation settlement [L]

number of incremental layers within distance 2B

Hi =

thickness of incremental layer i [L]

Cci =

compression index of incremental layer i

p i =

added effective vertical stress at midpoint of incremental layer i [F/L2]

poi =

initial effective overburden stress at midpoint of incremental layer i [F/L2]

eoi =

initial void ratio of incremental layer i

An accurate computation of consolidation settlement requires considerable knowledge

of soils properties. For instance, high quality soil samples and at least one laboratory
consolidation test per cohesive soil layer are required to determine Cci for these computations.
Other soil properties must be measured for each cohesive soil layer to perform a settlement
analysis. A rough estimate for these settlements can be made by using some estimated
properties. Values for Cc may be determined empirically as outlined in Chapter 3. The initial
void ratio, eo, can be determined from soil specific gravity and water content values by the
relationship e = Gsw. The value of pi can be estimated from Figure 4.3-8. The value of poi is
determined by using the soil buoyant unit weight. It is suggested that a maximum soil layer
thickness of 0.25B be used.

4-36

Figure 4.3-8. Soil stress increase beneath a rectangular foundation.

4.3.7

Installation and Removal

The installation of shallow foundations should be planned so that the foundation can be
properly set down at the intended site without excessive disturbance to the supporting soil.
The maximum lowering rate of the installation line should not exceed the free-fall
velocity of the package to avoid unstable lowering and possible entangling of the lowering line.
A rough estimate for maximum lowering rate is:

vmax =

Wbv
4 Av

(4-50)

where:

max =

maximum lowering velocity [fps]

Wbv

submerged weight of installation [lb]

Av

vertical projected area of the package [ft2]

4-37

As the installation approaches the seafloor, the maximum lowering velocity must be
reduced by at least a factor of four to prevent too hard an impact with the bottom. A hard
impact may result in bearing failure, excessive tilting, or an instability failure. It is usually
desirable to approach the seafloor as slowly as possible and not to lift the foundation off the
seafloor once the initial touchdown has occurred.
The recovery of a shallow foundation also requires careful consideration to insure that
adequate lifting force for breakout is available. Prediction of breakout forces and a discussion of
techniques used to minimize the breakout force are presented in Chapter 9.

4-38

4.4 EXAMPLE PROBLEMS

4.4.1

Problem 1 Simple Foundation on Cohesive Soil

4.4.1.1 Problem Statement

Determine the dimensions of a concrete and steel square foundation, essentially a
deadweight anchor, with shear keys to resist given environmental loadings at a deep ocean site.
The seafloor is mildly sloping and is composed of a cohesive soil which has well-established
properties. Use a factor of safety of 1.5 and minimize the base horizontal size.
Data: The foundation is to be placed where the seafloor slopes at 5 and must resist
loads from a mooring line that may reach 20,000 pounds in uplift and 20,000 pounds in any
horizontal direction. Figure 4.4-1 shows a sketch for Problem 1 and for Problem 2. The seafloor
is a cohesive silty clay material whose properties have been determined by laboratory tests on
cored samples. The data for undrained shear strength (su), buoyant unit weight (b), sensitivity
(St), and the drained parameters of cohesion (c) and friction angle ( ) are shown to the right of
Figure 4.4-1.

Figure 4.4-1. Foundation sketch for example Problems 1 and 2.

4.4.1.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the method presented for the design of a square foundation to resist the
loads under the existing conditions. The forces acting on the foundation are shown in Figure
4.4-2.

4-39

Problem 4.4-1
ANALYTICAL PROCEDURES
1. Calculate Fhp, the load component
parallel to the slope (downslope) from
existing forces and the safety factor.

COMPUTATIONS
Fhp = (20,000 lb) cos 5 - (20,000 lb) sin 5
Fhp = 18,180 lb
Fs = 1.5 (given)

Fhp = Fh cos - Fve sin

Fs Fhp = (1.5)(18,180 lb) = 27,300 lb

2. Select a trial foundation size. The
foundation has a side length B and shear
keys of height zs = 0.1B (Section 4.3.5.1).
Assume the foundation will be placed
parallel to the downslope direction and
fully embed (Df = full key height = zs).
3. Calculate the foundations resistance to
sliding in the short-term (undrained)
condition (Equation 4-32).
Qul = suz A + 2 sua Hs L

Say B = L = 12 ft.
Therefore,
zs = (0.1)(12 ft) = 1.2 ft
Df = zs = 1.2 ft
suz = su @ depth Df
= 144 psf + (45 psf/ft)(1.2 ft) = 198 psf
A = (12 ft)(12 ft) = 144 ft2
sua = su @ depth zs /2

Hs = min(Df, H + zs)

= 144 psf + (45 psf/ft)(0.6 ft) = 171 psf

Qul = (198 psf)(144 ft2)
+ 2(171 psf)(1.2 ft)(12 ft) = 33,400 lb

4. Calculate weight of soil, Wb, within the

footing skirt and overlying the potential
failure plane (Equation 4-33), and the
minimum foundation weight, Wbf,
required to resist sliding, long-term
(Equation 4-38).

Wb = (28 pcf)(144 ft2)(1.2 ft) = 4,840 lb

= tan (Section 4.3.3.3) = tan(30) = 0.577

Wbf =

[1.5 + (0.577) tan(5)] 20, 000 lb 0

0.577 1.5 tan(5)
+ 20,000 lb 0 4,840 lb

Wb = b A zs

= 84,670 lb

cA
( Fs + tan ) Fh
cos
Wbf =
Fs tan
+Fve Wbst Wb
4-40

Problem 4.4-1
ANALYTICAL PROCEDURES
5. Is the 12-ft square foundations
resistance to (undrained) sliding greater
than the forces driving it downslope?
Is Qul Fs [Fhp + (Wbf + Wbst + Wb) sin ]?

COMPUTATIONS
(1.5)[18,180 lb + (84,670 lb + 0
+ 4,840 lb) sin (5)] = 38,970 lb
NO, Qul = 33,400 lb < 38,970 lb
The foundation size is not adequate to resist
downslope sliding. The foundation trial size
will have to be increased.

6. Try a 13-ft square foundation, which has

0.1B deep shear keys. Calculate the new
foundations sliding resistance to
(undrained) sliding (Equation 4-32).

B = L = 13 ft
zs = (0.1)(13 ft) = 1.3 ft
Df = zs = 1.3 ft

Qul = suz A + 2 sua Hs L

A = (13 ft)(13 ft) = 169 ft2

Hs = min(Df, H + zs)

suz = su @ depth zs

Is the 13-ft square foundations

resistance to sliding greater than the
forces driving it downslope?

= 144 psf + (45 psf/ft)(1.3 ft) = 202 psf

sua = su @ depth zs/2
= 144 psf + (45 psf/ft)(0.65 ft) = 173 psf
Qul = (202 psf)(169 ft2)
+ 2(173 psf)(1.3 ft)(13 ft) = 40,080 lb
(The driving forces are the same, as an
increase in zs causes Wb to increase and Wbf
to decrease by an equal amount, making the
total unchanged in step 5)
YES, Qul > 38,970 lb

4-41

Problem 4.4-1
ANALYTICAL PROCEDURES
7. Recalculate Wb (Equation 4-33) and Wbf
(Equation 4-38) for the 13-ft foundation.
Wb = b A zs

Wbf =

( Fs + tan ) Fh

COMPUTATIONS
Wb = (28 pcf)(169 ft2)(1.3 ft) = 6,150 lb

Wbf =

[1.5 + (0.577) tan(5)] 20, 000 lb 0

0.577 1.5 tan(5)

+ 20,000 lb 0 6,150 lb = 83,360 lb

cA
cos

Fs tan
+ Fve Wbst Wb

8. Calculate the height of a concrete trial

b(conc) 150 pcf 64 pcf = 86 pcf
foundation necessary to yield an
Wbf
83,360 lb
underwater weight of Wbf. From the =
H =
= 5.74 ft
b ( conc ) A (86 pcf )(169 ft )
relationship:
Wbf = b A H

0.25B = (0.25)(13 ft) = 3.25 ft

Check that H does not exceed the

recommended limit.

NO, H > 0.25B

Is H < 0.25B?

Therefore, the foundation base is too high,

and this may promote overturning instability.

Let H = 0.25B = 0.25(13 ft) = 3.25 ft

9. Recalculate foundation block density,
limiting the height to the recommended
Vf = (169 ft2) (3.25 ft) = 549 ft3
maximum, and required amount of scrap
83,360 lb
steel embedded in concrete. Required
152 pcf
=
bf =
549 ft 3
buoyant density and embedded steel
are:
To remain within the recommended
Vf = AH
foundation height limitation, the foundation
must have an average bf = 152 pcf. This can
bf = Wbf / Vf
be accomplished by using a concrete
Vsteel = Vf (bf bc) / (bs bc)
foundation with embedded scrap steel to
raise the weight, in the following amounts:
V =V V
conc

steel

Vsteel = (549 ft3) (152 pcf 86 pcf)

/ (426 pcf 86 pcf) = 106 ft3
Vconc = 549 ft3 106 ft3 = 443 ft3

4-42

Problem 4.4-1
ANALYTICAL PROCEDURES
10. Calculate the trial foundations resultant
normal force Fn (acting perpendicular to
the slope) using Equation 4-39.

COMPUTATIONS
Fn = (83,360 lb + 0 lb + 6,150 lb 20,000 lb)
cos (5) (20,000 lb) sin (5)
= 67,500 lb

Fn = (Wbf + Wbst + Wb Fve )cos Fh sin

11. Calculate e2, the (downslope) eccentricity
by summing moments around the center
of the shear key base (see Figure 4.4-1).
Mo = Wb(zs/2) sin + Wbf (zs +H/2) sin
Fve(zs +H) sin + Fh(zs +H) cos
Because Mo is equal to (e2) Fn,

Mo = (6,150 lb)(1.3 ft/2) sin (5)

+83,360 lb (1.3 ft + 3.25 ft/2) sin(5)
20,000 lb (1.3 ft + 3.25 ft) sin(5)
+ 20,000 lb (1.3 ft + 3.25 ft) cos(5)
Mo = 104,320 ft-lb
e2 = 104,320 ft-lb / 67,500 lb = 1.55 ft

e2 = Mo/Fn
12. Is eccentricity acceptable?

maximum e = 13.0 ft/6 = 2.17 ft

The maximum recommended e = B/6

e2 = 1.55 ft

Is e2 B/6?

YES, e2 < B/6

13. Calculate the bearing area reduced for

the eccentricity (Equations 4-9 and 4-10):
L' = B 2e1
B' = B 2e2

e1 = 0
L' = 13.0 ft 0 = 13.0 ft
B' = 13.0 ft 2(1.55 ft) = 9.9 ft
A' = (9.9 ft)(13.0 ft) = 128.8 ft2

A' = B' L'

14. Calculate suz for the bearing capacity
equation (average su over the depth
0.7B' below the shear keys).

su at zs = 144 psf + (45 psf/ft)(1.3 ft) = 202 psf

su at (zs + 0.7B') = 144 psf
+ [45 psf/ft]*[1.3 ft
+0.7(9.9 ft)]
= 515 psf
suz = (202 psf + 515 psf)/2 = 359 psf
4-43

Problem 4.4-1
ANALYTICAL PROCEDURES

COMPUTATIONS

15. Calculate the correction factor Kc for

bearing capacity (Equations 4-18 through
4-23).

Nc = 5.14 (Equation 4-16)

(1.57) (20, 000 lb)

ic =
1
=
0.868
(9.9 ft )(13 ft )(359 psf )(5.14)

Kc = ic sc dc bc gc

mFh
B L su N c

9.9 ft 1
1+
1.148
sc =

=
13.0 ft 5.14

2 + ( L / B )
m=
cos 2

1 + ( L / B )

1.3 ft 1

d c = 1 + 2(1 sin 0) arctan

9.9 ft 5.14

2 + ( B / L) 2
+
sin
1 + ( B / L)

dc = 1.051
bc = gc = 1.0 (from Section 4.3.2.5)

sc = 1 + (B'/L')(Nq/Nc)

dc =
1 + 2 (1 sin )

Df
arctan
B

Nq

Nc

16. Calculate the short-term bearing capacity

(Equation 4-28).

Qu = A(suz N c K c + b D f )
+ (2 B + 2 L(min( D f , H + z s ) )
Fv = Wbf + Wb Fve
Fn = Fv cos ( ) Fh sin ( )
Is there sufficient bearing capacity?
Is Qu > Fs Fn?

= 90 (from Section 4.3.2.5)

2 + (9.9 ft /13.0 ft ) 2
m=
0+
1.57
(1) =
1 + (9.9 ft /13.0 ft )

Nq = 1 (Equation 4-15)

ic = 1

= 0 (undrained)

sua
St

Kc = (0.868)(1.148)(1.051)(1)(1) = 1.047

Qu = (128.8 ft2)[(359 psf)(5.14)(1.047)

+ (28 pcf)(1.3 ft)]
+ [2(13 ft) + 2(13 ft)](1.3 ft)(173 psf/3)
Qu = 259,260 lb
Fv = 83,360 lb + 6,150 lb 20,000 lb
= 69,510 lb
Fn = (69,510 lb) cos (5) (20,000 lb) sin (5)
= 67,500 lb
Fs Fn = (1.5)(67,500 lb) = 101,260 lb
YES, Qu > Fs Fn

4-44

Problem 4.4-1
ANALYTICAL PROCEDURES
17. Calculate the short-term (undrained)
bearing capacity for the foundation when
the mooring line load is not applied.
Compare this to the unloaded normal
force, Fn.

COMPUTATIONS
Fv = 83,360 lb + 6,150 lb = 89,510 lb
Fn = (89,510 lb) cos(5) = 89,170 lb

Fv = Wbf + Wb

Mo = (6,150 lb)(1.3 ft/2) sin (5)

+83,360 lb(1.3 ft + 3.25 ft/2) sin(5)
= 21,600 ft-lb

Fn = Fv cos ( )

e2 = 21,600 ft-lb / 89,170 lb = 0.24 ft

Is there sufficient bearing capacity?

B' = 13 ft 2(0.24 ft) = 12.5 ft

Is Qu > Fs Fn?

A' = (12.5 ft)(13.0 ft) = 162.7 ft2

su at zs = 202 psf
su at (zs + 0.7 B') = 144 psf + [45psf/ft]*
[1.3 ft+0.7(12.5 ft)] = 597 psf
suz = (202 psf + 597 psf)/2 = 400 psf
2 + (12.5 ft /13 ft ) 2
m= 0 +
sin 90 = 1.509
1 + (12.5 ft /13 ft )

(1.509) (0 lb)
1
1
ic =
=
(12.5 ft )(13 ft )(400 psf )(5.14)
12.5 ft 1
1+
1.187
sc =

=
13.0 ft 5.14

1.3 ft 1
2
dc =
1 + 2 (1 0 ) arctan

12.5 ft 5.14
= 1.040

Kc = (1.0)(1.187)(1.040)(1)(1) = 1.235
Qu = (162.7 ft2)[(400 psf)(5.14)(1.235)
+ (28 pcf)(1.3 ft)]
+ [2(13 ft)+2(13 ft)](1.3 ft)(173 psf/3)
= 424,650 lb
Fs Fn = (1.5)(89,170lb) = 133,760 lb
YES, Qu > Fs Fn
4-45

Problem 4.4-1
ANALYTICAL PROCEDURES

COMPUTATIONS

18. Determine the minimum number shear

keys (from Equations 4-40 and 4-41).

[ Fs Fhp + (Wbf + Wbst ) sin ]

Rp

+1

sua = sua at depth zs/2 = 173 psf

28 pcf (1.3 ft ) 2

Rp =
+ 2 (173 psf )(1.3 ft )
2

(13 ft)
= 6,163 lb (per shear key)

b zs 2

Rp =
+ 2 sua z s B
2

[1.5(18,180 lb) + (83,360 lb + 0) sin(5)

6,163 lb

Note: Section 4.3.5.1 recommends a

minimum spacing equal to zs for cohesive
soils.

And,

Shear key spacing = B/(n-1)

required spacing = 13 ft/(7 1) = 2.17 ft

+ 1 = 7 (rounded up from 6.6)

The recommended minimum is zs = 1.3 ft.

Therefore, use 7 shear keys spaced 2.17 ft
apart.
SUMMARY
The foundation has been checked against bearing capacity failure, sliding, and overturning. A
check may also be made (not shown in this example, but shown for Example Problem 2,
Section 4.4.2.2) to see if the 83,360-lb buoyant foundation weight is sufficient to cause full
shear key embedment (this is a slow penetration calculation that may be done by methods
described in this chapter or the simplified versions in Chapter 8). Initial and consolidation
settlements cannot be calculated because there is a lack of sufficient data. They are also not
considered important for a foundation or deadweight anchor, which is placed on the seafloor
to resist only mooring line loads.
The soil-related aspects of the foundation design process have resulted in a foundation
designed with the following dimensions:
Side ............................................... 13.0 ft square
Height ........................................... 3.25 ft (excluding shear keys)
Buoyant Weight ............................ 83,360 lb
Shear Key Depth ........................... 1.3 ft
Shear Key Spacing ......................... 2.17 ft
It is noted that the design is most critical with respect to sliding stability.
4-46

Figure 4.4-2. Forces considered in the overturning analysis for example Problem 1.

4.4.2

Problem 2 Simple Foundation on Cohesionless Soil

4.4.2.1 Problem Statement

Determine the dimensions of a simple concrete square foundation, essentially a
deadweight anchor, with a perimeter skirt to resist given environmental loadings, at a shallow
ocean site. The seafloor is mildly sloping and is composed of a cohesionless soil which has wellestablished properties. Use a factor of safety of 1.5.
Data: The foundation is to be placed where the seafloor slopes at 5 and must resist
loads from a mooring line that may reach 20,000 pounds in uplift and in any horizontal direction
(see Figure 4.4-1). The area is sheltered and no cyclic effects are expected from surface waves.
The seafloor is composed of a medium-dense well-graded sand (cohesionless), with the
following properties having been determined from in-situ or laboratory testing: buoyant unit
weight of 60 pcf and friction angle of 35. (This is the same problem as 4.4.1 except that the soil
is different and skirts without interior shear keys are to be used.)
4.4.2.2 Problem Solution
The analytical and computational procedures for the problem's solution are shown
below. They follow the method presented for the design of a square foundation to resist the
loads under the existing conditions. Figure 4.4-3 shows the forces acting on the foundation.
4-47

Problem 4.4-2
ANALYTICAL PROCEDURES
1. Identify known foundation parameters.
Because the foundation will be only
concrete, its size will be determined by
the suggested limiting relationship H
0.25B (Section 4.3.2.3), and determined
by the necessary weight of concrete to
prevent sliding (Step 3). The foundation
has a side length B. Assume a skirt depth
zs of 0.1B (Section 4.3.5.1) and that the
foundation will be placed parallel to the
downslope direction and embedded to a
depth of zs.

COMPUTATIONS
Fh = 20,000 lb
Fve = 20,000 lb
Df = zs
= 5
b = 60 pcf (given)

= = 35
Fs = 1.5 (given)

2. Calculate Wbf, the minimum buoyant foun- = tan (35) = 0.70

dation weight necessary to resist sliding
Fh = 20,000 lb
(Equation 4-35 without the Wb term).
Note: This is both the short-term and long- Fve = 20,000 lb
term condition for a cohesionless soil.
Wbst = 0

Wbf =

( Fs + tan ) Fh
+ Fve Wbst
Fs tan

Wbf =

= tan (Section 4.3.3.2)

[1.5 + (0.70) tan(5)] 20,000 lb

0.70 1.5 tan(5)
+ 20,000 lb 0 = 74,900 lb

4-48

Problem 4.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS
(concrete) 150 pcf

3. Calculate the dimensions of the trial

foundation necessary to yield an
underwater weight of Wbf.

b(conc) = 150 pcf 64 pcf = 86 pcf

1/ 3

H = 0.25B

( 4)(74,900 lb)
B=

86 pcf

A = B2

Say B = 15 ft

Therefore,

zs = Df = 0.1(15 ft) = 1.5 ft

Wbf = b(conc) AH

4W
B = bf
b

A = (15 ft)2 = 225 ft2

1/ 3

H=

4. Calculate Fn, the resultant force acting

normal to the slope (Equation 4-39, with
Wbst = 0 for no structure, and Wb retained
because Df is taken at the skirt bottom for
bearing capacity comparison).
Fn = (Wbf + Wb Fve) cos Fh sin
5. Calculate e2, the (downslope) eccentricity
by summing moments around the center
of the skirt-line.
Mo = [Wbf(H/2 + zs) + Wb(zs/2) Fve(H + zs)]
sin + Fh(H+ zs) cos
e2 = Mo/Fn
6. Calculate the effective bearing area
(Equations 4-9 and 4-10 with L = B):
B' = B 2e2 and L' = B 2e1
A' = B' L'

= 15.16 ft

Wbf

bA

74,900 lb
= 3.87 ft
(86 pcf )(15 ft ) 2

Wb = zs A = (60 pcf)(1.5 ft)(225 ft2)

= 20,200 lb
Fn = (74,900 lb + 20,200 lb 20,000 lb)
cos (5) (20,000 lb) sin (5)
Fn = 73,100 lb
Mo = (74,900 lb)(3.87 ft/2 + 1.5 ft)
+ (20,200 lb)(1.5 ft)/2
(20,000 lb)(3.87 ft + 1.5 ft)] sin(5)
+ 20,000 lb(3.87 ft + 1.5 ft) cos(5)
Mo = 121,400 ft-lb
e2 = 121,400 ft-lb/73,100 lb = 1.66 ft
e1 = 0
B' = 15.0 ft 2(1.66 ft) = 11.7 ft
L' = 15.0 ft 0 = 15.0 ft
A' = (11.7 ft)(15.0 ft) = 175.2 ft2

4-49

Problem 4.4-2
ANALYTICAL PROCEDURES
7. Calculate the correction factors K and Kq
for bearing capacity (Equations 4-18
through 4-22), and the bearing capacity
factors Nq and N (Equations 4-15 and 417).
K = i s d b g

m +1

Fv = Wbf + Wb Fve = 74,900 lb + 20,200 lb

20,000 lb = 75,100 lb

20, 000 lb
i =
1

75,100 lb + 0

2.56

0.452
=

d = 1.0
b = g = 1.0
K = (0.452)(0.689)(1)(1)(1) = 0.312

s = 1 0.4(B'/L')

1.56

20, 000 lb
iq =
1

75,100 lb + 0

d = 1.0 (from Section 4.3.2.5)

b = g = 1.0 (from Section 4.3.2.5)

Df
2
d q =1 + 2 (1 sin ) arctan
B

0.617
=

sq = 1 + (11.7 ft / 15 ft) tan (35) = 1.545

1.5 ft
2
d q = 1 + 2 (1 sin 35 ) arctan
tan 35 = 1.033
11.7 ft

bq = gq = 1.0

sq = 1 + (B'/L') tan

tan

bq = gq = 1.0 (from Section 4.3.2.5)

N = 2 (1 + Nq) tan tan (/4 + /5)
Nq = exp[ tan ()] N

c = 0 (cohesionless soil)

s = 1 0.4(11.7 ft/15 ft) = 0.689

2 + ( L / B)
2
m=
cos

L
B
+
1
(
/
)

2 + ( B / L ) 2
+
sin
1 + ( B / L )

Fh
iq = 1
Fv + B L c cot

= 90 (from Section 4.3.2.5)

2 + (11.7 ft /15 ft ) 2
m=
0+
1.56
(1) =
1 + (11.7 ft /15 ft )

Kq = iq sq dq bq gq

Fh
i = 1
Fv + B L c cot

COMPUTATIONS

Kq = (0.617)(1.545)(1.033)(1)(1) = 0.984
N = [tan(180/4 + 35/2)]2 = 3.69
Nq = exp[ tan (35)] 3.69 = 33.30

N = 2(1+ 33.29) tan (35) tan(180/4 + 35/5)

= 61.47

N = [tan(/4 + /2)]2

4-50

Problem 4.4-2
ANALYTICAL PROCEDURES
8. Calculate the short-term and long term
bearing capacity (Equation 4-30).
Qu = A b [ D f {1 + ( N q K q 1) f z } + ( B / 2) N K f z ]
+ (2 B + 2 L) (min ( D f , H + z s ) ) b tan

[( D f + max (0, D f H z s )) / 2]

where:
fz =

Dt =

Dr (60 pcf 56.5 pcf) / 11.5 pcf = 0.304

cr (0.304)1.7 20,000 psf = 2,650 psf

sucr = (2,650 psf) sin(35) / {1-sin(35)}
= 3,560 psf
Ncclay = 5.14
Kcclay = [1 + (11.7 ft /15 ft) / 5.14]
[1 + {2 / 5.14} arctan(1.5 ft / 11.7 ft)]
= 1.209

arctan ( D f / Dt )

(D

COMPUTATIONS

/ Dt )

q f max
( / 2) b ( N q K q 1) + {( B '/ 2) / D f }N K

qfmax = sucr Ncclay Kcclay

Ncclay = 2 +
Kcclay = [1 + (B/L)/(2 + )]
[1 + {2/(2+)} arctan(Df /B)]
sucr = cr sin() / {1-sin()}

cr Dr1.7 20,000 psf

Dr (b 56.5 pcf) / 11.5 pcf

qfmax = (3,560 psf) (5.14) (1.209) = 22,130 psf

Dt = [(22,130 psf) / {(1.57)( 60 pcf)}]
/[{(33.30) (0.984) 1}
+{(11.7 ft / 2) / (1.5 ft)}(61.47)(0.312)]
= 2.20 ft
fz = arctan(1.5 ft / 2.20 ft) / (1.5 ft / 2.20 ft)
= 0.878
Qu = (175.2 ft2)(60 pcf)
[(1.5 ft){1+((33.30)(0.984) 1)(0.878)}
+ (11.7ft/2)(61.47)(0.312)(0.878)]
+ [(2)(15 ft)+(2)(15 ft)] (1.5 ft)
[(60 pcf) (tan 30) {(1.5 ft)+0} / 2)]

Is there sufficient bearing capacity?

Qu = 1,493,465 lb

Is Qu > Fs Fn?

Fs Fn = (1.5)(73,100 lb) = 109,650 lb

YES, Qu > Fs Fn

9. Is eccentricity acceptable? The maximum

recommended e =B/6.
Is e2 B/6?

maximum e = 15.0 ft/6 = 2.50 ft, e2 = 1.66 ft

YES, e2 < B/6

Note: Removal of the line load would cause an increase in bearing load of about 20,000 lb and
an increase in capacity due to a reduction of eccentricity. Since the bearing capacity is so much
greater than the applied load, no detailed calculations are needed to verify that the bearing
capacity is adequate with no line load applied.
4-51

Problem 4.4-2
ANALYTICAL PROCEDURES
10. Is the 74,900-lb buoyant foundation
weight, without the line load, sufficient to
cause full skirt embedment? (Equations
4-30 and 4-24 through 4-27, using the full
soil friction angle per Section 4.3.5.2, and
Bs and Ls in place of B and L).
Bs = skirt thickness (assume 0.1 ft)
Ls = skirt length = 2 (B + L 2 Bs)

B
=
Qu Bs Ls b D f {1 + ( N q K q 1) f z } + s
2

+ ( 2 Ls ) D f b tan ( D f / 2)

N K f z

iq = i = 1 (no lateral load), so:

Kq = sq dq

= s d
sq = 1 + (Bs /Ls) tan
s = 1 0.4 (Bs /Ls)

Df
2
d q =1 + 2 (1 sin ) arctan
tan

Bs

fz =

Dt =

arctan ( D f / Dt )

(D

/ Dt )

COMPUTATIONS
Bs = 0.1 ft
Ls = 2 {(15 ft) + (15 ft) 2 (0.1 ft)} = 59.6 ft
Kcclay = [1 + (0.1 ft / 59.6 ft) / 5.14]
[1 + {2 / 5.14} arctan(1.5 ft / 0.1 ft)] = 1.586
qfmax = (3,560 psf) (5.14) (1.586) = 29,030 psf
sq = 1 + (0.1 ft / 59.6 ft) tan (35) = 1.001

1.5 ft
2
d q = 1 + 2 (1 sin 35 ) arctan
tan 35 = 1.383
0.1 ft

Kq = (1)(1.001)(1.383)(1)(1) = 1.385
s = 1 0.4(0.1 ft / 59.6 ft) = 0.999
K = (1)(0.999)(1)(1)(1) = 0.999

Dt = [(29,030 psf) / {(1.57)( 60 pcf)}]

/[{(33.30) (1.385) 1}
+{(0.1 ft / 2) / (1.5 ft)}(61.47)(0.999)]
= 6.53 ft
fz = arctan(1.5 ft / 6.53 ft) / (1.5 ft / 6.53 ft)
= 0.983
Qu = (0.1 ft) (59.6 ft) (60 pcf)
[(1.5 ft) {1 + ((33.30) (1.385) 1) (0.983)}
+ (0.1 ft / 2) (61.47) (0.999) (0.983)]
+ 2(59.6ft)(1.5ft)(60pcf)(tan35)(1.5ft)/2

q f max / {( / 2) b }

Qu = 31,030 lb

( N q K q 1) + {( Bs / 2) / D f }N K

YES, Qu < Wbf

qfmax = sucr Ncclay Kcclay

Kcclay = [1 + (B/L) / (2 + )]
[1 + {2 /(2+)} arctan(Df /B)]

4-52

Problem 4.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS
SUMMARY

The trial foundation has been checked against sliding, bearing capacity failure, and overturning.
A check also has been made to ensure that the 74,900-lb buoyant foundation weight, without
the line load, is sufficient to cause full skirt embedment. Consolidation settlements were not
calculated, as they would be negligible for a cohesionless soil.
The soil-related aspects of the foundation design process have resulted in a concrete
foundation designed with the following dimensions:
Side ............................................... 15.0 ft
Height ........................................... 3.87 ft
Skirt Depth .................................... 1.5 ft
Buoyant Weight ............................ 74,900 lb
It is noted that the design is most critical with respect to downslope sliding, which was used to
figure the required minimum buoyant weight.

Figure 4.4-3. Forces considered in the overturning analysis for example Problem 2.

4-53

4.5 REFERENCES
4-1.

H.Y. Fang (ed). Foundation Engineering Handbook, 2nd edition. New York, NY, Van
Nostrand Reinhold, 1991.

4-2.

G. G. Meyerhof. The Bearing Capacity of Foundations Under Eccentric and Inclined

Loads, in Proceedings of the 3rd International Conference on Soil Mechanics and
Foundation Engineering, Zurich, Vol. I, pp. 440-445, 1953.

4-3.

Recommended Practice for Planning, Designing, and Constructing Fixed Offshore

Platforms Working Stress Design, American Petroleum Institute, API RP 2A-WSD.
Washington, DC, Oct 2007.

4-4.

A.G. Young et al. Geotechnical Considerations in Foundation Design of Offshore Gravity

Structures, in Proceedings of the 1975 Offshore Technology Conference (OTC 2371),
Houston, TX, 1975.

4-5.

P.J. Valent et al. OTEC Single Anchor Holding Capacities in Typical Deep Sea Sediments,
Civil Engineering Laboratory, Technical Note N-1463. Port Hueneme, CA, Dec 1976.

4-6.

T.W. Lambe and R.W. Whitman. Soil Mechanics. New York, NY, John Wiley, 1969.

4-54

4.6 SYMBOLS
A

Foundation or anchor base area [L2]

A'

Effective foundation or anchor base area depending on load eccentricity [L2]

Minimum foundation/anchor base dimension (usually called foundation width) [L]

B'

Effective base width depending on eccentricity [L]

bc,bq,b

Correction factor for inclination of foundation or anchor base

Cc,Cci

Compression index

Effective cohesion intercept as determined by Mohr-Coulomb envelope [F/L2]

Df

Depth of embedment of foundation or anchor (depth of foundation base or skirt tip

below the seafloor) [L]

Dr

fractional relative density

Dt

transition characteristic depth related to onset of grain crushing behavior [L]

dc,dq,d

Correction factor for depth of base embedment

Young's modulus of soil [F/L2]

e,e1,e2

Eccentricity [L]

eo,eoi

Initial void ratio

Fh

Applied horizontal load [F]

Fhp

Resultant of applied loads in the downslope direction [F]

Fn

Normal bearing load [F]

Fs

Factor of safety

Fv

Vertical load component (downward is positive) [F]

Fve

Design environmental loading in vertical direction (upward is positive) [F]

fz

attenuation factor for bearing capacity stress due to friction at depth

Elastic shear modulus of soil [F/L2]

Gs

Specific gravity of the soil grains

gc,gq,g

Correction factor for inclination of ground surface

Height or thickness of the foundation block or anchor [L]

H'

Vertical distance from point of application of F, to the point of rotation (assumed to

be at the shear key tip, or foundation base if no shear keys) [L]

Hi

Thickness of individual cohesive soil layer [L]

Hs

side soil contact height = (base block plus shear key) [L]

ic,iq,i

Correction factors for inclination of resultant load

Kc, Kq, K Bearing capacity correction factors

4-55

Kp

Coefficient of passive earth pressure

Kqd

the product of Kq with depth, at great depth

Length of foundation or anchor base [L]

L'

Effective length of foundation or anchor base [L]

M,Mo,M1,M2

Overturning moment [FL]

Ms

(Stabilizing) resisting moment [FL]

Exponential term used in Equations 4-19 and 4-20

Nc, Nq, N, N

Bearing capacity factors

Number of shear keys oriented in one direction, or number of incremental layers in a

consolidation settlement calculation

Assumed point of rotation

base perimeter = 2B + 2L [L]

PI

plasticity index = Liquid Limit minus Plastic Limit [% of dry weight]

poi

Initial effective overburden stress at midpoint of ith soil layer [F/L2]

pv

Effective vertical stress [F/L2]

Applied uniform vertical stress from foundation at base level

Increase in vertical effective stress at depth z (Figure 4.3-6)

p i

Added effective vertical stress at midpoint of ith soil layer [F/L2]

Qe

Embedment force necessary to fully penetrate shear keys [F]

Qu

Ultimate bearing load resistance (bearing capacity) [F]

Qul

Ultimate lateral load resistance of the foundation or deadweight [F]

qc

bearing capacity stress for cohesion [F/L2]

qfmax

frictional portion of the bearing capacity stress evaluated at great depth [F/L2]

qq

bearing capacity stress for overburden [F/L2]

qqf

bearing capacity stress for overburden, net after subtracting soil buoyancy [F/L2]

bearing capacity stress for friction [F/L2]

Radius of circular foundation base [L]

Rp

Passive soil resistance on leading edge of base & shear key skirt [F]

Rs

Normal soil reaction

St

Sensitivity of cohesive soil

sc,sq,s

Correction factors for shape of base

su

Undrained shear strength of cohesive soil [F/L2]

sua

Undrained shear strength averaged over side soil contact zone (to tip of key), or as
specified in specific analyses [F/L2]
4-56

sucr

effective shear strength at critical confining pressure [F/L2]

suz

Undrained shear strength at shear key tip (or at base, if no shear keys), or as specified
in specific analyses [F/L2]

Vconc

Volume of concrete in foundation block [L3]

Vf

Volume of foundation block [L3]

Vsteel

Volume of steel in foundation block [L3]

vmax

Maximum allowable lowering velocity max during installation [L/T]

Water content

wL

liquid limit: water content for specified slump test behavior [% of dry weight]

wP

plastic limit: min water content for specified ductility test behavior [% of dry weight]

Wb

Effective or weight of the soil trapped within the footing shear key skirt [F]

Wbf

Effective or buoyant weight of the foundation or deadweight anchor [F]

Wbst

Effective or buoyant weight of structure supported by a foundation [F]

Wbv

Submerged weight of installation being lowered

zavg

Depth averaged over side contact zone to tip of shear key [L]

zs

Depth of shear key tip below the foundation base (height of footing shear key skirt) [L]

Slope of seafloor [deg]

Buoyant unit weight of soil [F/L3]

bc

Buoyant unit weight of concrete [F/L3]

bf

Buoyant unit weight of foundation [F/L3]

Effective friction angle between the soil and the side of the foundation

Total consolidation settlement [L]

Initial settlement [L]

Angle between the line of action of F. and the long axis of the foundation

Coefficient of friction between soil and foundation or between soil and soil when
shear keys cause this type of sliding failure

Poisson's ratio of soil

cr

critical confining pressure [F/L2]

Soil friction angle [deg]

Effective friction angle for drained analysis [deg]

Undrained friction angle of cohesionless soil [deg]

4-57

[This page intentionally left blank]

4-58

5 PILE FOUNDATIONS AND ANCHORS

5.1 INTRODUCTION
Piles are deep foundation elements installed by driving or by drilling-and-grouting. High
installation costs dictate that piles be used only where surface foundation or anchor elements,
such as shallow foundations, deadweight anchors, or drag or plate anchors, cannot supply the
support required. Use of piles as foundations or anchors becomes less frequent as water depth
increases due to associated rapidly increasing installation costs. This chapter describes pile
types, designs, installation considerations, and presents a simplified design procedure.

5.2 PILE DESCRIPTIONS

5.2.1

Pile Types

Steel is the most common pile material used offshore. Pre-stressed concrete and wood
are used in nearshore and harbor applications but are rarely used in deeper water because of
construction handling, and splicing difficulties with long piles. For use as foundations and
anchors in deep water, pipe sections and H-piles are the most commonly used pile types. A
number of specially designed piles are also in use as anchors (Ref. 5-1). These special piles are
designed to increase lateral or uplift capacity of the anchorage. Table 5.2-1 lists features of the
more common pipe and H-piles and of several types of specialty piles.
5.2.2

Mooring Line Connections

Table 5.2-2 shows four common types of mooring line connections. The selection of a
type of mooring line connection should be based on the relative importance of the factors listed
and the cost. Connection points, especially, must be sturdy enough to withstand installation
stresses as well as service loads.
5.2.3

Modifications for Increasing Lateral Load Capacity

The lateral load capacity of a pile anchor can be increased in several ways (as shown in
Table 5.2-3): by lowering the attachment point along the pile length, by lowering the pile head
beneath the soil surface into stronger soils, or by attaching fins or shear collars near the pile
head to increase the lateral bearing area. The expected increase in pile capacity must be
weighed against increases in cost for fabrication and for the higher complexity of the installation
procedure.

5-1

Table 5.2-1. Pile Types

Characteristics

Pipe and H-Piles

Umbrella Pilesa or Plate Anchors

Chain-in-Holea

Rock Boltsa

Applications

Foundations and Anchors

Anchors

Anchors

Anchors

Approximate
Maximum
Capacity

Axial: 20,000 kips

300 kips in sand

550 kips

260 kips

Lateral: 1,500 kips

100 kips in mud

Installation
Methods

Driven or drilled and grouted

Driven

Drilled and grouted

Drilled and grouted, or mechanically

wedged

Applicable
Soil Type

Soil and rock

Soils without boulders and

other obstructions

Rock, with overlaying soil strata

Rock

Advantages

Easy to splice; high capacity;

can penetrate through light
obstructions

High capacity in uplift

High capacity

Very low cost, no heavy mechanical

equipment necessary

Disadvantages

High cost; vulnerable to

corrosion

Maximum depth limited by

hammer; soils must be
homogeneous; inspection of
connection not possible

Inspection of connection not

possible

Rock must be competent, nonfractured (shallow water only), low

capacity

Remarks

Pipe piles resist bending in any

direction

Resistance developed similar to

plate-embedment anchor
(Chapter 6)

Diver hand-installed, much smaller

size than normal pipes

Illustration

(anchor pile shown)

(in-service position)

(wedged bolt shown)

Special anchor pile

5-2

Table 5.2-2. Mooring Line Connections

Type of
Connection

End Padeye

Advantages

Omni-directional loading.
Easily inspected and
repaired.

Side Padeye
Applicable to Hpiles.

Bridle
Distributes load
around pile.

Simple construction.

Can introduce torsional

stresses in pile.

Applicable for unidirectional loadings.

Omni-directional
loading.
Eliminates torsional
stresses in pile.

Simple construction.
Disadvantages

Swivel

Uni-directional
loading.
Cannot be inspected
and repaired.

Design must protect

against fretting
corrosion.
Complex construction.

Illustration

Table 5.2-3. Techniques to Improve Pile Lateral Load Capacity

Technique

Lowered Attachment
Point

Advantages

Lateral load is reduced.

Lateral resistance is
higher.

Disadvantages

Uni-directional loading.
Inspection and repair of
connection impratical.
Soil in front of pile may
be weakened.

Buried Pile Head

Attaching Fins

Shear Collars With

Anchor Plates

Lateral load is
reduced.

Increases lateral
resistance.

Omni-directional
loading.

Provides for scour in

sand.

Limits pile head

deflection and bending
moment.

Eliminates torsional
stresses in pile.

Inspection and repair

of connection
impractical.

More costly
fabrication.

Complex install.
More costly
fabrication.
Limited experience
with system.

Illustration

5-3

5.3 DESIGN PROCEDURES FOR SIMPLE PILES IN SOIL SEAFLOORS

5.3.1

General
Pile foundations or anchors may be subjected to one or more of the following loads:

Axial downward loads (compression)

Axial uplift loads (tension)

Lateral loads

Bending moments

For simple pipe and H-piles, axial forces are resisted by soil friction developed along the
pile shaft and by bearing on the pile tip (for downward loads). Lateral forces and moments are
resisted primarily by the pile shaft bearing on the near-surface soils. For a foundation pile,
design is normally controlled by downward axial and lateral loads. However, significant moment
and uplift loads may also be present. For an anchor pile, design is normally controlled by uplift
and lateral loads. A significant moment may be present, depending on the point of application
of the lateral load. A simplified procedure for the design of uniform cross-section piles
embedded in a non-layered seafloor consisting of sand, clay, or calcareous soils is presented in
Section 5.3.2. The objective of the procedure is to determine if the pile length, width, and
stiffness are capable of resisting applied moments, lateral and axial forces at the seafloor
without excessive movement and without exceeding the allowable stresses for the pile material.
Design is a trial-and-error procedure, where a pile is selected and then is evaluated for its ability
to resist those forces and movements under the existing soil conditions. A check is then made
to determine if the allowable pile material stresses are exceeded. In the procedure, the pile is
assumed to be a beam on an elastic foundation with an elastic modulus that increases linearly
with depth. Further description of this type of analysis is found in Reference 5-2.
The procedure applies to piles loaded at the pile head. (Modifications to this procedure
to account for other conditions are discussed in Section 5.3.7.)
In the following text sections, steps for pile design are denoted to the left of where the
procedure step is presented. Figure 5.3-1 summarizes the design procedure. Note that in this
design a factor of safety is applied by increasing expected loads to the design loads before the
pile is designed.

5-4

STEP 1

STEP 2

EQUATIONS

STEP 3

5-2 and 5-3

STEP4

STEP 5

STEPS 6 & 7

EQUAT ION 5-4

STEP 8

>-'

STEP 9

STEP 10

6
STEP 11

'!}_

if>

"'u;;:;

EQUATION 5-5

"'u;;:;

"'w "'w
EQUAT IONS

STEPS 12 & 13

5-7 and 5-8

E QUATION 5-9

STEP 14

NO

EQUATION 5-10

STEP 15

..

STEP 16

if>

EQUAT ION 5-13

"'u;;:;

EQUATION 5-14

STEP 17

if>

STEP 18

EQUAT IONS

5- 15and 5-16

STEP 19

Figure 5.3-1. Flow chart for the pile design procedure.

5-5

5.3.2

Soil Properties

STEP 1: Determine required soil engineering properties.

These properties should be site-specific, based on in-situ or laboratory tests, or both.
The soil properties required for design are:
For cohesionless soil (sands and silts),

drained (effective) friction angle [deg]

b =

buoyant unit weight [F/L3]

Dr =

relative density [%]

Cohesive soils (clays),

su =

undrained shear strength [F/L2]

b =

buoyant unit weight [F/L3]

Calcareous soils,
Carbonate content, degree of cementation, and degree of crushing (in addition to the
properties required for cohesionless soils).
If site-specific soil data are not available, it may be possible to extrapolate from other
property data using geologic and geophysical information from similar nearby areas. In the
absence of any test-determined data, estimates of soil properties may be made based on the
geologic and depositional environment and geophysical data. Chapter 2 provides guidelines for
estimating engineering properties and identifies some engineering properties of major sediment
types. Additional soil properties important to pile design are given in Table 5.3-1 through Table
5.3-3 for cohesionless and cohesive soils based on soil density or degree of consolidation.
Where soil properties vary significantly with depth, average properties in the uppermost
four pile diameters are used for the lateral load analysis (STEPS 4 through 11) and average
properties over the pile length are used for the axial load analysis (STEPS 12 through 18).
Table 5.3-1. Properties of Cohesionless Soil Useful in Pile Design

Type

Standard Penetration
Blow Count, N

(deg)

Dr
(%)

(pcf)

Very loose to loose

<10

28-30

0-50

45-55

Medium dense

10-30

30-36

50-70

55-65

Dense

30-50

35-42

70-85

60-70

50+

40-45

85-100

60-70

Very dense

5-6

Table 5.3-2. Properties of Cohesive Soils Useful in Pile Design

Type
Underconsolidated clays
(very soft to soft)
Normally consolidated soils at depth z, ft.
(firm)
Overconsolidated soils based on
consistency
(very firm)
(hard)
(very hard)

50

su
(psf)

(%)

(pcf)

50-150

20-25

150 + 10z

2-1

25-50

300-600
600-1,500
1,500

1.0
0.7
0.5

50-65

Table 5.3-3. Properties of Calcareous Soil Useful in Pile Design

Characteristic

Property

Carbonate content

low, 0 to 30%
medium, 30 to 45%
high, 45+

Degree of cementation

uncemented or lightly cemented or

well cemented

Degree of crushing

crushes easily
resistant to crushing

5.3.3

Pile Design Loads

STEP 2: Determine the maximum load or load combinations at the seafloor surface.
Actual loads are determined from an analysis of what is attached to the pile. A safety
factor, Fs, is applied to the actual loads to determine those loads used in the design. If the
necessary soils data are accurately known (from in-situ testing or laboratory testing of core
samples), a safety factor of 1.5 to 2.0 is recommended. If soil properties are not accurately
known, a higher safety factor of 2.0 to 3.0 should be used. Within these recommended ranges,
higher values should be used where the installation is more critical and where the soil properties
are more questionable.
For anchor piles the design loads are:
Th =

Fs * horizontal component of mooring line tension at the seafloor

Tt =

Fs * vertical component of mooring line tension at the seafloor

5-7

where:
Th =

design horizontal load at the anchor pile [F]

Tt =

design vertical load at the anchor pile [F]

For foundation piles the design loads are:

Ph =

Fs * horizontal component of load at the pile

Pt =

Fs * vertical uplift load at the pile

Pc =

Fs * vertical compression load at the pile

Ph =

design horizontal load at the foundation pile [F]

Pt =

design vertical uplift load at the foundation pile [F]

Pc =

design vertical compression load at the foundation pile [F]

where:

In unusual cases, a moment may be applied to the foundation pile. This actual moment
should similarly be multiplied by the factor of safety to yield a design moment.
Ma =

Fs * moment applied to the pile head

Ma =

design applied moment [LF]

where:

STEP 3: Calculate load at a submerged anchor pile head.

For anchor piles to be driven below the seafloor surface, the mooring line angle at the
pile is not the same as that angle at the seafloor, due to soil bearing resistance against the
mooring line. The actual angle at the pile becomes higher and the force exerted on the pile
becomes more of an axial load. To account for this, horizontal and vertical design loads
determined in STEP 2 must be corrected. The general effect of this correction is to decrease the
horizontal load a pile must resist and increase the vertical or axial load. The force corrections
include several simplifying conservative assumptions and are made as follows.
The correction to the horizontal force is the soil force that is exerted on the mooring line
in a horizontal direction:

5-8

For cohesionless soils,

Fcb = z c2 d b b N q

(5-1a)

For cohesive soil,

Fcb = (11.0) su d b z c

(5-1b)

where:
Fcb =

horizontal force exerted on the mooring line by the soil [F]

zc =

depth of pile connection below seafloor [L]

db =

characteristic mooring line size [L] (for chain, use 3 times the chain size; for wire,
use wire diameter)

Nq =

bearing capacity factor, from Table 5.3-4

The corrected anchor pile design loads are:

Th = Th Fcb Fs

(5-2)

2
2
2
Tt = (Tt + 2Th Fcb Fs Fcb Fs )1 / 2

(5-3)

where Th and Tt are the values for Th and Tt, corrected for the effects of a pile head being
driven to a depth zc below the seafloor.
Table 5.3-4. Bearing Capacity Factors for Chain Lateral Force in Sand (Ref. 5-3)

Soil Friction
Angle,
(deg)

Nq

20

25

30

35

12

40

22

45

36

5-9

5.3.4

Lateral Load Analysis

STEP 4: Select a trial pile size.

The trial-and-error pile selection process begins with a pile selection--usually made on
the basis of availability. This determines pile diameter, D; wall thickness, tw; and stiffness, EI.
STEP 5: Select deflection criteria.
For anchor piles, a suggested maximum lateral deflection criterion is ymax/D = 10%,
where ymax is the maximum allowable lateral deflection. For foundation piles, a more rigid
deflection criterion (a lower value of ymax/D) is used if justified by structural requirements.
STEP 6: Determine coefficient of subgrade reaction.
The coefficient of subgrade soil reaction, nh, is determined for the selected value of
ymax/D. For cohesionless soils, this is obtained from Figure 5.3-2 and Dr, the soil relative density.
For cohesive soils, first Figure 5.3-3 and su are used to determine a value for the coefficient K1.
Then nh is determined from the equation on that figure. For calcareous soils, Figure 5.3-2 and a
value of Dr = 35% are used.
STEP 7: Determine pile-soil stiffness. The pile-soil relative stiffness, T, is computed by:

EI
T =
nh

0.2

(5-4a)

I pipe = r 3 t

(5-4b)

where:
r

pipe radius [L]

pipe wall thickness [L]

STEP 8: Select pile length.

A pile length, Lp, is assumed. (A length of Lp= 3T is suggested as a minimum.)
STEP 9: Determine deflection coefficients.
The maximum value of the depth coefficient zmax = Lp /T is computed. Then deflection
coefficients Ay and By at the ground surface are obtained from Figure 5.3-4.
5-10

STEP 10: Calculate lateral load capacity.

The lateral load capacity of the trial pile, Ph(calc), for the value of ymax selected in STEP 5
is computed.

Ph (calc) =

y max ( EI )
Ay T 3 + aB y T 2

(5-5)

where a is the distance of the pile load attachment point above the seafloor surface for
foundation piles [L] (a 0, as foundation piles will not be driven below the surface).
STEP 11: Compare pile capacity to required design lateral load capacity.
Ph (or Ph or Th) or is slightly higher, then the trial pile is adequate for resisting
lateral loads.

If

Ph(calc) =

If

Ph(calc) >> Ph (or Ph or Th) then the pile is overdesigned. One or more of the following
changes are made and computations are repeated on the new trial pile size.

If

(a)

Reduce pile stiffness by reducing diameter or thickness (repeat calculations from STEP
4).

(b)

Reduce pile length, unless already very short (repeat calculations from STEP 9).

Ph(calc) << Ph (or Ph or Th) then the pile is underdesigned. One or more of the following
changes are made and computations are repeated on the new trial pile size.
Note: this is done until Ph(calc) is only slightly greater than Ph.
(a)

Increase pile stiffness by increasing diameter and/or thickness (repeat calculations

from STEP 4).

(b)

Increase pile length, unless already very long (repeat calculations from STEP 9).

(c)

Increase design depth of pile head (repeat calculations from STEP 3).

5-11

Figure 5.3-2. Design values for nh for cohesionless soils (Ref. 5-4).

5-12

Figure 5.3-3. Design values for nh for cohesive soils.

5-13

Figure 5.3-4. Deflection coefficients Ay and By at the ground surface.

5-14

5.3.5

Axial Load Analysis

STEP 12: Calculate average effective overburden pressure.

( )

The average effective overburden soil pressure p vo at the pile midpoint is computed:

p vo =

b Lp

(5-6)

( )

If the pile is not fully buried, find p vo at the midpoint of the buried length. If the
density changes, average the densities along the pile.
STEP 13: Calculate skin frictional resistance per unit length of pile.
For cohesionless soils, the average unit skin frictional resistance, fs (in uplift and
compression), is calculated from:

=
f s k p vo tan( 5deg)

(5-7)

where k is 0.7 for compression and 0.5 for uplift.

Table 5.3-5 presents limiting or maximum values for fs. It must be checked to ensure
that calculated values of fs do not exceed those limiting values. For piles driven into calcareous
soils, the table's limiting values shown should be used unless higher values are justified by onsite testing.
For cohesive soils, first determine if the soil is normally consolidated or
overconsolidated. To do this, an average value for s u

su

p vo over the pile length is computed. If

p vo 0.4, the soil is considered normally consolidated (NC); if su

p vo > 0.4, the soil is

considered overconsolidated (OC).

For NC soils, the average unit skin friction resistance, fs, is equal to:

=
f s p vo [0.468 0.052 ln( Lp / 2.0)]

(5-8a)

where Lp is in feet. If Equation 5-8a exceeds su then:

f s = su

5-15

For OC soils:

f s = [0.458 0.155 ln(su / p vo )] su

If s u

(5-8b)

p vo exceeds 2.0 then:

f s = 0.351 su

Table 5.3-5. Recommended Limiting Values for Unit Skin Friction

and End Bearing for Cohesionless Soils

Soil Type

(deg)

(deg)

Nq

fs (max)
(ksf)

qp (max)
(ksf)

Noncalcareous Soils
Sand

35

30

40

2.0

200

Silty Sand

30

25

20

1.7

100

Sandy Silt

25

20

12

1.4

60

Silt

20

15

1.0

40

Calcareous Soils
Uncemented
calcareous sand (easily
crushed)
Partially cemented
calcareous sands with
carbonate content:
0 to 30%
30 to 45%
Above 45%
Highly cemented
calcareous soils such
as chalk
a

30

20

20

0.3a

60

----

----

----

2.0
0.64a
0.56a

100
160
140

--

--

--

1.1

140

For drilled and grouted piles, the value may approach 2.0 ksf the value for quartz sand; actual value
depends upon installation technique.

5-16

STEP 14: Compute uplift capacity and compare to design load.

For both anchor and foundation piles, the frictional resistance of the pile, Qs, must
exceed the design load for uplift, Pt. Pile frictional resistance is:

Qs = As f s

(5-9)

where As is the surface area of the pile below the seafloor [L2].
If

Qs

Pt, then the design is adequate for resisting uplift forces.

If

Qs

<

Pt, then the trial pile length is increased. Although increasing the pile diameter is
another approach will increase Qs, increasing pile length is usually preferred.

STEP 15: Compute soil bearing capacity for foundation pile tip.
For foundation piles, resistance to compressive loading comes from frictional resistance
along the pile and from resistance to tip or end penetration. For closed-ended piles, the soil
bearing capacity for the pile tip, Qp, is computed as follows:

Q p = Ap q p

(5-10)

where:
Ap =

gross end area of the closed pile [L2]

qp =

unit soil bearing capacity of that pile tip [F/L2]

For cohesionless soils,

q p = p vo (tip ) N q

(5-11)

For cohesive soils,

q p = 9 su (tip )

(5-12)

where:
pvo(tip)

effective vertical stress at pile tip [F/L2]

Nq

bearing capacity factor from Table 5.3-5

su(tip)

soil undrained shear strength at pile tip [F/L2]

5-17

Piles that are not closed-ended will develop a soil plug when installed. (When this soil
plug is removed and replaced with concrete, the pile is considered closed-ended.) The soil plug
will limit the value of Qp that can develop to the force required to push a soil plug up into a thinwalled pipe. This limiting value is approximately equal to the frictional capacity of the pile,
previously computed as Qp. Therefore, for open-ended piles, Qp is equal to Qs.
STEP 16: Compare pile capacity in compression with required capacity.
The pile capacity in compression, Qc, is computed, and this is compared with the design
load under vertical compression, Pc.

Qc = Q s + Q p

(5-13)

If

Qc

Pc, the pile is adequate in compression.

If

Qc

<

Pc, then the pile is not adequate in compression. The pile length must be
increased (repeat the calculations from STEP 14).

If using an open-ended pile and Qp was significantly limited by the value of Qs, it may be
of significant benefit to plug the pile end. Recompute Qc for a closed-ended trial pile and again
check for adequacy in compression.
5.3.6

Steel Stress Analysis

STEP 17: Calculate maximum compression.

The maximum moment (Mmax) in the pile is determined by max combining any applied
(design) bending moments, Ma, and moments created by the design horizontal load. The latter is
calculated by recomputing T (STEP 7) and Lp/T (STEP 9) for the current trial pile; selecting the
influence coefficients Am and Bm from the appropriate curves on Figure 5.3-5; then computing
the maximum moment, Mmax, at a point along the pile by:

M max = Am ( PhT ) + Bm ( M a )

(5-14)

It may be necessary to determine Mmax at several locations (z) along the pile in order to
find the maximum value for Mmax. This is done by entering Figure 5.3-5 with the several values of
z/T.

5-18

STEP 18: Calculate maximum steel stress.

Maximum stress in the pile under tension (fmaxt) and (fmaxc) is calculated by:

f max t =
Pt / Aps M max / S

(5-15)

=
f max c Pc / Aps + M max / S

(5-16)

where:
Aps =
S

cross-sectional area of the pile [L2]

section modulus of the pile [L3]

Note: The terms Aps and S and allowable maximum stress in tension and compression
used in STEP 19 are available from steel design manuals or manufacturers literature containing
data on these pile shapes.

STEP 19: Compare calculated and allowable steel stress.

The values for fmaxt and fmaxc are compared with the allowable steel stress in tension and
compression for the pile being used. For most common structural shapes fa, the allowable
maximum stress in tension and in bending (tension and compression), is at least 0.6Fy, where Fy
is the minimum yield point of the steel being used.
If

fmaxt and fmaxc

allowable, then the pile is adequate.

If

fmaxt or fmaxc

allowable, then the pile is inadequate. A new trial pile size with a larger
section modulus (larger tw or D) is selected (repeat the calculations from
STEP 18).

>

It is also possible to reinforce the pile over that length where high moments exist. This
will result in a larger section modulus and may be done rather than using a larger pile. While this
is often done because it is cost-effective, it is beyond the scope of this handbook.

5-19

Figure 5.3-5. Influence values for a pile with applied lateral load or moment (Ref. 5-2).

5-20

5.3.7

Special Cases

5.3.7.1 Load Applied Below the Anchor Pile Head

When the mooring line is connected to the side of an anchor pile at a distance of more
than five pile diameters from the head, the simplified approach presented in Section 5.3.4 for
lateral load is not adequate. For the anchor pile with such a buried side connection, a lateral
load analysis must be made by other means, such as with the assistance of a computer program
(Ref. 5-5). For the same lateral load, pile deflection and bending moments are reduced
significantly as the mooring line connection point is lowered from the pile top to a point midway
down the pile. The mooring line will also approach the pile at a decreasing angle as the
connection point is lowered, thus greatly lowering the lateral force and raising the uplift force.
Where the mooring line chain is almost parallel to the pile, the presence of chain
alongside the pile and the influence of repeated mooring loads may also reduce the soil strength
and, therefore, reduce soil resistance above the connection point.
5.3.7.2 Piles with Enlarged Cross Section
Pile size may be increased near the seafloor surface to increase resistance to lateral
loads and bending moments. Analysis of the response of piles with variable cross section to
lateral loads is much more complex and is usually done with the aid of computer programs
(Refs. 5-6 and 5-7). In general, a large increase in pile diameter over a small depth is more
efficient in reducing deflections at the seafloor than is a small increase in diameter over a larger
depth. When enlarged pile sections at the pile head are used, the length of the enlarged section
should be limited to three times the larger diameter.
5.3.7.3 Special Seafloor Conditions
A number of seafloor conditions can be considered hazardous to the placement or
functioning of piles in the offshore environment. Some of these are listed below.
Steeply sloping seafloors and accompanying down-slope soil movements can cause
additional lateral pile forces in the downslope direction. Also, steep sloping makes the area
more subject to instability problems such as might be initiated by seismic activity of wave forces.
The presence of rocks, cobbles, or cemented zones can make installation of driven piles
difficult. Drilled and grouted piles may be the best method of installation in these areas.
Scour of near-surface soils can occur and can be accentuated in the vicinity of piles.
Scour extent depends on the velocity of seafloor currents, the type of soil, and the size and
configuration of pile groups. Generally, granular soils are more susceptible to scour than
cohesive soils. For granular soils, the upper 5 to 10 feet may be subject to scour. Removal of this
surface material can significantly affect pile behavior, and the possibility of this occurring should
be taken into account during pile design. Scour is discussed in more detail in Chapter 10.
5-21

Earthquake-related hazards should be assessed in seismically active areas. Earthquake

motions may cause partial loss of strength or complete liquefaction in loose granular soil zones,
essentially removing soil support developed in these zones. Additionally, a weakened zone may
slide downslope and overload the pile due to high lateral force applied by the moving soils. For
important structures in areas where such problems can be anticipated, the design should be
based on a thorough evaluation of such hazards and their influence on the structure.

5.4 DESIGN OF PILE ANCHORS IN ROCK SEAFLOORS

An approach to pile anchor design in rock is presented in this section. A detailed
procedure for pile anchor design in rock is not presented because this cannot be done simply,
primarily because of the difficulty in characterizing the material failure mode.
Rock failure modes are illustrated in Figure 5.4-1. Failure of a pile anchor in rock may
occur in lateral bearing due to rock crushing under lateral loads. It may also fail in uplift because
of a failure of grout-to-rock bonding or because of a rock-mass failure in fractured material.
Uplift failure can also occur due to the pile's loosening and the loss of resistance as a result of
repeated lateral loads.
The mode of failure is difficult to establish or predict for a specific location. The strength
of a cored sample may be misleading when applied to the prediction of pile anchor holding
capacity in jointed, bedded, faulted, or weathered rock masses. Gross rock characteristics will
likely govern pile behavior, and these gross characteristics must be thoroughly evaluated at each
pile location.

Figure 5.4-1. Failure modes for pile anchors in a rock seafloor.

5-22

5.4.1

Lateral Capacity

In a rock or hard cemented soil seafloor, a soil cover may be present above the rock, or
the rock/cemented zone may be underlain by soil. For layered soil-rock sites, available computer
programs should be used (Refs. 5-6 and 5-7) to account for the complexities introduced by these
nonuniform conditions.
5.4.1.1 Soil Overlying Rock
For soil overlying rock, pile capacity can be roughly estimated by the following
procedure. The relative depth to the rock, zs/T, is determined, where zs is the thickness of the
soil over the rock and T is the pile relative stiffness. If zs/T 3.0, the pile can likely be designed
to develop all support from the soil layer. The pile design should be made with the soil analysis
procedures presented in Section 5.3.
If zs/T < 3.0, then the pile can be conservatively designed as if the soil were not present.
That is, the pile is considered cantilevered out of the rock surface and resists all forces without
assistance from the soil layer. If this is done, a check must be made to determine if the
compressive strength of the rock, sc, is exceeded by stresses from the applied lateral load. That
is, a check should be made to ensure that:

Ph
< sc
DLe

(5-17)

where:
Ph =

lateral force applied to the pile head [F]

D =

width or diameter of the pile [L]

Le =

effective length of pile bearing on the rock strata equal to the smaller of: (1) the
rock layer thickness, zr , or (2) a depth interval equal to the pile diameter, D

sc =

rock compressive strength (see Table 5.4-1 for typical values of sc) [F/L2]

5.4.1.2 Rock Layer Overlying Soil

For the case of rock or other hard layer overlying soil, if the rock layer thickness, zr, is
less than 0.2T, where T= (EI/nh)0.2 and nh is the coefficient of soil reaction of the underlying soil,
the influence of the rock layer may be ignored and the pile designed by using the procedure of
Section 5.3.2. For rock layer thickness, zr, greater than 0.5T, the influence of underlying soil may
be ignored and the pile designed for rock compressive strength as under Section 5.4.1.1. For
intermediate values of zr, the designer must judge whether to use the soil or rock procedure;
the decision depends upon pile diameter, knowledge of rock layer strength and fracturing, and
the layer thickness.
5-23

Table 5.4-1. Rock Properties (Ref. 5-8)

Compressive
Strength, sc
(ksi)

Buoyant Saturated
Unit Weight, b
(pcf)

Dolerite

28.4 49.8

123

Gabbro

25.6 42.7

123

Gneiss

7.1 28.4

117

Basalt

21.3 42.7

111

Quartzite

21.3 42.7

101

Granite

14.2 35.6

98

Marble

14.2 35.6

98

Slate

14.2 28.4

98

Dolomite

11.4 35.6

92

Limestone

4.3 35.6

73

Sandstone

2.8 24.1

61

Shale

1.4 14.2

61

Coal

0.7 7.1

Rock Type

5.4.2

Uplift Capacity

Failure due to uplift load may occur: (1) at the grout-pile interface, (2) at the grout-rock
interface, or (3) along a rock fracture zone outside the grouted area. In (3), a block of rock
containing the pile is assumed to be lifted free of the surrounding rock as shown in Figure 5.41(c). The following guidelines for design are suggested.
5.4.2.1 Massive, Competent Rock
For massive, competent rock, uplift capacity will be governed by frictional forces
developed by the grout bonding strength along the pile, by the grout shear strength itself, or,
less likely, by the grout bonding strength along the drilled shaft wall. For failures of these types,
the uplift capacity, Ra, of the rock anchor is given by:

R a = s b Lr C p

(5-18)

5-24

where:
sb =

the lesser of (1) the grout-to-pile bonding strength, or (2) the shear strength of
the grout [F/L2]

Lr =

length of pile embedded in rock [L]

Cp =

minimum perimeter transmitting the uplift load [L]

Unless higher bond strengths are verified by testing, the grout-to-steel bonding strength
should be limited to 27 psi. The grout-to-rock bond strength may vary from 0.3 to 1.0 times the
rock shear strength, depending on cleanliness of the drilled hole, type of rock, and grouting
procedure.
5.4.2.2 Fractured Rock
For fractured rock, anchor uplift capacity is determined by the mass of the blocks of rock
which move with the anchor and by the frictional force developed between the attached blocks
and adjacent blocks. Because of the difficulty in estimating the normal forces acting on vertical
joints and cracks, this frictional force is normally ignored.

5.5 PILE INSTALLATION

Piles are installed in the offshore environment by one or a combination of the following
methods:

5.5.1

Driving

Drilling and grouting

Jacking

Jetting

Driven Piles

Piles may be driven by impact hammers operated above the water surface, by
underwater impact hammers, or by vibratory hammers.
5.5.1.1 Conventional Hammers
Piles for piers, harbor structures, bridges, and many offshore structures in shallow water
are driven from above the water surface with conventional hammers used in pile driving on
land. The pile is made long enough to extend above the water surface when driven to its design
5-25

penetration depth or, alternatively, a pile follower is used (Figure 5.5-1). The piles are commonly
guided by a template that rests on the seafloor, although floating templates may be used for
small, shallow-water installations. The pile-driving operation is conducted from a carefully
moored work barge that supports the necessary cranes and auxiliary equipment.
The pile hammers used for this construction are scaled-up versions of land hammers.
The types include single-acting steam, compressed air, diesel, and hydraulic hammers. The rated
energy of these hammers varies from less than 100,000 ft-lb per blow to over 1,500,000 ft-lb per
blow. Surface-operated pile drivers have been used in water depths in excess of 1,000 feet.
The success of the surface-driven method of pile emplacement in deep water is
dependent upon the presence of the template to act as a guide for the piles. Without the
restraint offered by the template, most of the driving energy would be dissipated by lateral
deflection of the pile. For anchor piles driven from the surface without lateral restraint, a
reasonable maximum water depth appears to be about 250 feet.

Figure 5.5-1. Pile installation techniques.

5.5.1.2 Underwater Hammers

Several standard terrestrial pile hammers may be modified for operation underwater.
One manufacturer makes a total of 12 steam/compressed air hammers, with rated energies in
air of 8,750 ft-lb to 60,000 ft-lb. These may be operated while submerged with little loss of
efficiency. The modifications consist primarily of providing exhaust hoses that extend to the
water surface. Because steam cools too much when the hoses go underwater, compressed air is
usually used to operate the hammers.
A number of large hammers have been developed over the last 10 years that are
capable of both above and underwater operation. Some of these hammers have rated striking
energies of up to 1,700,000 ft-lb.
5-26

5.5.1.3 Underwater Vibrators

Vibratory pile drivers are becoming more common in American practice as experience is
gained with their use and as more powerful machines are developed. The machines usually use
counter-rotating eccentric weights powered by electric or hydraulic motors to produce the
vibratory forces. The major depth-limiting factors on present systems are the difficulty in
handling long lengths of large-diameter, high-pressure hydraulic lines and the large friction
losses in the line. These factors limit the maximum practical depth of a surface-powered,
hydraulic vibratory drive to about 1,000 feet.
5.5.1.4 Selection of Hammers
When selecting a hammer for lighter offshore tasks, where required hammer energies
are less than 150,000 ft-lb, a general rule of thumb for hammer selection is:

For steam/air hammers, the weight of the pile should be no more than two times
the weight of the hammer ram.

For diesel hammers, the weight of the pile should be no more than four times the
weight of the ram.

For vibratory drivers, the driving amplitude of the driver/pile system should be
between 0.25 and 0.5 inch.

For heavier tasks, where hammer energies in excess of 150,000 ft-lb are required, the
maximum rated energy of a steam/air hammer required to drive a steel pile should be
estimated by:

E h = 2000 A ps

(5-19)

where:
Eh =

maximum rated energy of the hammer [ft-lb]

Aps =

area of steel cross section [in2]

This recommendation is based on the allowable stress in steel of 12,000 psi under
working loads.
For preliminary selection of air/steam hammers, it is recommended that Equation 5-19
be used to estimate maximum hammer energy. (For diesel hammers, the maximum energy of
the hammer may be 20 to 35% higher than the value given by Equation 5-19.) These
recommendations assume that the pile will be driven to the maximum axial capacity. In cases
where lateral load governs pile design and full axial capacity of the pile cross-section is not
mobilized, hammers with significantly less rated energy than given by Equation 5-19 may be
5-27

adequate to drive the pile to its design penetration depth. For all important installations, pile
driveability must be investigated beyond the level of Equation 5-19 by the use of wave equation
analyses using available computer programs (Refs. 5-9 and 5-10) to evaluate the proper
combination of pile-hammer-cushion system.
5.5.2

Drilled and Grouted Piles

By use of drilling and grouting procedures, piles up to 8 feet in diameter have been
placed in water depths in excess of 600 feet. The method is essentially identical to that used to
set a casing for an oil well. A hole of somewhat larger diameter than the pile is drilled to proper
depth using rotary drilling tools. The hole is cleaned out by pumping seawater through the drill
string, and the pile is placed over the drill string and lowered into the hole. Portland cement
grout is pumped down the drill string and forced up outside of the pile to fill the annular void
and bond the pile to the soil. Then, the interior of the pile is filled with grout as the drill string is
withdrawn.
5.5.3

Jack-in Piles

Piles may be pushed or jacked into the seafloor if an adequate reaction force can be
supplied. To develop a satisfactory degree of safety against bearing capacity failure under design
loads, jacking loads equal to two to three times the design load must be applied. With mobile
offshore jack-up platforms, water ballast is used to develop this surcharge. However, when the
entire installation is submerged, water ballasting or the addition and removal of deadweight
ballast is generally not practical.
The actual jacking of the piles can be accomplished by a number of systems. A rack-andpinion system may be used, with the rack being an integral part of the pile and running its entire
length. A chain acted on by a chain jack or a cable acted on by a hydraulic cable puller may be
used, with the chain or cable applying load to the top of the pile. A short-stroke hydraulic jack
equipped with a means of gripping the wall of a pile may also be used.
5.5.4

Jetted Piles

Jetting is used to place piles in cohesionless soils. The piles are pushed or lowered into
the soil area, which has been greatly weakened by jetting. The jetting action is generally
confined to the inside of a pile or to portions of the outside of the pile several diameters above
its tip. Jetting can also be used in a form of reverse circulation in which both air and water are
forced down a pipe inside or outside the pile. The air/water mixture is used to lift the displaced
soil materials to the surface or seafloor.

5-28

5.6 EXAMPLE PROBLEMS

5.6.1

Problem 1 Pile Design in a Cohesive Soil

5.6.1.1 Problem Statement

Design an anchor pile for specified lateral and uplift loads. Also, determine its axial
capacity in compression and the maximum steel stresses. Can a pile which is on-hand be used
for this mooring?
Data: A closed-ended anchor pile is to be designed for a floating drydock which will be
placed in an area with a soft clay seafloor. The drydock will be used for repair of nuclear
submarines. The pile must resist lateral loads up to 50,000 pounds and axial uplift loads of
25,000 pounds applied by a chain mooring system at the seafloor. At some later date, the pile
may be used as a foundation pile and see pure compression loads. A sketch of this pile is shown
in Figure 5.6-1. The soils data at the site are fairly well known and are shown in Figure 5.6-1.
Available pile sizes are very limited. A supply of 24-inch diameter and 48-inch diameter steel
piles (Fy = 36,000 psi) of several wall thicknesses is on-hand.

Figure 5.6-1. Problem sketch for example Problems 1 and 2, and soils data for example Problem 1.

5-29

5.6.1.2 Problem Solution

The trial-and-error computational procedures for the problem's solution are presented
below. These follow the method presented in this chapter and outlined by the flow chart in
Figure 5.3-1.
Problem 5.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

1. Determine soil properties (STEP 1) su and

b (cohesive soil).

su and b are given (Figure 5.6-1).

2. Determine design loads at the seafloor

(STEP 2) (Fs from Section 5.3.3).

Fs = 2.0 (for a critical case where soil

properties are well known)

Th = Fs * horizontal load at seafloor

Th = (2.0)(50,000 lb) = 100,000 lb

Tt = Fs * vertical load at seafloor

Tt = (2.0)(25,000 lb) = 50,000 lb

First, find a pile that will have sufficient lateral load capacity.
3. Select a trial pile size (STEP 4) (24- and 48in. diam steel piles are available). Data on
the piles are taken from a pile design
manual.

Try a 24-in pile with a 0.5-in wall thickness.

D = 24 in
tw = 0.5 in
EI = 7.647 * 1010 in2-lb
Aps = 36.9 in2

4. Select deflection criteria (STEP 5). From

Section 5.3.4:

ymax = (0.10)(24 in) = 2.4 in

y max
= 10%
D

5-30

Problem 5.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

5. Determine the coefficient subgrade

reaction, nh (STEP 6). K1 determined from
Figure 5.3-3 and su. su is averaged over 0ft
to a depth of four pile diameters.

s K
nh = u 1
D

4D = (4)(24 in) = 96 in = 8 ft
From Figure 5.6-1, the equation of the line for
su vs. soil depth (z) is given by:
su = (0.04z + 1) psi , where z is given in ft
su at 0 ft = (0 + 1) psi = 1.0 psi
su at 8 ft = [0.04(8) +1] psi = 1.32 psi
avg. su = (1.0 psi + 1.32 psi)/2 = 1.16 psi
K1 20 (soft clay)

nh =
6. Determine stiffness (STEP 7) (from
Equation 5-4).

EI
T =
nh

(1.16 psi )(20)

= 0.967 pci
24 in

7.647 1010 in 2 lb

T =
0.967 lb / in 3

0.2

= 151.2 in

0.2

7. Select pile length (STEP 8). Guidance given

in Section 5.3.4.

Say Lp = 3T

8. Determine deflection coefficients (STEP 9).

From Figure 5.3-4, and the calculated
deflection coefficient zmax = Lp/T.

zmax = 453.6 in / 151.2 in = 3

9. Calculate lateral load capacity (STEP 10).

From Equation 5-5

Ph (calc) =

y max ( EI )
Ay T 3 + aB y T 2

Lp = 3(151.2 in) = 453.6 in 38 ft

Ay = 2.7 and By = 1.8

a = 0 (because load applied at seafloor)

Ph (calc) =

(2.4 in)(7.647 1010 in 2 lb)

(2.7)(151.2 in) 3 + 0

= 19,700 lb

5-31

Problem 5.6-1
ANALYTICAL PROCEDURES
10. Check lateral load against pile capacity
(STEP 11).
Is Ph(calc) Th?

11. Try another trial pile size (STEP 4).

(Because Ph(calc) is very much smaller,
increase both the pile size and thickness.)

COMPUTATIONS
Th = 100,000 lb
NO, Ph(calc) << Th
THEREFORE, BECAUSE Ph(calc) IS TOO SMALL,
THE 24-IN PILE IS TOO SMALL.
Try a 48-in diam pile with a 1.0-in wall
thickness.
D = 48 in = 4 ft
tw = 1.0 in
EI = 1.224 * 1012 lb-in2
Aps = 147.6 in2
S = 1,699.6 in3

12. Select deflection criteria (STEP 5).

ymax = (0.10)(48 in) = 4.8 in

y max
= 10%
D
13. Determine nh (STEP 6). From su, Figure
5.3-3, K1, and

nh =

su K1
D

su at 0 ft = 1.0 psi
su at 4D = su at 16 ft = [0.04(16) +1] = 1.64 psi
avg. su = (1.0 psi + 1.64 psi)/2 = 1.32 psi
K1 20

nh =
14. Determine stiffness (STEP 7). From
Equation 5-4.

EI
T =
nh

(1.32 psi )(20)

= 0.55 pci
48 in

1.224 1012 in 2 lb

T =
0.55 lb / in 3

0.2

5-32

0.2

= 295 in

Problem 5.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

15. Select pile length (STEP 8).

Say Lp = 3T = 3(295 in) = 885 in 74 ft

16. Determine deflection coefficients (STEP 9)

from Figure 5.3-4 and zmax = Lp/T.

zmax = 3
Ay = 2.7 (By not needed)

17. Calculate lateral load capacity (STEP 10).

From Equation 5-5

a=0

Ph (calc) =

(4.8 in)(1.224 1012 in 2 lb)

(2.7)(295 in) 3 + 0

= 84,800 lb
Th = 100,000 lb

18. Check lateral load against pile capacity

(STEP 11).

NO, Ph(calc) < Th

Is Ph(calc) Th?

THEREFORE, BECAUSE Ph(calc) IS TOO SMALL,

THE 48-IN PILE IS TOO SMALL.

19. Try another trial pile size (STEP 4).

(Because Ph(calc) is only a little smaller,
dont increase the pile diameter but
increase the wall thickness.)

Try a 48-in diameter pile with a 1.25-in wall

thickness.
D = 48 in
tw = 1.25 in
EI = 1.506 * 1012 lb-in2
Aps = 183.6 in2
S = 2,091 in3

20. Determine stiffness (STEP 7). Note: The

deflection criteria and nh remain the same.

EI
T =
nh

0.2

21. Select pile length (STEP 8).

nh = 0.55 pci

1.506 1012 in 2 lb

T =
0.55 lb / in 3

0.2

= 307 in

Say Lp = 3T = 3(307 in) = 921 in 77 ft

5-33

Problem 5.6-1
ANALYTICAL PROCEDURES
22. Determine deflection coefficients (STEP 9)
from Figure 5.3-4 and zmax = Lp /T.
23. Calculate lateral load capacity (STEP 10)
from Equation 5-5.

COMPUTATIONS
zmax = 3
Ay = 2.7 (By not needed)
a=0

Ph (calc) =

(4.8 in)(1.506 1012 in 2 lb)

(2.7)(307 in) 3 + 0

= 92,500 lb
24. Check lateral load against pile capacity
(STEP 11).
Is Ph(calc) Th?

Th = 100,000 lb
NO, Ph(calc) < Th
THEREFORE, THIS PILE IS ALSO TOO SMALL.

25. Try another trial pile size (STEP 4).

(Because Ph(calc) was close to Ph, try a
slightly longer pile. A pile with a larger tw
could also be tried.)

Because the same pile size is used, D, tw, EI,

Aps, S, nh, and T remain the same.

26. Determine deflection coefficients (STEP 9)

from Figure 5.3-4 and zmax = Lp /T.

zmax = 4

27. Calculate lateral load capacity (STEP 10)

from Equation 5-5.

Say Lp = 4T = 4(307 in) = 1228 in 102 ft

Ay = 2.4 (By not needed)

(4.8 in)(1.506 1012 in 2 lb)

Ph (calc) =
(2.4)(307 in) 3 + 0
= 104,100 lb

28. Check lateral load against pile capacity

(STEP 11).
Is Ph(calc) Th?

Th = 100,000 lb
YES, Ph(calc) > Th
THEREFORE, THE PILE IS ADEQUATE FOR
LATERAL LOAD.

Now, check the pile for its uplift capacity (axial upward load analysis).

5-34

Problem 5.6-1
ANALYTICAL PROCEDURES
29. Calculate the average overburden
pressure at the pile midpoint (STEP 12).
From Figure 5.6-1 and Equation 5-6

p vo =

COMPUTATIONS
Pile midpoint = (102 ft)/2 = 51 ft
From Figure 5.6-1, the equation of the line for
b vs. soil depth (z) is given by:

b Lp
2

b = (0.15z + 25) pcf , where z is given in ft

b at 51 ft = [(0.15)(51) + 25] pcf = 32.7 pcf

p vo =
30. Calculate the skin frictional resistance per
unit length of pile (STEP 13). First: Is this
an NC clay?
If s u / p vo 0.4 , it is.
From Equation 5-8a (NC clay),

f s = p vo [0.468 0.052 ln( L p / 2)]

(not to exceed fs = su)

(32.7 pcf )(102 ft )

= 1,670 psf
2

su at 51 ft = [0.04(51) +1] psi = 3.0 psi

= 432 psf

su
432 psf
=
= 0.26
p vo 1,670 psf
YES, it is a NC clay.
fs = (1,670 psf)[0.468 0.052 ln (102 ft/2]
fs = 440 psf
but su = 3 psi = 432 psf
Therefore, fs = 432 psf

31. Calculate the uplift capacity (STEP 14).

From Equation 5-9

As = DLp = (4 ft)(102 ft) = 1282 ft2

Qs = (1282 ft2)(432 psf) = 554,000 lb

Qs = As fs
32. Is the pile capacity in uplift greater than
the uplift load? (STEP 14)
Is Qs > Tt?

Tt = 50,000 lb
YES, Qs > 50,000 lb
THEREFORE, THE PILE IS ADEQUATE FOR
UPLIFT CAPACITY.

Now, calculate the pile load capacity in compression (axial downward load).

5-35

Problem 5.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

33. Calculate the pile tip bearing capacity

(STEP 15) from Equations 5-12 and 5-10

Extrapolate from Figure 5.6-2 for su

su (tip) = su at 102 ft [0.04(102) +1] psi

qp = 9 su (tip)

= 5.08 psi

Qp = Ap qp

qp = 9(5.08 psi) = 45.7 psi = 6,580 psf

Ap =

D 2
4

(4 ft ) 2
4

= 12.57 ft 2

Qp = (12.57 ft2)(6580 psf) = 83,000 lb

Qc = 554,000 lb + 83,000 lb = 637,000 lb

34. Calculate the pile capacity in compression

(STEP 16) from Equation 5-13.
Qc = Qs + Qp
35. Calculate the maximum moment in the
pile (STEP 17). Compute the actual T,
Lp /T, and find Am and Bm from Figure 5.35. Then from Equation 5-14

M max = Am ( PhT ) + Bm ( M a )

T = 307 in = 25.6 ft
Lp /T = 102 ft / 25.6 ft = 3.98 4
Am = 0.77 (maximum value of Am for Lp/T = 4)
Bm = 1.00 (maximum value of Bm for Lp/T = 4)
(Ph = Th = 100,000 lb)
Ma = 0
Mmax = (0.77)(100,000 lb)(307 in) + (1.00)(0)
= 2.36 * 107 in-lb

5-36

Problem 5.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

36. Calculate the maximum steel stresses in

tension and compression (STEP 18) and
check if they are below fa, the maximum
allowable stress. From Equations 5-15 and
5-16
fmaxt = -Pt / Aps Mmax / S
fmaxc = Pc / Aps + Mmax / S
fa = 0.6 Fy

Pt = Tt = 50,000 lb

f max t =

50,000 lb 2.36 10 7 in lb

183.6 in 2
2,091in 3

= 11,600 psi
Compute fmaxc for Pc = 0 (pile in tension), and
for Pc = Qc = 637,000 lb (at max capacity)

f max c = 0 +

f max c

2.36 10 7 in lb
= 11,300 psi
2,091in 3

637,000 lb 2.36 10 7 in lb
=
+
183.6 in 2
2,091in 3
= 14,800 psi

Fy = 36,000 psi (given)

fa = (0.6)(36,000 psi) = 21,600 psi
YES, STEEL STRESSES IN TENSION AND
COMPRESSION ARE BELOW THE MAXIMUM
ALLOWABLE.
SUMMARY
1. The anchor piles on-hand can be used for this mooring.
2. The pile to be used has the following dimensions:
D = 48 in
tw = 1.25 in
Lp = 102 ft
3. The piles axial capacity in compression is 637,000 lb.
4. The maximum steel stress under the actual mooring load is 11,600 psi in tension and 11,300
psi in compression. The steel compressive stress at the piles axial capacity is 14,800 psi.

5-37

5.6.2

Problem 2 Pile Design in a Cohesionless Soil

5.6.2.1 Problem Statement

Design an anchor pile for specified lateral and uplift loads. Also, determine its axial
capacity in compression, and the maximum steel stresses. Can piles which are on-hand be used
for this mooring?
Data: The anchor pile is to be used for the floating drydock mentioned in Problem 1, but
the use of the drydock is different and the seafloor conditions are different. The drydock is to be
moored while not in use, but it again must resist lateral loads up to 50,000 pounds and axial
uplift loads up to 25,000 pounds at the seafloor. (The pile sketch in Figure 5.6-1 is the same for
this problem.) The soils data at this site are not well known. The soils have not been tested but
are believed to be a cohesionless silty sand of medium to dense relative density. The 24- and 48inch diameter steel piles (Fy = 36,000 psi) of several wall thicknesses are also available for this
mooring.
5.6.2.2 Problem Solution
The trial-and-error computational procedures for the problem's solution are
summarized below. These follow the method presented in this chapter and outlined by the flow
chart in Figure 5.3-1.
Problem 5.6-2
ANALYTICAL PROCEDURES
1. Determine soil properties (STEP 1) , b,
and Dr (cohesionless soil). Because the
properties have not been measured, they
must be estimated. Table 5.3-1.

COMPUTATIONS
For a cohesionless sand of medium to dense
relative density

35 deg
b 60 pcf
Dr 65%

2. Determine design loads at the seafloor

(STEP 2) (Fs from Section 5.3.3).

Fs = 2.0 (for a noncritical case where the soils

information is not well known)

Th = Fs * horizontal load at seafloor

Th = (2.0)(50,000 lb) = 100,000 lb

Tt = Fs * vertical load at seafloor

Tt = (2.0)(25,000 lb) = 50,000 lb

First, find a pile that will have sufficient lateral load capacity.
5-38

Problem 5.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

3. Select a trial pile size (STEP 4) (24- and 48in diameter steel piles are available). Data
on the piles are taken from pile
manufacturers data.

Try a 24-in pile with a 0.5-in wall thickness.

D = 24 in
tw = 0.5 in
EI = 7.647 * 1010 in2-lb
Aps = 36.9 in2
S = 212.4 in3

4. Select deflection criteria (STEP 5). From

Section 5.3.4:

ymax = (0.10)(24 in) = 2.4 in

y max
= 10%
D
5. Determine the coefficient subgrade
reaction, nh (STEP 6) from Figure 5.3-2.

nh = 13 pci

6. Determine stiffness (STEP 7) from

Equation 5-4.

7.647 1010 in 2 lb

T =
13 lb / in 3

EI
T =
nh

0.2

= 89.9 in

0.2

7. Select pile length (STEP 8).

Say Lp = 3T = 3(89.9 in) = 270 in = 22.5 ft

8. Determine deflection coefficients (STEP 9)

from Figure 5.3-4, and zmax = Lp/T.

zmax = 270 in / 89.9 in = 3

9. Calculate lateral load capacity (STEP 10).

From Equation 5-5

Ph (calc) =

y max ( EI )
Ay T 3 + aB y T 2

Ay = 2.7 and By = 1.8

a = 0 (because load applied at seafloor)

Ph (calc) =

(2.4 in)(7.647 1010 in 2 lb)

(2.7)(89.9 in) 3 + 0

= 94,000 lb

5-39

Problem 5.6-2
ANALYTICAL PROCEDURES
10. Check lateral load against pile capacity
(STEP 11).
Is Ph(calc) Th?

COMPUTATIONS
Th = 100,000 lb
NO, Ph(calc) < Th
THEREFORE, THE PILE IS TOO SMALL.

11. Try another trial pile size (STEP 4). (Try a

longer pile. A pile with a larger tw could
also be tried.)

Say Lp = 4T = 4(89.9 in) = 360 in = 30 ft

12. Calculate lateral load capacity (STEP 10)

from Equation 5-5.

nh and T remain the same

zmax = Lp/T = 4
Ay = 2.4 (from Figure 5.3-4)

(2.4 in)(7.647 1010 in 2 lb)

Ph (calc) =
(2.4)(89.9 in) 3 + 0
= 105,000 lb
13. Check lateral load against pile capacity
(STEP 11).
Is Ph(calc) Th?

Th = 100,000 lb
YES, Ph(calc) > Th
THEREFORE, THE PILE IS ADEQUATE FOR
LATERAL LOAD.

Now, check the pile for its axial load capacity.

14. Calculate the average overburden
pressure at the pile midpoint (STEP 12).
From Equation 5-6,

p vo =

p vo =

b Lp
2

5-40

(60 pcf )(30 ft )

= 900 psf
2

Problem 5.6-2
ANALYTICAL PROCEDURES
15. Calculate the skin frictional resistance per
unit length of pile in tension (STEP 13).
From Equation 5-7

f s = k p vo tan( 5 deg)]

COMPUTATIONS
k = 0.5 (for uplift resistance)
k = 0.7 (for compression)
In uplift,
fs = (0.5)(900 psf) tan(35-5) = 260 psf
In compression,
fs = (0.7)(900 psf) tan(35-5) = 364 psf
A check with Table 5.3-5 shows these fs values
are below the allowable limit.

16. Calculate the uplift capacity (STEP 14).

From Equation 5-9

As = DLp = (2 ft)(30 ft) = 188 ft2

Qs = (188 ft2)(260 psf) = 48,900 lb

Qs = As fs
17. Is the pile capacity in uplift greater than
the uplift load? (STEP 14)
Is Qs > Tt?

18. Try another trial pile size (STEP 4). (Try a

longer pile. A pile with a larger tw could
also be tried.)
19. Calculate the average overburden
pressure at the pile midpoint (STEP 12),
from Equation 5-6.

Tt = 50,000 lb
NO, Qs < 50,000 lb
THEREFORE, THE PILE IS NOT ADEQUATE FOR
UPLIFT CAPACITY. THE PILE IS TOO SHORT OR
TOO SMALL.
The uplift capacity is close to the uplift load, so
try slightly increasing the length.
Say Lp = 32 ft

p vo =

5-41

(60 pcf )(32 ft )

= 960 psf
2

Problem 5.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

20. Calculate the skin frictional resistance per

unit length of pile in tension (STEP 13)
using Equation 5-7.

In uplift,
fs = (0.5)(960 psf) tan(35-5) = 277 psf
In compression,
fs = (0.7)(960 psf) tan(35-5) = 388 psf
A check with Table 5.3-5 shows these fs values
are below the allowable limit.

21. Calculate the uplift capacity (STEP 14) from

Equation 5-9.

As = DLp = (2 ft)(32 ft) = 201 ft2

22. Is the pile capacity in uplift greater than

the uplift load? (STEP 14)

Tt = 50,000 lb

Is Qs > Tt?

23. Calculate the pile tip bearing capacity

(STEP 15) from Equations 5-10 and 5-11.

q p = p vo (tip ) N q

Qs = (201 ft2)(277 psf) = 55,700 lb

YES, Qs > 50,000 lb

THEREFORE, THE PILE IS ADEQUATE FOR
UPLIFT CAPACITY.

pvo (tip ) = (60 pcf )(32 ft ) = 1,920 psf

Nq = 12 (from Table 5.3-4 for = 35)
qp = (1,920 psf)(12) = 23,040 psf

Q p = Ap q p
Ap =

D2
4

(2 ft )2
4

= 3.14 ft 2

Qp = (3.14 ft2)(23,040 psf) = 72,350 lb

24. Calculate the pile capacity in compression
(STEP 16) from Equation 5-13.

Qc = (388 psf) (201 ft2) +72,350 lb

Qc = 77,990 lb + 72,350 lb = 150,340 lb

Qc = Qs(compression) + Qp

5-42

Problem 5.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS
T = 89.9 in = 7.5 ft

25. Calculate the maximum moment in the

pile (STEP 17). Obtain Am from Figure 5.35. Then from Equation 5-14,

Lp/T = 32 ft / 7.5 ft = 4.3 4

Am = 0.77 (maximum value of Am for Lp/T = 4)

M max = Am ( PhT ) + Bm ( M a )

(Ph = Th = 100,000 lb)

Ma = 0
Mmax = (0.77)(100,000 lb)(89.9 in) + 0
= 6.92 3106 in-lb

26. Calculate the maximum steel stresses in

tension and compression (STEP 18) and
check if they are below fa, the maximum
allowable stress. From Equations 5-15 and
5-16
fmaxt = -Pt / Aps Mmax / S
fmaxc = Pc / Aps + Mmax / S
fa = 0.6 Fy

Pt = Tt = 50,000 lb

f max t =

50,000lb 6.92 10 6 in lb

36.9 in 2
212.4 in 3

= 34,000 psi
Compute fmaxc for Pc = 0 (pile in tension only,
no compression)

f max c = 0 +

6.92 10 6 in lb
= 32,600 psi
212.4 in 3

Fy = 36,000 psi (given)

fa = (0.6)(36,000 psi) = 21,600 psi
NO, THE STEEL STRESSES IN TENSION AND
COMPRESSION EXCEED THE MAXIMUM
ALLOWABLE.
27. Try a larger size (thicker) pile.

Try a 24-in diameter pile with a 1.0 in wall

thickness.

5-43

Problem 5.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

28. Recalculate the maximum steel stresses in

tension and compression (STEP 18) and
check if they are below fa, the maximum
allowable stress. From Equations 5-15 and
5-16
fmaxt = -Pt / Aps Mmax / S

Pt = Tt = 50,000 lb
Aps = 72.3 in2
S = 390 in2

f max t

fmaxc = Pc / Aps + Mmax / S

fa = 0.6 Fy

50,000lb 6.92 10 6 in lb
=

72.3 in 2
390 in 3
= 18,400 psi

Compute fmaxc for Pc = 0 (pile in tension), and

for Pc = Qc = 150,000 lb (at maximum capacity)

f max c

6.92 10 6 in lb
= 0+
= 17,700 psi
390 in 3

f max c =

150,300 lb 6.92 106 in lb

+
72.3 in 2
390 in3

= 19,780 psi
Fy = 36,000 psi (given)
fa = (0.6)(36,000 psi) = 21,600 psi
YES, THE STEEL STRESSES IN TENSION AND
COMPRESSION ARE BELOW THE MAXIMUM
ALLOWABLE.

5-44

Problem 5.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS
SUMMARY

1. The anchor piles on-hand can be used for this mooring.

2. The pile to be used has the following dimensions:
D = 24 in
tw = 1.00 in
Lp = 32 ft
3. The piles axial capacity in compression is 150,300 lb.
4. The maximum steel stress under the actual mooring load is 18,400 psi in tension and 17,700
psi in compression. The steel compressive stress at the piles axial capacity is 19,780 psi.

5-45

5.7 REFERENCES
5-1.

R.J. Taylor, D. Jones, and R.M. Beard. Handbook for Uplift-Resisting Anchors, Civil
Engineering Laboratory. Port Hueneme, CA, Sep 1975.

5-2.

H. Matlock, L. C. Reese, "Generalized Solutions for Laterally Loaded Piles." Journal of the
Soil Mechanics and Foundations Division, Vol. 86, No. 5, September/October 1960, pp.
63-94.

5-3.

G.G. Meyerhoff and J.I. Adams. "The Ultimate Uplift Capacity of Foundations," Canadian
Geotechnical Journal, Vol. 5, No. 4, Nov 1968, pp. 225-244.

5-4.

K. Terzaghi. "Evaluation of Coefficients of Subgrade Reaction," Geotechnique, Vol. 5, No.

4, 1955, pp. 297-326.

5-5.

LPILE Plus. Computer software. Vers. 5.0. Austin, TX: Ensoft, Inc.

5-6.

AllPile. Computer software. Vers. 6. Seattle, WA: CivilTech.

5-7.

H.L. Gill and K.R. Oemars. Displacement of Laterally Loaded Structures in Nonlinearly
Responsive Soil, Naval Civil Engineering Laboratory, Technical Report R-670. Port
Hueneme, CA, Apr 1970.

5-8.

I.W. Farmer. Engineering Properties of Rocks. London, England, E. and F.N. Spon Ltd.,
1968, p. 57.

5-9.

G.G. Goble and F. Rausch. Wave Equation Analysis of Pile Foundations WEAP86
Program, Vols. 1-4, Federal Highway Administration, U.S. Department of Transportation,
FHWA-IP-86-19. Washington, DC, 1986.

5-10.

L. L. Lowery, Jr. Pile Driving Analysis by the Wave Equation MICROWAVE Users
Manual, Texas A&M University, Department of Civil Engineering. College Station, TX,
1993.

5-46

5.8 SYMBOLS
a

Distance of pile load attachment point above seafloor for foundation piles [L]

Am

Nondimensional moment coefficient

Ap

Gross end area of pile [L2]

Aps

Cross-sectional area of pile [L2]

As

Surface area of pile below seafloor [L2]

Ay

Nondimensional deflection coefficient

Bm

Nondimensional moment coefficient

By

Nondimensional deflection coefficient

Cp

Minimum perimeter transmitting uplift load [L]

Pile width or diameter [L]

db

Characteristic mooring line size [L]

Dr

Relative density [%]

Modulus of elasticity of pile [F/L2]

Eh

Maximum rated energy of hammer [LF]

EI

Stiffness

Fcb

Horizontal component of mooring line bearing resistance (lateral force exerted by

mooring line on the soil) [F]

Fs

Factor of safety

Fy

Minimum yield point of the pile material [F/L2]

fa

Allowable stress in pile material

fmaxc

Maximum applied compressive stress in pile [F/L2]

fmaxt

Maximum applied tensile stress in pile [F/L2]

fs

Unit skin resistance along pile shaft

fs(max)

Maximum allowable unit skin friction [F/L2]

Moment of inertia of pile [L4]

K1

= nhD/su = nondimensional coefficient for clay

Coefficient of lateral earth pressure

Le

Effective length of pile bearing on rock [L]

Lp

Length of pile [L]

Lr

Length of pile embedded in rock [L]

Ma

Design applied moment [LF]

Mmax

Maximum bending moment in pile [LF]

5-47

NC

Normally consolidate

Nq , Nq

Sand and a special case sand/chain dimensionless bearing capacity factors

nh

Coefficient of subgrade soil reaction [F/L3]

OC

Overconsolidated

Pc

Design vertical compressive load at the foundation pile [F]

Ph

Design horizontal load at the foundation pile [F]

Ph

Ph corrected for effects on loading of a pile being driven below the seafloor [F]

Ph(calc) Lateral load capacity of the trial pile [F]

Pt

Design vertical uplift load at the foundation pile [F]

Pt

Pt corrected for effects on loading of a pile being driven below the seafloor [F]

pvo

Effective vertical stress in soil [F/L2]

Qc

Pile capacity in compression [F]

Qp

Soil bearing capacity for the pile tip [F]

Qs

Frictional resistance of pile [F]

qp

Unit soil bearing capacity of the pile tip [F/L2]

qp(max) Maximum allowable q from Table 5.3-5 [F/L2]

Ra

Uplift capacity of rock anchor [F]

Section modulus of pile [L3]

sb

Bond strength of grout to pile, or grout shear strength, whichever is less [F/L2]

sc

Compressive strength of rock [F/L2]

su

Soil undrained shear strength [F/L2]

su(z)

Soil undrained shear strength at depth z [F/L2]

Relative stiffness of pile-soil system [L]

Th

Design horizontal load at anchor pile [F]

Th

Th, corrected for the effects on loading of a pile being driven below the seafloor

Tt

Design vertical load at anchor Pile [F]

T t

Tt corrected for the effects on loading of a pile being driven below the seafloor

tw

Wall thickness of pile [L]

Lateral pile deflection [L]

ymax

Maximum allowable lateral pile deflection [L]

Depth below seafloor [L]

zc

Depth of pile connection below seafloor [L]

zmax

Maximum value of the depth coefficient

zo

Depth of pile head below seafloor [L]

5-48

zr

Thickness of rock layer [L]

zs

Thickness of soil over rock [L]

Buoyant unit weight of soil [F/L3]

Drained (effective) friction angle

Friction angle for sand against pile

5-49

[This page intentionally left blank]

5-50

6 DIRECT-EMBEDMENT ANCHORS
6.1 INTRODUCTION
6.1.1

Purpose

This chapter details the procedures and considerations for use of direct-embedment
anchors. It deals primarily with plate-type anchors, specifically the pile-driven types used by the
Navy. The design of these anchors is very flexible and the anchors can be suited to a wide
variety of soil conditions and holding capacities. The anchors can be driven using surface piledriving equipment in water depths up to approximately 100 feet (33m) and sub-surface driving
equipment is needed in deeper water depths.
6.1.2

Function

Most direct-embedment anchors are installed by inserting the anchor member vertically
into the seafloor and then expanding or re-orienting the anchor member to increase its pull out
resistance. Direct-embedment anchor types are described in Section 6.2.
6.1.3

Features

The four major types of direct-embedment anchors are: impact/vibratory-driven, jettedin, and augered-in anchors.
Features of direct-embedment anchors are summarized in Chapter 1. The more
significant advantages of the direct-embedment anchors are: (1) their very high holdingcapacity-to-weight ratio (100:1 for driven-embedded types) and (2) their resistance to nonhorizontal loading, which permits short mooring line scopes and tighter moorings.

6.2 DIRECT-EMBEDMENT ANCHOR TYPES AND SIZES

6.2.1

Impact/Vibratory-Driven Anchor

Various types of impact-, hammer- or vibratory-driven anchors, which expand or rotate

to achieve high capacity, have been developed (Ref. 6-1). These anchors typically consist of a
rigid plate, a keying flap (if required) and a driving follower. If the water depth is approximately
100 feet (33m) or less then surface driving equipment can be used. For deeper water
submerged equipment is used.
The type of hammer depends on the soils and anchoring requirement. Impact or
hammer equipment is used in stiff soils. Vibratory hammers may be considered for
cohensionless soil or soft mud. The U.S. Navy, for example, installed approximately 400 of these
6-1

anchors during the period of 1990-2010. Sizes ranged from 2-foot x 3-foot (0.6m x 0.9m) to 6foot x 12-foot (1.8m x 3.7m) and the anchors had holding capacities of up to 1,000 kips (4,400
kN). Larger anchors may also be practical. Two examples of driven anchors are illustrated in
Figure 6.2-1. The major anchor features are summarized in Figure 6.2-2, and a sample anchor
design is given in Figure 6.2-3. Details of pile driven plate anchors are discussed in Section 6.9.

(a) 6' x 8' plate anchor rigged for driving.

(b) Sharpened 5' x 6' anchor with point for driving into coral
(Guam); Keying flap shown; Padeye is on reverse side
and not shown.
Figure 6.2-1. Sample impact/vibratory driven anchors.

6-2

Figure 6.2-2. Key features of impact/vibratory driven anchors.

6-3

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6-4

PU1(.

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6.2.2

Jetted-In Anchors

Jetted-in anchors are buried through water jet disturbance of the soil (Figure 6.2-4). This
allows the anchor to be placed, or to be more easily-pushed, into the seafloor. These systems
range in holding capacity from small, diver-installed anchors of 1 to 10 kips (Ref. 6-2) to larger
systems of 150 kips and greater (Refs. 6-3 and 6-4). Jetted anchors function primarily in sands
that are easily liquefied by the water jets. After the jetting action is stopped, the liquefied sands
return to a more dense condition over the anchor plate. Penetration in clays is not as easily
accomplished, and the resulting backfill is much weaker than the undisturbed material. In hard
clays and shell and cobble soils, penetration by jetting will likely be very slow and not
economical.

Figure 6.2-4. Jetted-in anchors (Ref. 6-3).

6.2.3

Auger Anchors

Auger anchors are screw-shaped shafts installed under high torque and some vertical
load. They have been used for anchoring pipelines on the seafloor (Ref. 6-5). Normally, anchors
are installed in pairs, one on each side of the pipeline at the same time to provide a torque
reaction for each other. Operational water depth is limited primarily by difficulties in supplying
power, usually by hydraulic hoses, at the seafloor. The experience limit is approximately 500
feet.

6.3 SITE DATA NEEDED

6.3.1

General

Figure 6.3-1 presents an outline of steps in the selection of an adequate directembedment anchor size for a given set of loading and site conditions. The first steps are the
collection of adequate site data.
6-5

Use of a direct-embedment anchor requires knowledge of sediment properties over the

possible depth of penetration of the anchor fluke. Maximum penetration depth, keying distance,
and holding capacity under the specific conditions of applied loadings must be calculated from
these properties. With adequate site data, a direct-embedment anchor sufficient for existing soil
and loading conditions can be selected.
6.3.2

Preliminary Penetration Estimate

In many cases some preliminary data are available on the general seafloor environment
to permit identification of the probable sediment type (see Chapter 2 for sediment data
sources). Knowledge of a probable sediment type allows determination of the required anchor
penetration depth and keying distances (see Ref. 6-1). These estimates of soil type and
penetration depth guide selection of site survey and sampling equipment.
6.3.3

Topography, Strata Thickness, Type

In non-homogeneous soils, strata material type and thickness must be determined. The
seafloor material type and approximate consistency must be known in order to select the
appropriate anchor design. The thicknesses of the sediment strata must be known to ensure
that the anchor fluke has sufficient sediment thickness to develop the design capacity. These
data are best obtained over a wide area through acoustic subbottom profiling and coring (see
Chapter 2). Seafloor topography, surficial sediment layer thicknesses, and depth to rock are
best measured over the wide area by a 3.5-kHz acoustic profiling system. In areas of large relief,
such as areas of outcropping rock, erosion, or slumping features, a deep tow profiling system
may be necessary to obtain an accurate picture of seafloor topography and distribution of
sediment infill between the relief features.
The results of the acoustic surveys should be used during the exploratory program to
position coring locations so that: (1) the core samples will provide data representative of the
probable anchor locations and (2) the potential for lost time and damage to coring equipment is
minimized. Core samples and in-situ tests (see Chapters 2 and 3) are used primarily to identify
soil type accurately and to determine soil engineering property data. They also provide a
necessary control and calibration for interpretation of the acoustic data.
Some of the specific site survey information required for determining the anchor design
include: seafloor material type, layer thickness, and depth to rock. Where consequences of a
single anchor failure are not severe (noncritical applications), a lower level of data on sediment
type and thicknesses may be sufficient for anchor selection. Geotechnical properties may then
be estimated from soil property profiles to make a rough estimate of capacity in lieu of accurate
site-specific data.

6-6

6.3.4

Engineering Properties

To make accurate predictions of holding capacity, several soil engineering properties

must be known. These are sensitivity, natural water content, bulk density, grain size, carbonate
content, origin and history, permeability, and shear strength (drained and undrained). Where
dynamic loads are significant, other, more specialized tests on core samples may be necessary.
At least one good quality sediment core is required to determine these properties. In many
cases, only one is required. For example, for a deep water mooring on a large abyssal plain,
sediment variability over a 4- to 5-mile diameter of the mooring area may not be great. One
core should suffice. However, where the sediment consistency or type may vary across the
mooring site, cores should be obtained at each anchor location. Soil cores should be obtained
over the full estimated penetration depth of the fluke.
Long, heavy corers and specialized handling systems are required to penetrate and
recover cores from the deeper soil depths. However, smaller corers, which achieve penetrations
of 10 feet in sands and 30 feet in clays, are often used to obtain the sediment and define the
upper portion of the geotechnical property profile. With the guidance of geophysical data,
sediments below this sampled depth may be assumed to be similar, and the soil property profile
would be extended to the necessary depth. Expendable penetrometers can provide additional
data where longer coring is not possible and can thus extend the depth of a survey below
sampling depth.
6.3.5

Complicating or Hazardous Conditions

Direct-embedment anchor systems function well in a wide range of seafloor conditions.

They can be adapted to function well where drag anchors and pile anchors are inefficient and
even nonfunctional. Extreme soil conditions such as very hard or very soft seafloors complicate
the use of direct-embedment anchors, making special efforts necessary during site survey,
positioning, design, installation, and proof-loading. Table 6.3-1 lists some complicating
conditions and describes their impact on direct-embedment anchor performance. The approach
to most of these is to avoid the area by relocating the plate anchor so the problem is not acute
or to select a different anchor system--one less sensitive to the problem (e.g., using gravity
anchors when on rock).

6-7

(SECTION 634)

CONDUCT SURVEY
TO OBTAIN
ENGINEERING
PROPERTIES

SELECT TYPICAL
ENGINEERING
PARAMETERS
FROM UTERATURE

(SECTION 6 3 4)

(SECTION 6.3.5)

(CHAPTER8)

(TABLE 6.2-2)

(EQUATION6-1 )

(EQUATION 6-3)

(EQUATION 6-2)

CALCULATE
SHORT-TERM
STATIC
CAPACITY

CALCULATE
SHORT-TERM
STATIC
CAPACITY

(EQUATION 6-7)

(SECTIONS 6 5-1
AND6.6-1)

COHESIONLESS

Figure 6.3-1. Flow chart for predicting the holding capacity of a direct-embedment anchor.

6-8

Table 6.3-1. Conditions Complicating or Hazardous to Direct-Embedment Anchor Use

Seafloor Condition

Potential Complication

Hard Strata
Thin soil layer over rock, or thin soft
clay over sand.

Soil thickness not sufficient to develop fluke capacity, but

sufficient to consume most of fluke kinetic energy before it
reaches stronger layer

Glacial erratics or residual surficial

gravel and cobbles.

Damages flukes and limits penetration into underlying

sands and hard clays.

Nodule or pavement formations

(usually manganese) over soil.

Same as above.

Submarine lava flows.

Extremely irregular and complex. Brittle rock, often

fractured, sometimes as pillows (i.e., bulbous discrete or
welded forms 3 to 6 ft in diameter). To ensure reliability,
anchors must be proof-tested to full load.

Sloping Seafloor
Soil slopes over 10 deg.

Anchor may affect slope stability (see Table 6.7-1), but

direct-embedment anchor will suffer less than most other
anchor types on sloping soils.

Hard soil or rock scarps or cliffs.

Improper embedment from deflection or ricochet of fluke.

Scour
Sand waves.

Sand waves can be large and move rapidly, removing

significant overburden from a shallowly embedded plate
anchor.

Sensitive, Soft Soils

Clean calcareous ooze in deep
ocean.

Fluke installation can remold and weaken soil, limiting

developed holding capacity.

Siliceous ooze (deep ocean).

Same as above.

Other cohesive soil with sensitivity

of 6 or greater.

Same as above.

Weak, high-void-ratio clays with

su/po of 0.10-0.15.

Long-term capacity may be lower than short-term.

6-9

6.3.6

Specialized Survey Tools

Specialized site survey tools have been developed that can support the siting and design
of embedment anchors. One, the expendable Doppler penetrometer (Ref. 6-6), indirectly
measures the undrained shear strength of the soil (see Chapter 2, Section 2.5.5). Although
strength is not determined to the level of accuracy as that from in-situ measurement or coring,
the method requires very little on-site ship time and may be cost-effective.

6.4 FLUKE PENETRATION AND KEYING

6.4.1

Penetration Requirement

The distance that a plate anchor needs to be driven or vibrated into the seafloor
depends on the required holding capacity, anchor size and design, keying distance and soil
characteristics. Prediction of the penetration requirement is not presented in this handbook.
6.4.2

Keying Prediction

The anchor fluke moves upward a certain distance as it rotates into a horizontal
orientation the position of maximum holding capacity. This keying distance, zk, is a function of
fluke geometry, soil type, soil sensitivity, and duration of time between penetration and keying.
However, experience has shown that the Navy's anchor flukes key in about 2.0 fluke lengths
when embedded in cohesive soil and in about 1.5 fluke lengths in cohesionless soils. Thus, given
the initial fluke penetration, the keyed depth for a Navy anchor fluke is estimated as follows:
In cohesive soil,

z = z p 2L

(6-1)

In cohesionless soil,

z = z p 1.5 L

(6-2)

where:
z

zp =
L

depth of the fluke after keying [L]

maximum penetration depth of the fluke [L]
length of the fluke or plate anchor [L]

Although no recommendation is made for altering the above estimate for z, it is

believed that keying distance may be longer in highly sensitive soils but may be shorter as more
time elapses between penetration and keying.
6-10

6.5 STATIC HOLDING CAPACITY

6.5.1

Loading Conditions

Static loading is a relatively constant load maintained for a long period of time. This is in
contrast to dynamic loading, where the short length of time the load is applied significantly
affects anchor holding capacity. In reality, loadings on seafloor anchors are rarely completely
static but often have impulse or repetitive components. However, at dynamic load levels below
certain limits, the anchor-soil response will be as if the system were statically loaded. For cyclic
repetitive loading such as that caused by wave effects, the loading can be approximated as static
if the change in load is less than 5% of the static load component. For impulse loadings such as
that caused by a short tug on a mooring line, the loading can be treated as static when the load
development occurs over more than 10 minutes duration in clays and more than 10 seconds in
sands and coarse silts (Refs. 6-3 and 6-7).
6.5.2

Deep and Shallow Anchor Failure

Holding capacity depends on the soil failure mode, which is dependent on the anchor
plate embedment depth and on the soil type and strength. Anchor failure is characterized as
being either shallow or deep (illustrated in Figure 6.5-1). A shallow failure occurs when the
seabed surface is displaced by the upward motion of the anchor plate and the soil failure
surface continues up to the seabed surface. A deep failure is present when the anchor plate is
sufficiently deep within the seabed so that the soil failure surface accompanying movement of
the anchor does not reach the seabed surface. The transition from shallow to deep behavior has
been found to be a function of relative embedment depth (the ratio of embedment depth to
anchor minimum dimension, z/B) and soil strength. It occurs over a range of z/B values in
cohesive soil from 2 to 5 and in cohesionless soil from 2 to 10 (Ref. 6-8).

Figure 6.5-1. Failure modes for shallow and deep embedded plate anchors.

6-11

6.5.3

Short-Term Capacity in Cohesive Soils

The short-term condition exists when the anchor-caused soil failure is governed by a
soils undrained shear strength. Failure in the short-term condition occurs before significant
drainage of pore water can take place. It occurs immediately, or within a few minutes, of full
load application. Plate anchor short term holding capacity under static loading conditions in
cohesive soils, Fst, is:

Fst = Asu hN cs [0.84 + 0.16( B / L)]

(6-3)

where:
A

su =
h

Ncs =

projected maximum fluke area perpendicular to direction of pullout [L2]

soil undrained shear strength [F/L2]
correction factor for soil disturbance due to penetration and keying
short-term holding capacity factor in cohesive soil

plate minimum dimension, usually width [L]

plate maximum dimension, usually length [L]

The value of the holding capacity factor, Ncs, is obtained from Figure 6.5-2. It is a
function of the soil's undrained shear strength and the relative embedment depth. For the deep
failure mode, Ncs = 15. The disturbance correction is explained in Section 6.5.6.
In some instances, Ncs from Figure 6.5-2 may be too high for the existing conditions. If
drainage vents or tubes allow water to flow rapidly to the underside of the plate anchor, then
the suction formed on the underside of the plate will be relieved. If this happens, the value of
Ncs should be reduced to that for the long-term holding capacity factor, Nc, from Figure 6.5-3
(Ref. 6-8).

6-12

Figure 6.5-2. Short-term holding capacity factors for cohesive soil where full suction develops beneath
the plate.

Figure 6.5-3. Long-term holding capacity factors and short-term no-suction factors for cohesive soils.

6-13

6.5.4

Long-Term Capacity in Cohesive Soils

The long-term condition exists when a static load is applied to the anchor over a time
sufficiently long to allow near-complete dissipation of excess pore water pressures. This time
duration may be a day for silts, a week for silty clays, and considerably longer for clays. In
cohesive soils, the long-term holding capacity is governed by the effective soil drained strength
parameters: the drained cohesion intercept, c; and the drained friction angle, . The long-term
static holding capacity, Flt, is:

Flt = A(c N c + b zN q )[0.84 + 0.16( B / L)]

(6-4)

where:
c

drained soil cohesion [F/L2]

Nc =

long-term holding capacity factor in cohesive soil (from Figure 6.5-3)

b =

buoyant unit weight of the soil [F/L3]

Nq =

holding capacity factor for a drained soil condition (from Figure 6.5-4)

Note that the limiting value of Flt is Fst (the applied long-term load cannot exceed the
short-term load without initiating a failure), i.e. Flt (max) = Fst.

Figure 6.5-4. Holding capacity factors for cohesionless soils.

6-14

For very soft underconsolidated sediments, such as delta muds, the shear failure mode
may be different than with normally consolidated sediments. Section 3.5.2 of Chapter 3 gives a
brief discussion of underconsolidated soils. This condition can result in a lower holding capacity
than would be calculated by Equation 6-4. The reduced holding capacities in these very soft soils
can be conservatively predicted by reducing the c and values before entering Figure 6.5-3 and
Figure 6.5-4 to obtain the holding capacity factors. The new c and values are calculated as
follows:

2
c = c
3

(6-5)

2
3

= arctan tan

6.5.5

(6-6)

Short- and Long-Term Capacity in Cohesionless Soils

The short-term loading condition in cohesionless soils is also the drained or long-term
failure condition. In sands and gravels, virtually all of the excess pore water pressures resulting
from a static loading dissipate as the load is applied. Thus, for cohesionless soils, the soil failure
is assumed to be drained for both static short- and long-term conditions.
The static holding capacity in cohesionless soils (sands and gravels) for both short- and
long-term conditions, F, is:

F = A b zN q [0.84 + 0.16( B / L)]

(6-7)

where:
A

b =
z

Nq =

projected maximum fluke area perpendicular to direction of pullout [L2]

buoyant unit weight of the soil [F/L3]
depth of the fluke after keying [L]
holding capacity factor in cohesive soil

plate minimum dimension, usually width [L]

plate maximum dimension, usually length [L]

The holding capacity factor Nq is obtained from Figure 6.5-4 using the relative
embedment depth and the soil friction angle. When dealing with very loose sands (i.e., relative
density less than 40%), the soil friction angle,, should be reduced in the same manner as for
the drained cohesive soil case (i.e., by Equation 6-6) before Figure 6.5-4 is entered.
6-15

6.5.6

Disturbance Corrections

Equation 6-3 contains a correction factor for soil disturbance to correct for soil
remolding during fluke penetration and keying. Values for the factor, h, were determined for the
four soil types listed in Table 6.5-1 by anchor tests. These values are recommended for
application to similar soil types in calculating plate anchor holding capacity (Ref. 6-9).
Soil sensitivity, St, (the ratio of undisturbed to remolded shear strength), is an important
indicator of the amount of disturbance likely. For soils with considerably different St values than
those reported in Table 6.5-1, an estimate must be made for the h value. More sensitive soils
should display greater reductions in strength and be assigned a lower value of h.
Table 6.5-1. Values for Strength Reduction Factor for Use in Equation 6-3

Strength Reduction
Factor, h

Soil Type
Very soft, moderately sensitive clayey silt: su 1 psi, St 3

0.8-0.9

Soft, normally consolidated, silty clay: su 2 psi, St 3

0.8

Pelagic clay: su 1.2 psi, St 3

0.7

Foraminiferal sand-silt, 77-86% carbonate: su 2.2 psi, St 10

0.25

6.5.7

Factors of Safety

The factor of safety to be applied to anchor holding capacity determined from Equations
6-3, 6-4, and 6-7 varies with the type and purpose of the mooring and with the level of
environmental data on the site. For those applications where little is known about the soil
conditions at the site, or for critical installations, a safety factor of 3 is recommended. When
adequate site data permit a high level of design confidence, or when that mooring element is
noncritical, the factor of safety may be reduced to 2.

6.6 DYNAMIC HOLDING CAPACITY

6.6.1

Loading Conditions

Dynamic loads are defined as those rapidly applied but of short duration (< 1 minute).
They are divided into two categories: (1) cyclic or repetitive loadings and (2) impulse loading
(basically a single event). Both types can alter plate anchor holding capacity by changing the
existing conditions in the soil surrounding the anchor. These loading types are illustrated by the
anchor line load history in Figure 6.6-1 and are discussed in this section. The calculation
procedures in this section provide rough but conservative estimates of the effect of dynamic
loadings on anchor capacity. A more complete discussion on these loadings and their causes is
given in Reference 6-10.
6-16

6.6.2

Cyclic Loading

6.6.2.1 Definitions
Cyclic loading can be considered an impulse loading that occurs in a repetitive manner
rather than as a single event. For design purposes cyclic loadings are separated into three
categories: (1) cyclic line loading of the anchor that may lead to a soil strength loss in the
vicinity of the anchor and subsequent anchor failure; (2) cyclic line loading that may cause
anchor upward movement (creep), which could accumulate to move the anchor into more
shallow soil and thereby lower its short-term static holding capacity; and (3) earthquake-caused
cyclic loading of the soil mass with resulting near-complete loss of strength in the entire soil
mass and a sudden anchor failure. Cyclic loads are characterized by a pure cyclic doubleamplitude loading component, Pc, superimposed on a basically static loading component, Ps.
Cyclic and static load magnitudes are expressed as a percentage of the static short-term anchor
holding capacity (as determined by Equations 6-3 or 6-7). Figure 6.6-1 illustrates this
nomenclature with an example where Ps is approximately 18% of the short-term holding
capacity, Pc is approximately 33% of that capacity, and four load cycles occur within
approximately 0.55 minute. In design, a cyclic load must have a double amplitude greater than
5% of the static short-term holding capacity. Smaller cyclic loads are difficult to measure or
predict and can be ignored in the design.
Two additional parameters are required to describe a cyclic loading condition. The first
is the total number of load cycles expected in the anchors lifetime, nT. This parameter is needed
to evaluate the potential for anchor creep. The second is the number of cycles, nc, that occurs in
a limited time period required for dissipation of excess pore pressure, tcd. The parameter nc is
used to evaluate soil strength loss and potential for liquefaction.

Figure 6.6-1. Nomenclature for types of non-steady loading (Ref. 6-10).

6-17

6.6.2.2 Strength Loss

Virtually all soils are subject to some strength loss from extended cyclic loading. The
amount of strength loss, however, varies considerably depending on soil type, state, and the
nature of the cyclic loading. In general, the following lower the soil's susceptibility to strength
loss: a denser soil, a more plastic soil, a lower cyclic loading magnitude, a smaller number of
load cycles, and a longer time period over which the cycles occur.
Some low relative density cohesionless soils are susceptible to complete liquefaction.
Sediments of this type (such as uniform fine sands, coarse silts, and some clean deep-sea oozes)
can experience a near-total strength loss under cyclic loading. Use of plate anchors in these soils
is not recommended if significant cyclic loading is expected.
For other soils, the susceptibility of a given plate anchor to cyclic-load-caused strength
reductions can be evaluated by estimating the maximum cyclic load that can be sustained by the
anchor without pore pressure dissipation, this is done using the soil permeability, k, whose value
must be determined from testing of undisturbed soil from the vicinity of where the anchor will
lie in the soil mass. Table 6.6-1 shows typical values of k, which are used with Figure 6.6-2 to
estimate tcd, the time required for dissipation of excess pore pressures. The maximum number
of double amplitude cyclic loadings that can occur within the time period tcd is estimated from
the known or expected loading conditions. Figure 6.6-3 is then used to determine the maximum
value of cyclic load, Pc, that can be sustained without a significant soil strength loss.
Figure 6.6-3 can also be used to determine the maximum number of cycles that can be
sustained without soil strength loss for a given cyclic load level. The prediction curves of Figure
6.6-3 apply where the average static load is less than 33% of the anchor's static short-term
holding capacity. When the average static load is greater than 33% of the static holding capacity,
an adjustment must be made to the cyclic and static loads before using Figure 6.6-3. The
amount of the static load above 33% (Ps - 33) is added to the value of Pc. This new value of Pc is
then used to determine the maximum number of cycles from Figure 6.6-3.

6-18

Table 6.6-1. Average Values of Soil Permeability (Ref. 6-10).

Soil Type

Permeability, k (fps)

Uniform Coarse Sand

1 x 10-2

Uniform Medium Sand

3 x 10-3

Well-Graded Clean Sand

3 x 10-3

Uniform Fine Sand

1 x 10-4

Well-Graded Silty (Dirty) Sand

1 x 10-5

Uniform Silt

2 x 10-6

Silty Clay

3 x 10-8

Low Plasticity Clay (Kaolinite), PI < 20

3 x 10-8

Medium Plasticity Clay (Illite), PI = 20-60

3 x 10-9

High Plasticity Clay, PI = 60-200

3 x 10-10

Very High Plasticity Clay, PI > 200

3 x 10-11

Figure 6.6-2. Time required for dissipation of stress-induced excess pore pressure (Ref. 6-10).

6-19

Figure 6.6-3. Maximum cyclic load capacity without soil strength loss (Ref. 6-10).

6.6.2.3 Cyclic Creep

Cyclic creep of an embedment anchor can occur under loading conditions that appear
quite safe relative to the above criteria for cyclic strength loss. To evaluate cyclic creep
potential, the number and magnitude of significant loading cycles occurring during the lifetime
of an anchor are the controlling load factors. This loading usually must be summarized by
statistical techniques, in a spectral or quasi-spectral format, to estimate total number of uniform
loading cycles that can occur over the anchors lifetime (Ref. 6-10).
The maximum number of cyclic loads that can occur over the lifetime of an anchor
without significant upward creep is shown by the curves presented in Figure 6.6-4. These
criteria are applicable to cases where the average static load, Ps, is less than 20% of static shortterm anchor capacity. For cases where the 20% static load criterion is exceeded, the doubleamplitude cyclic load, Pc, should be adjusted by an amount equal to that portion of Ps above
20% (i.e., by Ps - 20). For example, if the static load component of a mooring is 28% of the static
short-term holding capacity, and the appropriate curve on Figure 6.6-4 indicates an allowable
maximum double-amplitude cyclic load of 30% over the lifetime of the structure, then that
allowable double-amplitude cyclic load should be reduced by 8% (28% minus 20%). Therefore,
the allowable cyclic load becomes 22% (30% minus 8%). This procedure is very conservative for
anchor systems expected to have a long service life and be subjected to many cycles of
significant cyclic loading. It was designed to be conservative because cyclic creep of anchors is
not well-understood.
6-20

Figure 6.6-4. Maximum (lifetime) cyclic load capacity without development of cyclic creep (Ref. 6-10).

6.6.2.4 Factors of Safety

Because the above approaches to design for cyclic loadings are quite conservative, a
lower safety factor is recommended for use with the cyclic loading aspects of anchor design. It is
recommended that the following factors of safety be used: 1.75 for critical installations or where
the soils data are not well known and 1.25 for noncritical installations or where the soils data
are very well known.
6.6.3

Earthquake Loading

In contrast to line-applied cyclic loading of an anchor, earthquakes load the entire soil
mass. The loading, however, occurs for only some 10 to 30 significant and rapidly applied
loading cycles. Cohesive soils and most medium to dense sands (materials that are less
susceptible to liquefaction) subjected to such loading are treated by the techniques outlined in
Section 6.6.2. Relatively clean cohesionless soils, of medium to low density, are considerably
more susceptible to liquefaction under earthquake loadings. Anchors embedded in these soils,
even when under very low static loads, will completely fail and pull out if the soil liquefies. The
prediction of such events is not treated here, as it is not well-understood and is very complex;
6-21

however, techniques for evaluating the liquefaction potential of soils are presented in
References 6-7 and 6-10.
6.6.4

Impulse Loading

6.6.4.1 Definitions
Procedures for predicting the holding capacity under impulse loading are presented
below. They are appropriate for use with circular, square, or rectangular (L/B 2) anchor flukes
only. The procedures consist of applying a number of influence factors to Equations 6-3 and 6-7,
the basic equations for calculating static short-term anchor holding capacity. The influence
factors yield conservative results in all cases.
An impulse load, PI is defined as basically a single load that is applied quickly but does
not remain for a long time (less than 10 minutes for clays and less than 10 seconds for sands).
An example is shown in Figure 6.6-1. These loads are considered single events only where
enough time elapses between similar events to allow the soil to return to its normal state
without any residual effect from other impulse loads. In the absence of other dynamic loads,
impulse loading will result in a higher anchor holding capacity during the loading event than that
computed for the static short-term holding capacity. That is, the anchor will be able to resist an
impulse loading higher than its static short-term capacity.
6.6.4.2 Cohesive Soil
The holding capacity under impulse loading, FI, is the maximum load that can be applied
to an anchor under impulse conditions. It is determined for cohesive soils by:

FI = IRc RI R f I f ( Fst )

(6-8)

where:
Fst =
I

static short-term anchor holding capacity (Equation 6-3 for cohesive soil) [F]
influence factor for adjusting the soil strength for strain rate

Rc =

reduction factor for cyclic loading

RI =

reduction factor for repeated impulse loading

If

inertial factor for capacity increase under very rapid and short duration loading
(i.e., for impulse duration less than 0.01 second)

The factor I is a strain rate used to adjust for an increase in the soil undrained shear
strength during impulse loading. The value of I is obtained from Figure 6.6-5 on the basis of
impulse load duration and a general description of soil type.
6-22

Figure 6.6-5. Strain rate factor, I, for cohesive soil (Ref. 6-11).

The factor Rc depends on the loading history prior to the impulse loading. It is used to
adjust FI for the influence of other nonstatic loads that are occurring at about the same time
and is determined as follows: (1) if the impulse load is the first event, then Rc = 1.0; or (2) if
cyclic loads immediately precede the impulse event, then:

Rc = Pc / Fst

(6-9)

The factor RI adjusts FI for repeated impulse loadings. It is determined as follows: (1) if
there is only one impulse load in a 4-hour period, then RI = 1; or (2) if there is more than one
impulse load in a 4-hour period, then:

RI = 1.33e 1.15 f c

(6-10)

where fc is the average frequency, in impulses per hour, over a 4-hour period.
The factor If, is used to adjust (increase) FI for the inertia of the soil mass at very short
duration loadings (i.e., where the loading is known to be applied for less than 0.1 second). It is
determined from Figure 6.6-6.
6-23

Figure 6.6-6. Inertial factor, If, for cohesive and cohesionless soils (Ref. 6-11).

6.6.4.3 Cohesionless Soil

The holding capacity under impulse loading in cohesionless soils is also derived by
applying a series of influence factors to the calculated short-term static holding capacity. The
maximum anchor capacity impulse loading is given by:

N qI
fI =
N
q

Rc RI I f (F )

(6-11)

where:
F

static short-term anchor holding capacity (Equation 6-7 for cohesionless soil) [F]

NqI =

cohesionless soil holding capacity factor adjusted for impulse loading

Nq =

cohesionless soil holding capacity factor (from Figure 6.5-4)

Rc =

reduction factor for cyclic loading

RI =

reduction factor for repeated impulse loading

6-24

If

inertial factor for capacity increase under very rapid and short-duration loading
(i.e., for impulse duration less than 0.01 second)

The adjusted holding capacity factor, NqI, accounts for the effect of the impulse loading
on the soil friction angle, . In order to obtain NqI, first a new friction angle adjusted for the
impulse loading effect, I, is calculated as shown below (Ref. 6-11). Then, NqI is determined from
the curves in Figure 6.5-4.

I sin

1 + ( I 1) sin

I = sin 1

(6-12)

where I is the influence factor for adjusting the soil strength (from Figure 6.6-7 for cohesionless
soil).
The factor Rc is determined in the same manner as for cohesive soil. This is described in
Section 6.6.4.2.
The factor for repeated impulse loadings, RI, is dependent on the frequency of those
impulse loads, fs: (1) if fs one impulse/10 min, then RI = 1.0; or (2) if fs > one impulse/10 min,
then RI is obtained from:

RI 2e 0.116 f s

(6-13)

where fs is the average number of impulses per 10 minutes.

The inertial factor If is determined in the same manner as for cohesive soil (described in
Section 6.6.4.2). If is determined from Figure 6.6-6.

6-25

Figure 6.6-7. Strain-rate factor, I, for cohesionless soil (Ref. 6-11).

6.6.4.4 Factors of Safety

To calculate allowable design loadings from the maximum impulse loadings calculated
from this section, the factors of safety recommended in Section 6.5.7 should be applied.

6.7 OTHER INFLUENCES ON HOLDING CAPACITY

6.7.1

Holding Capacity on Slopes

Two major items should be considered in predicting the holding capacity of embedded
plate anchors on slopes: first, stability of the slope itself under the additional influence of the
embedment anchor; and second, the influence of the inclined seafloor on the soil resistance
mobilized (i.e., holding capacity) by the loaded anchor.
The effect of an anchor on slope stability is extremely complex, involving the effects of
anchor installation and anchor loading on the slope. Table 6.7-1 presents a list of factors
associated with direct-embedment anchor installation and loading which influence submarine
slope stability (Ref. 6-12). All factors lead to a lower resistance to soil mass down-slope sliding
and, therefore, greater slope instability. It is important to note that the influence of plate
anchors on slope stability depends to a high degree on the type and sensitivity of the sediment.
Slope angle itself is not a clear indicator of potential problems.
The inclined seafloor also influences the anchor by lowering the resistance to soil failure
and, therefore, lowering the holding capacity that can be developed. A significant portion of the
soil shear strength is mobilized to support the soil slope against gravitational forces. For
downslope loading, most of the soil shear stresses developed to resist anchor pull-out will be in
6-26

addition to those resisting slope failures. The result is that a smaller amount of the soils shear
strength is available to resist anchor pullout than is available with a horizontal seafloor. This
becomes less important as the anchor is loaded in a more vertical or more upslope direction.
Methods for calculating the reduced holding capacity of anchors on slopes have not
been developed. However, as a conservative approach, the holding capacity of a directembedment anchor on a specific slope can be estimated by multiplying the holding capacity
calculated for a horizontal seafloor by a reduction factor, Rs, determined by:

Rs=

Fs 1
Fs

(6-14)

where Fs is the factor of safety against a slope failure without the anchor. Rs represents the
amount of soil strength remaining, or the amount not mobilized in maintaining the slope
stability. Note that in computing the anchor holding capacity, both anchor depth and the
holding capacity factors Nc and Nq are based on a depth of embedment measured perpendicular
to the seafloor surface.
Table 6.7-1. Factors Associated With Direct-Embedment Anchors Which Can Influence Submarine
Slope Stability (Ref. 6-12)

Factor

Reasons for Consideration

Impact Loading During

Embedment

Effect similar to earthquake loading but with greater

local influence; more critical problem in loose soils.

Remolding or Disturbance of
Soils During Installation

Needs consideration in all anchor installations; effect

varies significantly from one soil to another.

Cyclic Loading by Anchor

Important consideration in all anchor installations.

Local Instability After

Anchor Pullout

Potentially can progress to major slope failure.

Direct Application of Anchor

Load to Slope

Probably not more significant than a local instability

problem but can progress into a large slide.

6.7.2

Creep Under Static Loading

Creep failure of direct-embedment anchors under static loading conditions is possible.

In some onshore soils, data have been taken showing soil strength reductions of 60% for some
soft cohesive soils under only static loading (Ref. 6-13). However, tests on two pelagic clays (Ref.
6-14) and a calcareous ooze (Ref. 6-15) indicate that, for the undrained condition, shear strength
reductions may not be nearly so great for seafloor sediments. Further, for soil overconsolidation
6-27

ratios (OCR) reasonable in seafloor soils, negative pore pressures will not be generated above
the anchor plate, and the shear strength above the anchor plate will always increase with time
(Ref. 6-14). Therefore, the creep failure potential for plate anchors under only static loading is
minimal. A safety factor of 2 against creep failure is recommended on the maximum long-term
holding capacity (Ref 6-3).

6.8 HOLDING CAPACITY IN CORAL AND ROCK

6.8.1

Coral

A large number of plate anchors have been driven into coral, such as in Apra Harbor,
Guam (see Figure 6.2-1b). This anchor design has a taper ram on the end of the beam to help
break up the coral locally. The plate is then tapered and sharpened. Large impact hammers and
heavy follower beams are then use the drive the anchor into the coral. Experience shows 300
kips (1,300 kN) working capacity can easily be achieved by driving the anchor through a hard
layer and into a softer layer. The anchor then keys up against the layer of rock.
6.8.2

Rock

There is little experience with plate anchors in rock and other anchors, such as a drilled
and grouted pile, may be more suitable.

6.9 DESIGN OF PILE-DRIVEN PLATE ANCHORS

6.9.1

General

A pile-driven plate anchor (PDPA) is constructed from a steel plate, an I-beam section,
and a pad eye (Ref. 6-1). The PDPA is driven into the seafloor sediments and keyed to provide a
fixed-point anchor mooring system, as illustrated in Figure 6.9-1. For use in soft clays or mud, a
keying flap is added to accelerate the keying action. The procedure for installing a PDPA is
described below:

Attach a PDPA with chains or cable to a follower (generally a section of I-beam).

Use a crane to lift the PDPA and follower, and place the anchor tip on the seafloor.

Drive the PDPA into seafloor to a pre-determined depth with either an impact or
vibratory hammer.

Retrieve the anchor follower.

Pull the chain or cable to key the plate anchor and lock it in position in the bottom.

6-28

Figure 6.9-1. Installation of Pile-Driven Plate Anchor.

6.9.1.1 Site Investigation

A site investigation should be performed to determine bathymetry, topography, soil
strata, soil strengths, and engineering properties as discussed in Section 6.3.3. Soil samples
obtained from field investigation may be sent to a laboratory to determine soil engineering
properties, including soil shear strength, cohesive, angle of internal fiction, relative density and
submerged unit weight. In addition to the soil investigation, seafloor soundings may be
conducted, and it is necessary to determine the locations of any utility lines, cables, pipes,
unexploded ordinance or other debris prior to installation.
6.9.1.2 Factors of Safety
A factor of safety of 2 is generally recommended for most applications of pile-driven
plate anchors.
6.9.1.3 Shape of Plate Anchor
A typical plate anchor is made of A36 steel with recommended length to width ratio of
1.5 to 2.0. The plate thickness and other steel components vary with the design load in
accordance of AISC Steel Construction Manual (Ref. 6-16). For a plate anchor driven in soft soils
and mud, a key flap is needed to ensure its key-in, as illustrated in Figure 6.9-2.

6-29

Figure 6.9-2. Typical shape and components of a pile-driven plate anchor (plate length to
width ratio: 1.5 to 2.0).

6.9.2

Ultimate Holding Capacity of Plate Anchor in Soft Clays and Mud

The ultimate holding capacity can be predicted by Equations 6-3 and 6-4 for short- and
long-term anchor holding capacities respectively. The holding capacity factor, Nc varies with soil
shear strength and relative embedment depth as shown in Figure 6.5-2 and Figure 6.5-3 for both
short- and long-terms conditions respectively. For keyed depths more than five times the plate
width, the holding capacity factors are considered to be constant as:
Nc =

6.9.3

15, if the undrained shear strength is known and the loading is short term;

12, recommended relationship for all cases;

9, non-saturated conditions or long-term loading with consolidated-drained

shear strength parameters

Holding Capacity of Plate Anchor in Sands

The anchor holding capacity for a driven plate anchor in sands can be estimated by
Equation 6-7 and the bearing capacity factor, Nq in sands is shown in Figure 6.5-4. Since Nq
varies with the angle of internal friction and it is difficult to obtain undisturbed sand samples
underwater, it is recommended that standard penetration test (SPT) be performed at the anchor

6-30

site. Based upon the blow counts of the SPT, the angle of internal friction can be estimated as
shown in Chapter 5, Table 5.3-1.

6.10 EXAMPLE PROBLEMS

6.10.1 Problem 1 A Pile-Driven Plate Anchor Used in Cohesive Soil
6.10.1.1 Problem Statement
Design a pile-driven plate anchor for specified required mooring loads. Also, determine
the depth to which the anchor is driven prior to keying.
Data: Due to limited mooring space in a harbor, it is decided to install a pile-driven plate
anchor to provide a short-term, horizontal mooring load of 200 kips. The water depth is 25 feet,
and sediments in the harbor are mud of soft silty clay with a shear strength increasing at a rate
of 10 psf per foot of depth. The depth of bed rock is more than 100 feet. The contractor has pilediving equipment and a section of 90-foot pile follower for the installation. Assume the
embedded anchor chains contribute 25 kips to the holding capacity of the anchor.

6.10.1.2 Problem Solution

The trial-and-error computational procedures for the problems solution are presented
below. These follow the procedures outlined in this chapter.
Problem 6.10-1
ANALYTICAL PROCEDURES

COMPUTATIONS

1. Check the maximum allowable penetration

depth of the plate anchor.

Given a 90-ft pile follower, the maximum

allowable penetration depth is
= 90 ft 25 ft of water depth
+ plate anchor length, L
= 65 ft + L

6-31

Problem 6.10-1
ANALYTICAL PROCEDURES

COMPUTATIONS
Required horizontal mooring load = 200 kips

2. Estimate the ultimate anchor holding

capacity using an appropriate factor of
safety.

Chain holding capacity = 25 kips (given)

Fs = 2.0
Ultimate horizontal anchor holding load is
= (200 kips 25 kips)(2.0) = 350 kips

3. Select a trial key-in depth, z, and estimate

the soil shear strength, su, at the trial
depth.

Say z = 60 ft

4. Determine the short-term holding capacity

factor, Ncs (from Figure 6.5-2 with the z/B
ratio).

Assume B = 6 ft

su @ 60 ft = (60 ft)(10 psf/ft) = 600 psf

z/B = (60 ft)/(6 ft) = 10

Ncs = 15

5. Determine the strength reduction factor, h

(from Table 6.5-1 for silty clay).

h = 0.8

6. Select the plate anchor size.

Try L = 10 ft with B = 6 ft
A = LB = (10 ft)(6 ft) = 60 ft2
B/L = (6 ft)/(10 ft) = 0.6

6-32

Problem 6.10-1
ANALYTICAL PROCEDURES

COMPUTATIONS

7. Compute the anchor holding capacity, Fst,

based on the plate anchor size and key-in
depth. From Equation 6-3,

Fst = (60 ft2)(600 psf)(0.8)(15)[0.84 + 0.16(0.6)]

= 404,352 lb = 404 kips
OK; Fst > required horizontal mooring load of
350 kips. Try to reduce plate anchor size.

Fst = A su h Ncs [0.84 + 0.16(B/L)]

Try L = 10 ft with B = 5 ft
A = 50 ft2 and B/L = 0.5
For z/B = (60 ft)/(5 ft) = 12, Ncs = 15
Fst = (50 ft2)(600 psf)(0.8)(15)[0.84 + 0.16(0.5)]
= 331,200 lb = 331 kips
NO GOOD; Fst < 350 kips.
Use L = 10 ft with B = 6 ft.
(L/B) = (10 ft)/(6 ft) = 1.67

8. Check the plate length to width ratio.

Is 1.5 (L/B) 2.0?

YES, the length to width ratio is acceptable.

9. Calculate the maximum penetration depth

from Equation 6-1 and check against the
maximum allowable penetration depth.

From STEP 1, max allowable penetration depth

is (65 ft + 10 ft) = 75 ft
From Equation 6-1,

z = zp 2L

zp = z + 2L = 60 ft + 2(10 ft) = 80 ft > 75 ft

Unacceptable. Use a 5-ft follower extension or
try a larger anchor key-in at a shallower depth.

6-33

Problem 6.10-1
ANALYTICAL PROCEDURES

COMPUTATIONS
Try z = 50 ft

10. Try another (shallower) key-in depth and

larger plate anchor.

su @ 50 ft = (10 psf/ft)(50 ft) = 500 psf

Try L = 12 ft with B = 6 ft
z/B = (50 ft)/(6 ft) = 8.33
Ncs = 15 and h = 0.8
A = (12 ft)(6 ft) = 72 ft2
B/L = (6 ft)/(12 ft) = 0.5

11. Calculate the anchor holding capacity from

Equation 6-3.

Fst = (72 ft2)(500 psf)(0.8)(15)[0.84 + 0.16(0.5)]

= 397,440 lb = 397 kips
OK; Fst > required horizontal mooring load of
350 kips.
(L/B) = (12 ft)/(6 ft) = 2.0

12. Check the plate length to width ratio.

Is 1.5 (L/B) 2.0?

YES, the length to width ratio is acceptable.

13. Calculate the maximum penetration depth

from Equation 6-1 and check against the
maximum allowable penetration depth.

From STEP 1, max allowable penetration depth

is (65 ft + 12 ft) = 77 ft
From Equation 6-1,
zp = z + 2L = 50 ft + 2(12 ft) = 74 ft < 77 ft
OK; the maximum penetration depth does not
exceed the maximum allowable penetration
depth.

SUMMARY
1. The pile-driven plate anchor to be used has a length, L = 12 ft, and a width, B = 6 ft. The
plate anchor is driven to a depth of 74 ft below the seafloor prior to keying.
2. The anchor holding capacity is 397 kips.

6-34

6.10.2 Problem 2 - A Pile-Driven Plate Anchor Used in Cohesionless Soil

6.10.2.1 Problem Statement
Design a pile-driven plate anchor for specified required mooring loads. Also, determine
the depth to which the anchor is driven prior to keying.
Data: Due to the limited mooring space in a harbor, a pile-driven plate anchor is needed
to provide horizontal mooring load of 200 kips in the harbor. The water depth in the harbor is 35
feet and the harbor sediments are mainly dense sand. The contractor has pile-diving equipment
and a section of 90-foot pile follower for the installation. Assume embedded chains in sand
contribute 20 percent of anchor holding capacity.
6.10.2.2 Problem Solution
The trial-and-error computational procedures for the problems solution are presented
below. These follow the procedures outlined in this chapter.
Problem 6.10-2
ANALYTICAL PROCEDURES

COMPUTATIONS

1. Check the maximum allowable penetration

depth of the plate anchor.

Given a 90-ft pile follower, the maximum

allowable penetration depth is
= 90 ft 35 ft of water depth
+ plate anchor length, L
= 55 ft + L
Note: In dense sand, the required anchor
penetration depth is usually shallower than
that in soft clays or mud.

2. Estimate the ultimate anchor holding

capacity using an appropriate factor of
safety.

Required horizontal mooring load = 200 kips

Chain holding capacity = 20% = 0.2 (given)
Fs = 2.0
Ultimate horizontal anchor holding load is
= (200 kips)(1 0.2)(2.0) = 320 kips

6-35

Problem 6.10-2
ANALYTICAL PROCEDURES

COMPUTATIONS

3. Determine soil properties , and b

(cohesionless soil). Because the properties
have not been measured, they must be
estimated (Chapter 5, Table 5.3-1).

For a dense cohesionless sand,

4. Select a trial key-in depth, z.

Say z = 10 ft

5. Determine the holding capacity factor, Nq

(from Figure 6.5-4 with and the z/B
ratio).

Let B = 2 ft

40 deg
b 60 pcf

z/B = (10 ft)/(2 ft) = 5

Nq 25
Try L = 4 ft with B = 2 ft

6. Select the plate anchor size.

A = LB = (4 ft)(2 ft) = 8 ft2

B/L = (2 ft)/(4 ft) = 0.5
7. Compute the anchor static holding
capacity, F, based on the plate anchor size
and key-in depth. From Equation 6-7,
F = A b z Nq [0.84 + 0.16(B/L)]

F = (8 ft2)(60 pcf)(10 ft)(25)[0.84 + 0.16(0.5)]

= 110,400 lb = 110 kips
NO GOOD; F < required horizontal mooring
load of 320 kips. Use a deeper key-in depth.
Try z = 20 ft
For z/B = (20 ft)/(2 ft) = 10, Nq 50
F = (8 ft2)(60 pcf)(20 ft)(50)[0.84 + 0.16(0.5)]
= 441,600 lb = 442 kips
OK; F > 350 kips.
Use z = 20 ft with L = 4 ft and B = 2 ft.

8. Check the plate length to width ratio.

Is 1.5 (L/B) 2.0?

(L/B) = (4 ft)/(2 ft) = 2.0

YES, the length to width ratio is acceptable.

6-36

Problem 6.10-2
ANALYTICAL PROCEDURES

COMPUTATIONS

9. Calculate the maximum penetration depth

from Equation 6-2 and check against the
maximum allowable penetration depth.

From STEP 1, max allowable penetration depth

is (55 ft + 4 ft) = 59 ft
From Equation 6-1,

z = zp 1.5L

zp = z + 2L = 20 ft + 1.5(4 ft) = 26 ft < 59 ft

OK; the maximum penetration depth does not
exceed the maximum allowable penetration
depth.
SUMMARY

1. The pile-driven plate anchor to be used has a length, L = 4 ft, and a width, B = 2 ft. The plate
anchor is driven to a depth of 20 ft below the seafloor prior to keying.
2. The anchor holding capacity is 442 kips.
3. The plate anchor design is based on an estimated value for the soil friction angle. Since the
friction angle greatly affects the value for Nq, it is recommended that a Standard Penetration
Test (SPT) be performed to validate the estimated value.

6-37

6.11 REFERENCES
6-1.

Forrest, J; Taylor, R and Brown, L ( 1995) Design Guide for Pile-driven Plate Anchors
Technical Report TR-2039-OCN, Naval Facilities Engineering Service Center, Port
Hueneme, CA March 1995.

6-2.

H.S. Stevenson and W.A. Venezia. Jetted-In Marine Anchors, Naval Civil Engineering
Laboratory, Technical Note N-1082. Port Hueneme, CA, Feb 1970.

6-3.

R.J. Taylor. Interaction of Anchors with Soil and Anchor Design, presented at short
course on Recent Developments in Ocean Engineering, University of California, Berkeley,
CA, Jan 1981.

6-4.

N. Kerr. The Hydropin: A New Concept in Mooring, Transactions, North East Coast
Institution of Engineers and Shipbuilders, Vol. 92, No. 2, Nov 1975, pp. 39-44.

6-5.

R.J. Taylor, D. Jones, and R.M. Beard. Uplift-Resisting Anchors, in Ocean Engineering,
Vol 6. Pergamon Press, 1979, pp. 3-137.

6-6.

R.M. Beard. Expendable Doppler Penetrometer: A Performance Evaluation, Civil

Engineering Laboratory, Technical Report R-855. Port Hueneme, CA, Jul 1977.

6-7.

R.M. Beard. Holding Capacity of Plate Anchors, Civil Engineering Laboratory, Technical
Report R-882. Port Hueneme, CA, Oct 1980.

6-8.

A.S. Vesic. Breakout Resistance of Objects Embedded in Ocean Bottom, in Civil

Engineering in the Oceans II. New York, NY, American Society of Civil Engineers, 1970,
pp. 137-165.

6-9.

P.J. Valent. Results of Some Uplift Capacity Tests on Direct Embedment Anchors, Civil
Engineering Laboratory, Technical Note N-1522. Port Hueneme, CA, Jun 1978.

6-10.

H.G. Herrmann. Design Procedures for Embedment Anchors Subjected to Dynamic

Loading Conditions, Naval Civil Engineering Laboratory, Technical Report R-888. Port
Hueneme, CA, Nov 1981.

6-11.

B.J. Douglas. Effects of Rapid Loading Rates on the Holding Capacity of Direct
Embedment Anchors, Civil Engineering Laboratory, P.O. No. M-R420. Port Hueneme,
CA, Oct 1978.

6-12.

F.H. Kulhawy, D.A. Sangrey, and S.P. Clemence. Direct Embedment Anchors on Sloping
Seafloors, State-of-the-Art, Civil Engineering Laboratory, P.O. No. M-R510. Port
Hueneme, CA, Oct 1978.
6-38

6-13.

A. Singh and J.K. Mitchell. General Stress-Strain-Time Function for Soils, Journal of the
Soil Mechanics and Foundations Division, American Society of Civil Engineers, vol 94, no.
SMI, Jan 1968, pp 21-46.

6-14.

R.M. Beard. Long-Term Holding Capacity of Statically Loaded Anchors in Cohesive Soils,
Civil Engineering Laboratory, Technical Note N-1545. Port Hueneme, CA, Jan 1979.

6-15.

P.J. Valent. Long-Term Stress-Strain Behavior of a Seafloor Soil, Civil Engineering

Laboratory, Technical Note N-1515. Port Hueneme, CA, Feb 1978.

6-16.

American Institute of Steel Construction. AISC Steel Construction Manual, 13th Edition,
May 2005.

6-39

6.12 SYMBOLS
A

Projected fluke area perpendicular to direction of pull out [L2]

Fluke or plate minimum dimension, usually width [L]

Drained soil cohesion [F/L2]

Reduced drained soil cohesion for very soft underconsolidated soils [F/L2]

Exponential base for natural logarithms

Holding capacity in cohesionless soils [F]

FI

Holding capacity under impulse loading [F]

Flt

Long-term static holding capacity [F]

Fs

Factor of safety

Fst

Short-term static holding capacity [F]

fc

Average number of impulse loadings per hour, in clay, over a 4-hour period [l/T]

fs

Average number of impulse loadings per 10 minutes, in sand [1/T]

Correction factor for soil disturbance due to penetration and keying

Influence factor for adjusting soil strength for impulse loading

If

Inertial factor for holding capacity increase under impulse loading

Soil permeability [L/T]

Fluke or plate maximum dimension, usually length [L]

Nc

Long-term holding capacity factor in cohesive soil

Ncs

Short-term holding capacity factor in cohesive soil

Nq

Holding capacity factor for a drained soil condition

NqI

Cohesionless soil holding capacity factor adjusted for impulse loading

nc

Actual number of cycles occurring during time period, tcd

nT

Total number of cycles occurring during anchor lifetime

PI

Plasticity index

Pc

Double-amplitude cyclic load component [F]

PI

Magnitude of the impulse line load [F]

Ps

Static or nearly static line load component [F]

pvo

Effective overburden stress in soil [F/L2]

Rc

Reduction factor for holding capacity under cyclic loading

RI

Reduction factor for holding capacity under repeated impulse loading

Rs

Reduction factor applied to anchor holding capacity to account for slope instability

St

Soil sensitivity
6-40

su

Soil undrained shear strength [F/L2]

tcd

Time duration required for dissipation of excess pore-pressure [T]

Embedded depth of fluke after keying [L]

zk

Distance required for fluke keying [L]

zp

Maximum penetration depth of keying-type fluke [L]

Soil buoyant unit weight [F/L3]

Soil friction angle [deg]

Drained cohesive soil friction angle [deg]

Reduced drained cohesive soil friction angle for very soft underconsolidated soils [deg]

Soil friction angle adjusted for impulse loading [deg]

6-41

[This page intentionally left blank]

6-42

7 DRAG-EMBEDMENT ANCHORS
7.1 INTRODUCTION
7.1.1

Purpose and Scope

This chapter consolidates the performance, selection, and design information for dragembedment anchors. The functioning of the drag anchor is described, and a brief description of
geotechnical information necessary for design follows. Criteria for selection of an anchor are
listed; techniques for designing or sizing are then presented. A section on field solutions for
anchor performance problems follows.
This chapter deals only with geotechnical aspects of mooring system design. Prediction
of mooring system loads, selection of mooring line materials, and maintenance and inspection
of mooring system components are not discussed. For prediction of environmental loadings on
moored vessels, the reader is referred to the Department of Defense UFC 4-150-06 Military
Harbors and Coastal Facilities (Ref. 7-1), the Det Norske Veritas Rules for the Design,
Construction and Inspection of Offshore Structures (Ref. 7-2), the rules of the American Bureau
of Shipping (Ref. 7-3), and the API Recommended Practice for the Analysis of Mooring Systems
for Floating Drilling Units (Ref. 7-4). Information on mooring system component selection and
system design and analysis are generally available (Refs. 7-5 and 7-6). Mooring inspection and
maintenance rules have been drawn up by Det Norske Veritas (Ref. 7-2).
7.1.2

Drag Anchor Description

Most drag anchors are referred to by their manufacturer trade name. While specialty
anchors may have a very different shape, many widely used anchors share common features. All
have a shank, through which the mooring line load is applied, and a fluke or flukes, which are
the digging parts of the anchor and provide the bearing area to mobilize sediment resistance.
These and other components common to most drag anchors are shown in Figure 7.1-1. Tripping
palms (often called mud palms or palms) improve the capability of the anchor fluke to open
and dig into the seafloor. Stocks or stabilizers are used on many anchors to improve their biting
into the seafloor and their rotational stability. The biting or leading edge of the fluke is the fluke
tip. The area where the fluke connects to the shank is the crown or head of the anchor.
The chain or wire rope mooring line attached to the anchor shank is an integral part of a
drag anchor system. One section of this mooring line is dragged below the seafloor surface by
the anchor, while a variable length of the mooring line usually rests on and is dragged along the
seafloor surface. Both mooring line sections develop resistance to horizontal movement and
contribute to the holding capacity of the anchor system.

7-1

Figure 7.1-1. Features of a drag anchor (Ref. 7-5).

7.1.3

Types of Drag Anchors

Anchors can be classified by their general physical characteristics, their intended

function or performance in different types of soils. Types of representative drag embedment
anchors are shown in Figure 7.1-2 2 (Ref. 7-7). Detailed discussions of these anchors are
presented in the following sections.
Additionally, drag anchors may be classified as:

Movable or fixed fluke

Bilateral or unilateral fluked

Hard or soft seafloor anchors

Standard or high holding power anchors

Movable fluke anchors are hinged at the crown so that the anchor can lie flat, with the
plane of the flukes parallel to the axis of the shank when on the deck of a work boat (Figure
7.1-3a). The flukes can still open fully for digging in when the anchor is placed on the seabed
(Figure 7.1-3b). Fixed fluke anchors are those with either movable flukes which have been
welded or blocked in the open position, or those where the fluke and shank have been cast or
fabricated as a single piece (Figure 7.1-4).

Most of the anchors in this chapter are still available for purchase. The HOOK, STEVFIX, and STEVMUD
have been updated with the STEVIN or STEVPRIS. The ADMIRALTY AC-12, BOSS, STOKES, EELLS, BEIJERS,
and all the STOCKED anchors are not available for purchase based on a quick market search. The data
from these unavailable anchors was left in this chapter as it shows the performance improvement over
the years and these anchors also have a significant amount of qulailty test data.

7-2

Bilateral fluked anchors are those constructed so the flukes can open freely to either
side of the anchor shank (Figure 7.1-5a). Unilateral fluked anchors are constructed so the fluke
must remain only on one side of the shank (Figure 7.1-5b). Unilateral fluked anchors require
greater care in handling and placement on the seafloor to ensure that the flukes are down for
digging; improper placement could result in the anchor being on its back and unable to dig into
the seafloor.
Anchors which work best in hard soil seafloors (i.e., hard clays and most sands and
gravels) are sharp-fluked with close-set fluke tips to initiate penetration. They have long
stabilizer bars to counter roll instability tendencies (Figure 7.1-5a). Anchors for soft seafloors, on
the other hand, maximize fluke area and emphasize streamlining to achieve deep seafloor
penetration (Figure 7.1-6).
7.1.4

Application of Drag Anchors

Drag anchors are standard equipment for the temporary mooring of all mobile craft of
substantial size and are often selected for the permanent mooring of floating platforms. They
are the leading contenders for temporary moorings because they are efficient, require a
minimum of specialized support, and are reuseable. Often, catenary system motion (in reaction
to an increase in line tension) and load characteristics of the drag anchor system are required in
a mooring system to cope with dynamic load components.
On the disadvantage side, the drag anchor is often a poor performer on very hard
seafloors. Further, the drag anchor system is not a constructed anchor system, like the pile or
gravity anchor system. After placement, the drag anchor must trip, dig-in, and remain stable
with drag. All of these are statistical performance functions and have a probability of occurrence
lower than 100%, particularly in hard soils.

7-3

DELTA

DEEP PENETRATlON ANCHORS

ADIIUW.TY

HOOK

A.1Z

STEVIN ANCHORS

l .\Y.T.

tHGH PERFORMANCE ANCHORS

AOMIRALTY
AC.14

STOKE$

a
IMPROVED STOCKLESS ANCHORS
NAVY
STOCI<UOS

BELIEA$

HAI.I.$

SPECK

STAHDAAO STOCKLESS ANCHORS

ADMIAALTY
AJOo7
SING&.!-1\.UKE

STOCK

DREDGER

Figure 7.1-2. Examples of different drag embedment anchors (Ref. 7-7).

7-4

Figure 7.1-3. Example of a movable fluke anchor: STEVIN cast.

Figure 7.1-4. Example of a fixed fluke anchor: BRUCE cast (Ref. 7-9).

7-5

Figure 7.1-5. Example of bilateral fluke anchors.

Figure 7.1-6. Example of a soft soil anchor: STEVMUD (Ref. 7-11).

7-6

7.2 FUNCTIONING OF A DRAG ANCHOR

7.2.1

General

The drag anchor is analogous to an inverted kite made to fly downward into the soil.
The shank acts as the kite bridle, maintaining the angle of attack of the fluke to the soil to
maximize the developed mooring line tension in the horizontal direction at the seafloor. The
anchor is pulled along the seafloor until it digs in or penetrates to its place of maximum holding
capacity. The tripping palms assist by causing the movable fluke anchors, when placed on the
seafloor, to begin digging in when dragged. The stabilizers assist, especially on harder seafloors,
in orienting and maintaining the anchor in the horizontal position. When working properly, the
drag anchor will embed itself into the soil to some equilibrium depth dependent on existing
mooring line, anchor, and soil conditions. When not working properly, the anchor will not
embed as deeply nor develop as high a holding capacity, or it may not embed at all.
7.2.2

Tripping

Most drag anchors are the movable, bilateral fluke variety, where the flukes are free to
move to either side of the shank and where the anchor can lie flat on the deck of a work boat
with flukes nearly parallel to the shank and deck. Generally, the movable fluke anchor is easier
to handle, deploy, and recover. Occasionally, a movable fluke anchor on the seafloor may not
trip.
On soft seafloors (i.e., soft clays and muds) those anchors with very heavy crowns, small
or nonexistent tripping palms, or with the shank-to-fluke hinge far back on the fluke tend to
have tripping problems. This holds true especially when the anchor is lowered and placed crown
first by the--mooring line (Figure 7.2-1a). Anchors of this type (e.g., Stockless, Lightweight
(LWT)), when dragged to set them, will often not dig into the seafloor but will instead slide at
mudline level with the movable flukes oriented parallel to the shank or pointing slightly upward,
serving only as a deadweight anchor at the mud surface (Figure 7.2-1b).

Figure 7.2-1. Development of a tripping problem in soft seafloors with an improperly set anchor.

7-7

This problem in soft soil can be largely eliminated by proper anchor setting procedures
(depicted in Figure 7.2-2). Generally, implementation of this procedure requires two vessels to
lay a mooring leg: one paying out the mooring line and the second handling, lowering, and
positioning the anchor for digging in when the mooring line is pulled.
Anchor tripping difficulties may also occur in dense and hard soils. Even with proper
anchor handling procedures, the fluke tips may not be able to develop sufficient local stress to
initiate digging in. Under these conditions, the anchor may simply slide without tripping (Figure
7.2-3a) or may dig-in slightly to effect standing up (Figure 7.2-3b), and then fall on its side and
drag (Figure 7.2-3c). Those anchors having a relatively heavy crown and a shank connection well
back of the center of fluke area (Moorfast, Offdrill, etc.) appear susceptible to this penetration
problem in hard soils. The hard soil tripping problem has been corrected by sharpening the fluke
tips to improve digging capability, by welding barbs on the tripping palms to increase the
tripping moment, and by reducing fluke angle several degrees below the sand setting. Most drag
anchor types incorporate stocks or stabilizers to prevent the standing anchor from falling
completely on its side (Figure 7.2-3c). Thus, the stocks serve to hold the fluke tips in a digging
position.

Figure 7.2-2. Proper anchor setting sequence using two floating platforms.

7-8

Figure 7.2-3. Development of a tripping problem in hard seafloors.

7.2.3

Embedment

Embedment, or penetration of the fluke into the seafloor once digging-in is initiated, is
governed by the fluke angle, the soil type, the degree of anchor streamlining, and the
smoothness of the fluke surfaces. In addition, the mooring line angle to the seafloor must be
zero to ensure that even a properly selected drag anchor will embed properly.
There is a critical fluke-to-shank angle (termed the fluke angle, ) at which the anchor
holding capacity is maximized. This critical angle decreases as:

Fluke length increases

Shank length decreases

Fluke surface becomes rougher

7-9

For fluke angles greater than critical, the standing anchor will penetrate only slightly into
the sediments and will slide in a standing or tipped orientation (Figure 7.2-3b and c) at a very
small holding capacity. For fluke angles less than critical, anchor embedment depth will be
reduced, and the anchor will develop less than its maximum potential holding capacity in that
particular environment.
Data gathered for STATO anchors in the 1950s (Ref. 7-13) showed an optimum fluke
angle of 50 for soft mud (clayey silt) and 34 for sand. Tests performed in the 1980s (Ref. 7-11)
in denser sand showed that, for the STATO, a fluke angle of 30 is more appropriate for use in
sands. Most anchors are manufactured with a fluke angle of about 50 for soft soils, with bolted
or welded wedges or inserts providing an option for fluke angle reduction for hard soils.
Changes to standard fluke angle settings may be advised to improve performance, especially on
hard, dense sands and gravels. For instance, where a fluke angle change to 28 may be
necessary to initiate the biting and digging-in of large Moorfast- and Offdrill-type anchors.
Anchor penetration is influenced by the anchor's degree of streamlining. The newer
anchor designs with tapered and sharpened flukes, narrowed and chamfered shanks, and open
tripping palms have good penetration capability and can reach stronger soils deep in the soil
profile.
An increase in fluke roughness limits anchor penetration and therefore influences
holding capacity. Flukes with smooth surfaces mobilize less soil resistance to penetration in the
plane of the fluke. Thus, smooth flukes penetrate deeper and reach the stronger soils which
usually occur at greater depths.
At optimum fluke angles, penetration behavior of an anchor is vastly different for hard
and for soft soils. In hard soils (stiff clays and the denser sands), the drag anchor does not
penetrate deeply. Rather, the crown of the anchor may remain above the surrounding seafloor
surface, as with a STATO (Figure 7.2-4a), or it may penetrate only a few feet, as with the more
streamlined anchors such as the STEVFIX. In stiff clays and dense sands, anchor penetration
depth is typically less than its fluke length since the anchor crown and shank have a significant
effect on the penetration process (Table 7.3-1). In soft soils (soft clayey silts and clays) the
anchors will penetrate more deeply (Figure 7.2-4b), from 45 feet for large STATO-type anchors
to 60 feet for a 20,000-pound STEVIN (as reported in Ref. 7-8).
Based upon anchor field tests anchor performance data including anchor penetration
(dT) and drag distance (D) can be normalized with respect to its fluke length (L). The normalized
drag distance (D/L) and anchor penetration depth (dT /L) for 10 anchors tested by the Navy are
shown in Figure 7.2-5, which shows that each anchor has its own distinctive dragging pattern
(Refs. 7-14 and 7-15). The estimated maximum fluke tip penetration in soft clays and mud are
summarized in Table 7.3-1.

7-10

Figure 7.2-4. Penetration and orientation behavior of an anchor in hard and soft seafloors.

Figure 7.2-5. Normalized anchor penetration depth and drag distance.

7-11

7.2.4

Stability

A drag anchor may exhibit instability after the initial biting and digging-in due to
differences in the soil resistance encountered by the two flukes, initial differences in the fluke
penetration depths, a slight change in the direction of mooring line pull, or some other source of
asymmetry. Drag anchors in sand will often become unstable and roll after only a few feet of
drag. Once the anchor begins to roll, the soil pressure on the rising fluke becomes much
reduced, and the force couple in the direction of the roll is increased, thus speeding the rolling
of the anchor on its side (Figure 7.2-6a). Stocks or stabilizers are designed to develop a
countering force couple to resist the roll motion (Figure 7.2-6b). In soft clays and silts (mud), the
stabilizers probably provide a significant stabilizing influence only for the first few feet of drag,
up to the point where both stabilizers pass beneath the mudline. Even when fully embedded,
every drag anchor is potentially unstable. Once beneath a soft seafloor surface, anchor stability
is primarily a function of the symmetry of the anchor, the variation in the direction of mooring
line pull, and the homogeneity of the soil. At present, insufficient data exist to qualify the
probability of an instability developing in either hard or soft soils.
Instability after anchor dig-in also includes the phenomenon of anchor balling up and
pulling out (Ref. 7-16). This balling up phenomenon refers to formation of a large ball of soil on
the entire fluke and crown assembly (Figure 7.2-7), which can occur after dragging 50 to 200
feet in soft soils. This ball of soil or dead zone travels with the anchor, distorting its shape and
significantly limiting anchor penetration capability and its stability. A balled-up anchor that rises
to the surface due to rotational instability will not re-embed with further dragging. It must be
recovered and cleaned before it can be reset.
The process for development of this balling up is hypothesized as follows. The soil in the
dead zone is subjected to a high total stress and the soil develops large positive excess pore
water pressures. In silt to clayey silt soils (muds), some of this excess pore water pressure
dissipates to the surrounding soils as the anchor drags. The soil immediately in front of the
flukes, therefore, becomes stronger than the undisturbed soil and is able to adhere to and build
up on the flukes to become a large, compact lump.
The balling-up phenomenon has been reported (Ref. 7-12) with LWT, STATO, and
Moorfast anchors, but not with the more streamlined BOSS anchor. Performance differences lie
in the orientation of the fluke with respect to the anchor trajectory (Refs. 7-11 and 7-17). The
STATO fluke surface, for instance, is oriented much more obliquely to its trajectory in the soil
than the fluke surface of the more streamlined Hook anchor. This more oblique orientation and
the STATO's large, tripping palms are believed responsible for a tendency to ball up in some soft
soils. The fluke, tripping palm, and shank streamlining of the newer anchors (e.g., BOSS, Hook,
STEVMUD, and Flipper Delta) are responsible for reducing the potential for this happening.
A positive feature associated with balling up is that anchors with this characteristic
achieve their maximum capacity in a much shorter drag distance because the soil shear surfaces
developed by these anchors are substantially greater per unit fluke area than those developed
by the newer streamlined anchors. This will be apparent in Section 7.5.3.1.
7-12

Figure 7.2-6. Forces on unstabilized and stabilized anchors in sand.

Figure 7.2-7. Anchor in soft soil, after balling-up and pulling-out (Ref. 7-16).

7.2.5

Soaking

Soaking of an anchor is the practice of allowing a newly embedded anchor to rest for a
period of time, typically 24 hours, before applying the required proof load. The mechanism that
makes soaking work is similar to that causing balling up (i.e., consolidation of the silt and clay
soil around the fluke, causing strengthening of that soil and increasing the anchor's holding
capacity with time).

7.3 SITE INVESTIGATION

7.3.1

Site Data Needed

Although this chapter does present the results of initial work toward a rational
methodology for determining the capacity of drag anchors, present technology cannot utilize
detailed soil strength and behavior information for drag anchor design.
Drag anchor design usually consists of selecting an anchor type and size. This selection
and sizing requires the following knowledge of site conditions:
7-13

7.3.2

Topography and thickness of significant soil layers

Sediment type (cohesive versus cohesionless)

Undrained shear strength for cohesive soils

Topography and Layer Thickness

Knowledge of topography and sediment thickness at the proposed anchor locations is

necessary for determining whether or not drag anchors can work at a given site. First,
topography is an indicator of seafloor material type. Irregular or rugged topography may
indicate outcropping of rock or hard strata or the existence of boulders or talus. Drag anchors
should not be expected to function well, if at all, at such sites. Second, topography indicates the
bottom slope gradient at the anchor location. An anchor being pulled downslope will have a
lower holding capacity than if it were pulled on a horizontal surface in the same soil. In lieu of
rational and definitive procedures, it is recommended that the siting of drag anchors be limited
to downslopes of no more than 10 and, where it is practical, to slopes of less than 5.
Topography is also important in the design of the total mooring system. Overall
topography may limit anchor placement locations, and affects the required lengths of the
mooring legs, the proportions of chain and wire rope in those mooring legs, mooring leg loads,
and allowable anchor displacements.
Sediment thickness data are necessary to determine that sufficient depth exists to
permit full anchor penetration to equilibrium depth, where the maximum holding capacity will
be developed. Drag anchors will penetrate to a depth of about one fluke length in dense sands
and to a depth of three to six fluke lengths in soft clays and silts (see Table 7.3-1). For less dense
sands penetration will be slightly more deep, and for stronger clays and silts the penetration will
be less deep than indicated on Table 7.3-1. This table can be used to gauge the depth to which a
site investigation is needed. The ratios for the larger drag anchors, for example, indicate
sediment thickness requirements of 15 to 20 feet in dense sands and 60 to 80 feet in the soft
clays and silts.
Techniques and equipment for obtaining the necessary soils data are discussed in
Chapter 2.

7-14

Table 7.3-1. Estimated Maximum Fluke Tip Penetration of Some Drag Anchor Types in Soil

Normalized Fluke Tip Penetration, (dt/L)max

Anchor Type

Cohesive Soils
(soft clays and silts)

Cohesionless Soils
(dense sands)

Stockless (movable fluke)

Stockless (fixed fluke)

Moorfast

4-

Offdrill
BOSS
BRUCE Cast
Danforth
LWT
STATO/NAVMOOR
STEVFIX
BRUCE Twin Shank
Hook
STEVMUD

7.3.3

Sediment Type and Strength

Data on sediment type (clay, silt, or sand) and consistency (soft or hard) are necessary
for selection of anchor type and for sizing. This information can sometimes be interpreted
directly from subbottom acoustic records by experienced personnel. But, more often, soil
samples are required for visual classification and index property testing (see Chapter 3).
In most instances, samples from short gravity corers will provide the necessary sediment
for determining classification and consistency data. Acoustic survey data will usually suffice to
characterize the sediments over the expected depth of penetration of the anchor, provided the
acoustic data show no significant sediment layering or changes over the planned drag path of
the anchor. In homogeneous soils, sediment parameters measured on the surficial samples can
be used to develop usable prediction of soil strength over the full anchor penetration depth.
In situations where the sediment stratigraphy is complicated, soil data may be required
from samples taken from deeper depths as, for example, in the following instances. Where a
thin 5- to 10-foot thick layer of soft soil overlies a hard layer, the anchor may drag in the soft
surficial material but be unable to penetrate into the underlying hard material. Drag anchors will
also have problems when a, thin 2- to 5-foot layer of sand overlies soft silt or clay. In this case,
the anchor fluke angle may have to be set for a sand bottom to initiate dig-in. However, the
anchor will not be able to develop a high holding capacity in the underlying soft material.
Soil samples of the entire soil profile to be penetrated will identify potential problems
such as these and help in selection of the most suitable drag anchor type and size.
7-15

7.3.4

Site Investigation Summary

Figure 7.3-1 presents a flow chart for developing a geotechnical site survey plan for drag
anchor design. It may be advantageous or necessary to accomplish some of the on-site tasks
according to a different schedule based on known site conditions or on the availability and cost
of the survey and positioning equipment and the vessel support.
TASK II
DETAIL SITE DATA AVAILABLE
1. TOPOGRAPHY
2. SEDIMENT TYPE AND CONSISTENCY
3 SEDIMENT LAYER THICKNESS
4. DEPTH TO IMPENETRABLE STRATA

TASK I
IDENTIFY MOORING SYSTEM
REQUIREMENTS
1. NUMBER OF MOORING LEGS
2. LOAD PER LEG

ARE THE
DATA SUFFICIENT FOR
SELECTION AND SIZING?
NO

I YES

!
IS AN
UNCOMPLICATED PROFILE
EXPECTED?

IYES

NO

TASK Ill
PHASE I SITE SURVEY
1. 3.5-KHZ ACOUSTIC SURVEY
FROM SURFACE
2. SURFICIAL SAMPLING BY
GRAVITY CORER

l
DATA SUFFICIENT TO DEVELOP
SOIL PROFILE TO 15FT FOR HARD
AND 60 FT FOR SOFT SEAFLOOR?
(IE, NO LAYERING PROBLEMS?)

IYES

NO

WHATISTHE
SURFICIAL SOIL CONSISTENCY?

I HARD

SOFT

TASKV
PHASE liB SITE SURVEY
1. MAY REQUIRE DEEP TOW 3.5-KHZ
ACOUSTIC SURVEY TO DELINEATE
IRREGULAR TOPOLOGY
2. LESS THAN 100FT OF WATER
VIBRACORER BEST;
OVER 100 FT OF WATER LARGE
GRAVITY PISTON CORER WITH
20-FT BARREL

TASK IV
PHASE IIA SITE SURVEY
1 DEEP TOW 3.5-KHZ
ACOUSTIC SURVEY
TO DELINEATE
IRREGULAR HARD
SURFACE TOPOLOGY
AND IRREGULAR
SURFICIAL SEDIMENT
LAYER THICKNESS
2. SAMPLING BY LARGE
GRAVITY PISTON
CORER

IDEVELOPTASKVI
I
SOIL PROFILE
Figure 7.3-1. Site survey plan decision flow chart.

7-16

7.4 SELECTING A DRAG ANCHOR

7.4.1

General
Designing an anchor system is a two-step process in which:

One or more drag anchor types are selected for use based on expected overall
performance, availability, and cost.

The selected anchor type is then sized to develop the required holding capacity.

To aid the anchor selection process, Table 7.4-1 rates common anchor types, based on
reports of field experience with prototype anchors and on test findings with small anchors.
Separate ratings are given for (1) tripping reliability and dig-in performance, (2) roll stability
during setting and dragging, and (3) holding capacity efficiency (the ratio of holding capacity
to anchor air weight). The anchors are rated as high, medium, or low for each category. Where
data on a particular anchor type are not complete, the ratings have been partly based on the
performance of geometrically similar anchor types.
7.4.2

Tripping and Penetration Performance

The ratings in Table 7.4-1 on tripping and dig-in performance are for anchors with fluke
angles set according to recommendations for cohesive soils (clays and silts) or cohesionless soils
(sand), respectively. (Mud palms are used for the STATO on soft clay.)
In soft clays, the tripping/dig-in rating is also a function of the installation method. If the
anchor is installed using two work platforms to keep the flukes open before touchdown as
shown in Figure 7.2-2, then most anchors will trip and dig-in properly. However, some anchors
with limited roll stability may still roll during setting and may pull out. Once back at the seafloor
surface the probability of anchor re-embedment would be small.
7.4.3

Stability Performance

The stability performance ratings presented in Table 7.4-1 are based on field tests
where the anchors were instrumented to measure roll (Refs. 7-11 and 7-17) or are based on
model tests in sand. Since the number of anchor tests used to rate stability is small and the
stability of an anchor is statistical in nature, the ratings should be treated as a best estimate.

7-17

Table 7.4-1. Rating of Drag Anchor Types Based on Tripping and Dig-In, Roll Stability, and Holding
Capacity Efficiency

Reliability or Holding Capacity in:

Cohesionless Soilsa
(sands)

Cohesive Soils
(clays and silts)

Anchor Type
Tripping/
Dig-In

Stability

Holding
Capacity

Tripping/
Dig-In

Stability

Holding
Capacity

Low

Medium

Low

High

Medium

Low

High

Medium

Low

High

High

Low

Medium

High

Medium

Medium

Medium

Low

Medium

High

Medium

Medium

Low

Low

Low

High

Medium

Medium

High

Medium

High

High

High

High

Moorfast

Medium

Medium

Medium

Medium

Medium

Medium

Offdrill II

Medium

Medium

Medium

Medium

Medium

Medium

Flipper Delta

Medium

Medium

STEVIN

Medium

Medium

STEVFIX

Low

Low

High

High

Medium

High

STEVPRIS

High

High

High

STEVDIG

High

Medium

High

STEVMUD

High

High

Boss

High

Medium

High

High

High

Hook

High

High

Medium

Medium

High

Medium

BRUCE Cast

High

High

Low

High

High

High

BRUCE Twin Shank

High

High

High

High

High

Stocklessb (movable fluke)

b

Stockless (fixed fluke)

G.S.
Danforth
LWT
d

STATO /NAVMOOR

Anchor fluke angle set at manufacturers recommendation for sand.

With stabilizers (ratings not as high without stabilizers).
c
Insufficient data available for rating.
d
Anchor fluke angle set at 30 deg for sand.
e
Anchor not normally used in this seafloor condition.
b

7.4.4

Holding Capacity Performance

The Table 7.4-1 holding capacity ratings are estimates based on the measured
performance of some of the anchor types in comparative field tests (Refs. 7-11 and 7-17) and on
the predicted performance for the other anchor types based on their geometric similarity to
7-18

those which were field tested. This presentation of drag anchor rating based on holding capacity
is highly generalized also because it is based on performance in two uncomplicated soil profiles.
These holding capacity ratings can be expected to change and become better defined as
technical understanding and the predictive capability regarding drag anchor performance
improve. These ratings can also be expected to vary for those soil profiles which are more
complex.
In soft soils (normally consolidated soft clays and silts), the STEVMUD, a specialized soft
soil anchor, has the highest holding-capacity-to-weight ratio. Next highest in developed holding
capacity efficiency are the streamlined, deep-digging anchors of substantial fluke area, including
the STATO, HOOK, BRUCE Twin Shank, and the STEVFIX anchors. Cast large anchors of the
Moorfast and Offdrill II type exhibit lower holding capacity efficiencies because they are less
streamlined and do not penetrate as deeply in the sediment profile, and because their fluke
areas per pound of steel are smaller.
In sand, the STEVFIX, STEVDIG, STEVPRIS, BRUCE (Cast and Twin Shank), BOSS, and
STATO anchors all perform quite well, with no significant differences apparent among them. The
cast, bilateral anchors of the Moorfast and Offdrill II type are projected as exhibiting good
holding capacities, but not as high as those developed by the anchors of newer design.
7.4.5

Selection of Anchor Type

Selection of the anchor type to be used for a given mooring should be based in large
part on the considerations previously discussed. The designer may wish to apply weighted
numerical ratings to the anchor types for each of the performance characteristics to provide a
score for each anchor type. The designer must also consider other very important factors of
(1) availability, (2) hardware purchase price, (3) transportation, (4) vessel space requirements,
and (5) handling ease.

7.5 SIZING A DRAG ANCHOR

7.5.1

Efficiency Ratio Method

The prediction of drag anchor capacities has traditionally been by empirical approaches.
That is, holding capacity is based on field experience with anchors. The most widely used of
these approaches is the simple efficiency ratio method. In this method, the anchors efficiency,
e, is defined as a ratio of the horizontal load resistance developed divided by the weight of the
anchor (also called the holding-capacity-to-weight ratio).

e=

HM
WA

(7-1)

7-19

where:
HM =

holding capacity (horizontal load resistance at the seafloor) [F]

WA =

weight of the anchor in air [F]

This method assumes that the drag anchor efficiency is a constant for a given soil type
over a wide range of anchor sizes (weights). It also assumes that the mooring leg is properly;
designed and the anchor is properly installed and the anchor is dragged the necessary distance
to develop its maximum holding capacity.
The efficiency ratio method remains widely used because of its simplicity and familiarity
within the user community. However, comprehensive field tests have shown that the method
may produce unsafe holding capacity predictions for large anchors. In these tests, the efficiency
was shown to decrease with Increasing anchor weight (Ref. 7-1). Therefore, if efficiency
constant was used to project anchor holding capacity for a larger anchor, the projection would
overpredict that capacity.
To develop the holding capacities predicted by Equation 7-1 or by the two anchor
holding capacity predictive techniques given in Sections 7.5.2 and 7.5.3, the mooring line
tension must be applied to the anchor system IN A DIRECTION PARALLEL TO THE SEAFLOOR. This
is accomplished, in a proper design, by using sufficient chain weight (sometimes accompanied
by a concrete sinker weight) in the mooring line leg to keep the chain angle zero even at the
highest load condition. In addition to this, an extra shot (90 feet) of heavy chain is often added
at the anchor end to ensure that some chain remains on the seafloor.
7.5.2

Power Law Method

The power law method is recommended for use as the best method for predicting the
holding capacity of drag-embedment anchors. It accounts for the nonlinear increase in holding
capacity with increasing anchor air weight (Ref. 7-1). This method produces a straight-line
relationship between anchor holding capacity and anchor weight on a log-log plot. The validity
of the power law method has been demonstrated in field tests (Refs. 7-16 and 7-18).
Expressed as an equation, the holding capacity in kips, HM, for large anchors is
determined by:

H M = m (Wa ) b

(7-2)

where:
m, b =
Wa

dimensionless parameters dependent on the anchor and soil type

anchor weight in air (kips) [F]
7-20

Equation 7-2 is only valid for large anchors weighing 200 pounds or more. Refer to
Section 7.5.2.1 for information on determining the holding capacity of anchors weighing less
than 200 pounds.
Anchor holding capacity field test data have been used to develop values for m and b
used in Equation 7-2. These data were obtained from 1950 NCEL testing of Navy Stockless,
STATO, and LWT anchors (Refs. 7-13, 7-19 through 7-22); from Exxon Production Research
testing of LWT and BOSS anchors (Refs. 7-16 and 7-18); from 1979-80 NCEL testing of Navy
Stockless, STATO, Moorfast, BRUCE, and STEVIN family anchors (Refs. 7-11 and 7-17); and from
some offshore industry tests. The test data and previous interpretations (Refs. 7-1, 7-16, and 718) have resulted in the values of m and b shown in Table 7.5-1 for a wide range of drag anchors
used in cohesive and cohesionless soils. Table 7.5-1 and Equation 7-2 can be used to predict the
holding capacity for large anchors (weight > 200 pounds). The mooring leg, which includes the
anchor, however, must be properly designed and the anchors must be properly installed. Figure
7.5-1 and Figure 7.5-2 are a graphical presentation of the data from Table 7.5-1 for cohesive
soils (clays and silts) and cohesionless soils (sands), respectively. It is noted that the curves for
the Flipper Delta anchors are not the result of field tests but have been estimated.
In Figure 7.5-1, the curves describe the holding capacity of drag anchors in normally
consolidated clays and cohesive silts. These curves were developed directly from measured
holding capacities. Note the difference in performance for the Stockless anchor with flukes in
both fixed and movable positions. The Stockless, with flukes left movable, will develop only half
the capacity of the anchor with flukes fixed at 50 in soft soils (Ref. 7-23).
Figure 7.5-2 presents an interpretation of data from field tests in several sand types.
Only one curve is used to describe the performance of an anchor type for all types and densities
of sands. A more accurate predictive scheme for these variations has not yet been developed.
While the holding capacity developed with a given anchor is expected to vary somewhat with
sand type and density, the relative capacities should remain about the same. The predictive
curves of Figure 7.5-2 are also believed applicable in very stiff to hard clays (i.e., in all hard
seafloors). In Table 7.5-1, parameters were assigned to some anchor types where data were not
available to develop curves. Based on geometric similarities, the Danforth, G.S., Offdrill II,
Flipper Delta, and STEVIN have each been assumed to behave like one of the other anchors
which were tested and to have similar values of holding capacity.
The power law method, as used here, includes both buried chain and anchor holding
capacity, but makes no separate accounting of anchor and chain contributions. The method
assumes that the chain size used is compatible with the holding capacity to be developed. Larger
chain sizes may develop somewhat higher holding capacities than those predicted by using
Table 7.5-1 (Ref. 7-23). The use of wire rope for the embedded portion of the mooring line,
despite the smaller projected area of comparable chain, is not expected to significantly reduce
anchor system holding capacity. The smaller diameter wire rope should allow the anchor to
penetrate deeper into stronger soils, and an increased anchor resistance at that depth is
expected to compensate for any reduction in resistance from the smaller mooring line.
7-21

Table 7.5-1. Parameters m and b Used in Equation 7-2: HM = m (Wa)b

Anchor Typea

Soft Clays and Mud

Stiff Clays and Sand

BOSS

24.1

0.94

31.0

0.94

BRUCE Cast

3.9

0.92

39.6

0.80

BRUCE Flat Fluke Twin Shank (FFTS)

30.0

0.92

34.4

0.94

BRUCE FFTS MK4

42.5

0.92

BRUCE Twin Shank

22.7

0.92

24.1

0.94

Danforth

10.5

0.92

20.0

0.80

Flipper Delta

16.7

0.92

G.S. (AC-14)

10.5

0.92

20.0

0.80

Hook

22.7

0.92

15.9

0.80

LWT

10.5

0.92

20.0

0.80

Moorfast

10.5

0.92

15.9

NAVMOOR

24.1

0.94

31.0

0.80

Offdrill II

10.5

0.92

15.9d

0.80

STATO

24.1

0.94

28.7e

0.94

STEVDIG

16.7

0.92

46.0

0.80

STEVFIX

22.7

0.92

46.0

0.80

STEVIN

16.7

0.92

26.2

0.80

0.8

STEVMUD

30.0

0.92

STEVPRIS MK3 (straight shank)

22.7

0.92

24.1

0.94

STEVPRIS MK5

42.5

0.92

Stockless (fixed fluke)

5.5

0.92

11.1

0.8

Stockless (movable fluke)

2.9

0.92

11.1g

0.8

Stockless (movable fluke)

7.0h

0.8

Fluke angles set for 50-deg in soft soils and per manufacturers specifications in hard soils,
except when otherwise noted.
b
b is an exponent constant in Equation 7-2 and not a footnote.
c
No data available.
d
For a 28-deg fluke angle.
e
For a 30-deg fluke angle.
f
Anchor not suitable for this seafloor condition.
g
For a 35-deg fluke angle.
h
For a 48-deg fluke angle.

7-22

 Anchor1 require special

handling to ensure fluke
tripping (possibly fixed
open flo)(es.}

Anchor Weight (kips}

Figure 7.5-1. Anchor chain system holding capacity at the mudline in soft soils.

7-23

All<hOf~ht (kips)

Figure 7.5-2. Anchor chain system holding capacity at the mudline in hard soils.

7-24

7.5.2.1 Holding Capacity for Small Anchors (Weighing Less Than 200-lb)
The holding capacity in kips, HM, of small anchors (anchor weight < 200-lb) is given by
Equation 7-3. In the equation, the anchor efficiency, e, is a dimensionless parameter that varies
considerably depending on the soil and anchor type. Table 7.5-2 (Ref. 7-24) lists some values of
e for small anchors.

H M = e (Wa )

(7-3)

where:
e

anchor efficiency, dimensionless

Wa

anchor weight in air (kips) [F]

Table 7.5-2. Average Anchor Efficiency for Small (< 200-lb) Anchors

Anchor Typea

Average Anchor Efficiency, e

Soft Clays and Mud

Stiff Clays and Sand

BRUCE

30

CQR Plow

10

40

Danforth

20-40

50-100

Fortress (Aluminum)

35; 50b

100-180

2-10

40

NAVMOOR 100

25

40-50

STATO 200

25

20; 30c

Stockless

2-3

5; 10d

LWT

Fluke angles set for 50-deg in soft soils and per manufacturers specifications in hard soils,
except when otherwise noted.
b
For a 45-deg fluke angle.
c
For a 28-deg fluke angle.
d
For a 35-deg fluke angle.

7.5.3

Analysis Based on Geotechnical Considerations

A complete method for the prediction of drag anchor holding capacity based on
geotechnical considerations is not presently available. The prediction of drag anchor and
mooring line penetration is beyond present analytical capability. However, recent work has
improved the ability to predict capacity based on geotechnical considerations for anchors
embedded in soft soils. The technique for calculating anchor holding capacity is presented here
for use with an established anchor, where the depth of penetration is known.
7-25

7.5.3.1 Calculations for Soft Cohesive Seafloors

Most soft cohesive seafloors, defined as mud or soft silt to clay size sediments, are
normally consolidated to slightly overconsolidated. Drag-embedment anchors will penetrate
deeply in these sediments. In this situation, the drag anchors can be expected to behave similar
to deeply embedded plate anchors.
Drag anchor flukes differ considerably in their plan shape. In order to adequately
describe the projected plan area of the different shapes, a correction factor is applied to the
anchor fluke dimensions. The holding capacity of a drag anchor is then expressed as:

H A = N c ( f B L) s u

(7-4)

where:
Nc =

a constant, depending on the failure mode around the anchor and on the
anchor geometry (see Table 7.5-3)

correction factor converting the rectangular area B x L to the actual projected

fluke area (see Table 7.5-3)

width of fluke (see Figure 7.1-5) [L]

length of fluke (see Figure 7.1-5) [L]

su =

undrained shear strength of cohesive soil at the center of area of anchor [F/L2]

Equation 7-4 does not provide a complete solution to the problem of designing a
mooring system because the depth of penetration of the drag anchor/chain system is beyond
present predictive capability (save for the estimates shown in Table 7.3-1). For established
anchors, where anchor penetration can be measured from a pendant line, Equation 7-4 can be
utilized for evaluating the holding capacity. Equation 7-4 predicts only the holding capacity
developed at the shank-to-mooring-line connection point. The section of mooring line
embedded in the seafloor by the penetrating drag anchor makes a significant contribution to the
anchor systems holding capacity. Based on available field data (Refs. 7-11 and 7-17), the
mooring line contribution, HC, in soft muds can be conservatively estimated to be 0.2HA (refer
to Section 5.3.3).
7.5.3.2 Considerations for Sands and Stiff Clays
Field measurements (Refs. 7-11, 7-17, and 7-25) show that drag anchors do not
penetrate deeply in sand and stiff clays. Often the maximum holding capacity occurs even
before the entire fluke is embedded. Presently, a predictive equation which uses geotechnical
considerations is not available.

7-26

Table 7.5-3. Parameters Nc and f used for Clays and Cohesive Silts in Equation 7-4: HA = Nc (f B L) su

Anchor Type
Stockless, fixed fluke

Nc

13.0

0.54

11

0.60

11

0.60

12

0.95

12

0.95

Offdrill II

12

0.95

STEVFIX

6.4

0.72

STEVMUD

6.8

0.77

Hook

6.2

0.80

BRUCE Cast

4.0

0.36

BRUCE Twin Shank

6.5

0.52

Danforth
LWT
STATO/NAVMOOR

Moorfast

a
b

7.5.4

Estimated values.
NAVMOOR has a configuration similar to that of the STATO anchor.

Factor of Safety

A general practice is to size the drag embedment anchor as the weaker link of a
mooring system. It is preferable to allow the anchor to drag instead of breaking the mooring
line. Anchor drag results in redistribution of the overstressed mooring line to its neighboring
lines and helps the mooring to survive in storms when environmental loads exceed the design
loads. The factors of safety for the mooring line and the drag embedment anchor are selected
separately as described below.
7.5.4.1 Mooring Lines
The American Petroleum Institute (Ref. 7-26) and American Bureau of Shipping (Ref. 7-27) recommend
limits of line tension and its equivalent factor of safety for mooring lines as listed in
Table 7.5-4. Note that in

Table 7.5-4, the following definitions are applied for the conditions:

Intact Condition: Condition in which all mooring lines are intact.

Damaged Condition: Condition in which the floating platform settles at a new

equilibrium position after a mooring line failure.

Transient Condition: Condition in which the floating platform is subjected to

transient motions (overshooting) after a mooring line failure before it settles at the
new equilibrium position.
7-27

Table 7.5-4. Recommended Line Tension Limits and Factor of Safety on Mooring Lines

Condition
Intact
Damaged
Transient

Analysis
Method

Tension Limit
(% of Break Strength)

Equivalent Factor of
Safety

Quasi-static

50

2.0

Dynamic

60

1.7

Quasi-static

70

1.4

Dynamic

80

1.3

Quasi-static

85

1.2

Dynamic

90

1.1

7.5.4.2 Drag Embedment Anchor

Factors of safety for drag embedment anchors are provided in Table 7.5-5 below (Refs.
7-4 and 7-27). Also note that the anchor chain system holding capacity curves shown in Figure
7.5-1 and Figure 7.5-2 do not include a factor of safety.
Table 7.5-5. Recommended Factors of Safety for Drag Embedment Anchors

Condition

Analysis Method

Factor of Safety

(a) Permanent Mooring

Intact
Damaged
Transient

Quasi-Static

1.8

Dynamic

1.5

Quasi-Static

1.2

Dynamic

1.0

Quasi-Static

Not Required

Dynamic

Not Required

(b) Temporary Mooring

Intact
Damaged
Transient

Quasi-Static

1.0

Dynamic

0.8

Quasi-Static

Not Required

Dynamic

Not Required

Quasi-Static

Not Required

Dynamic

Not Required
7-28

7.6 TROUBLESHOOTING
Section 7.5 offers techniques for predicting the potential holding capacity of dragembedment anchors, assuming proper penetration and stability of the drag anchor system.
Section 7.2 discussed the functioning of drag anchors and identified several penetration and
stability problems that could occur in the use of drag-embedment anchors. This section
summarizes these problems and potential solutions in a troubleshooting procedure. These are
outlined in Table 7.6-1.
Table 7.6-1. Troubleshooting Procedures for Correcting Drag Anchor Performance Problems

Troubleshooting Proceduresa for:

Problem
Failure to Initiate
Penetration

Failure to Develop
Expected Holding
Capacity

Cohesive Soils

Cohesionless Soils

1. Proper setting procedure

used?
2. Fix fluke in open position

1. Sharpen flukes
2. Reduce fluke angle to a
minimum 27 deg

3. Increase stabilizer length

3. Increase stabilizer length

4. Place barbs on tripping palms
5. Fix fluke open

1. Recover and clean; check for

balling up; clean up ball
2. Reset and soak 24 hours
3. Piggyback or change to larger
anchor

1. Increase stabilizer length

2. Reduce fluke angle to a
minimum 27 deg
3. Piggyback or change to larger
anchor

Troubleshooting procedures listed in order of recommended.

7.6.1

Soft Sediments

Drag anchors in soft seafloors may encounter (1) tripping problems, (2) instability
problems, or (3) inability to develop sufficient holding capacity without allowing for sediment
strength gain through anchor soaking. Figure 7.6-1 illustrates the effects of tripping and
instability problems on the line tension developed while setting an anchor. Failure to trip and
initiate penetration is suggested when line tension remains nearly constant at one-half to two
times the combined weight of the anchor and the amount of mooring line on the seabed (curve
(c) in Figure 7.6-1). Tripping problems are normally avoided by using a proper anchor setting
procedure (Figure 7.2-2). When limited support prevents use of this procedure, then correction
of a tripping problem requires fixing of the anchor fluke in its open position and, possibly, the
lengthening of stabilizers to help right the anchor (Figure 7.2-6b).
7-29

Instability problems are suggested by a rise in the line tension followed by a fall to the
failure-to-trip level (curve (b) in Figure 7.6-1). When the anchor behaves in this manner and
fails to develop adequate capacity, the anchor should be recovered and cleaned. In soft soils it is
likely that a mud ball has formed on the anchor flukes. In hard soils, the fluke angle should be
reduced. The anchor should be reset and dragged until the line tension approaches its prior
peak value. The line tension should then be slacked off and the anchor allowed to soak for 24
hours. If this delay is not possible or if, after soaking, the required line tension cannot be
developed, then an anchor of higher capacity will be required or the original anchor must be
piggybacked (Section 7.7).

Figure 7.6-1. Typical performance of drag anchors when operating properly and improperly.

7.6.2

Hard Sediments

Tripping, penetration, and instability problems can occur on hard seafloors (including all
sands, gravel, and hard clay). Tripping is enhanced by sharpening the fluke tips. Penetration or
dig-in is enhanced by reducing the fluke-to-shank angle to as small as 25 to 27 and increasing
the stabilizer length to keep the anchor from sliding on its side (Figure 7.2-3). In extreme cases,
barbs have been added to the tripping palms to increase the tripping moment, and flukes have
been fixed in the open position. On some hard surfaces (e.g., coral or weak rock) these
measures cited to initiate penetration will not suffice. Shaped charges have been used on these
surfaces to crush the material in front of the anchor and provide an area for fluke embedment.
The primary means for increasing anchor stability in hard seafloors is increasing the
stabilizer length. A decrease of the fluke angle to increase penetration has also proven beneficial
to stability. Should these steps fail in gaining the required line tension, larger anchors or
piggybacked anchors will be required. In extreme cases sufficient anchorage will require shifting
to use of a pile.
7-30

7.7 PIGGYBACKING
7.7.1

Field Practice

When an anchor will not develop the required capacity on being proof-loaded, it is
common practice to install a second anchor on the same mooring leg, in-line, and beyond the
first or primary anchor. This is called a piggyback anchor, and sometimes called a tandem or
backup anchor. The procedure for installing a piggyback anchor varies.
In the offshore oil industry, many contractors simply detach the existing pendant line
surface buoy from the pendant line wire rope of the first anchor (see Figure 7.7-1) and reattach
the line to a second anchor. The second anchor is then lowered and set by a second pendant
line, while the line to the first anchor is kept tightly stretched. Sometimes it is necessary to
retrieve the first anchor, attach a heavier wire rope to connect the two anchors, and set both
anchors in sequence. In some cases a chaser system (Figure 7.7-2) is used to install and recover
the primary anchors. When using a chaser system, the piggyback anchor is attached directly to
the chaser wire. In all of the above techniques, the primary anchor is dragged some short
distance to set it before the piggyback anchor is lowered. The Navy, working from available
anchor inventory, has found piggybacking necessary for high capacity permanent ship moorings.
Techniques for laying the mooring leg in water depths to 100 feet using a crane barge have been
demonstrated (Ref. 7-11).

7-31

Figure 7.7-1. A pendant line and buoy arrangement for semisubmersibles (Ref. 7-28).

Figure 7.7-2. Chain chaser used to assist anchor deployment and recovery.

7-32

7.7.2

Results and Field Problems

The results from piggybacking are strongly dependent on how the primary and
secondary anchors are attached to the mooring line. Pendant lines are usually attached to the
anchor at the back of the fluke where possible or at the crown end of the shank. This produces
mixed results, illustrated by Figure 7.7-3. With many anchors used in this arrangement, the line
tension from the piggyback anchor will cause rotation and breakout of the primary anchor (Ref.
7-29). With other anchors, this arrangement works fine and results in a piggyback system
capacity equal to or greater than the sum of the holding capacities of the two anchors loaded
separately (Ref. 7-30). Once dislodged, however, primary anchors with movable flukes and with
load applied directly to the anchor crown will not dig in again, but will slide with the flukes held
parallel to the shank by the line tension applied at the pendant padeye (Figure 7.7-3a). Navy
tests in sand and mud have shown that the procedure shown in Figure 7.7-3b is suitable
provided the inbound anchor is very stable (e.g., BRUCE, Hook, STATO, NAVMOOR) and anchor
flukes are prevented from closing up under load. Anchors whose center of fluke area is close to
the fluke-to-shank connection point (e.g., Danforth, LWT, STEVIN types, Flipper Delta) are less
stable anchors and are not appropriate for shank-to-crown piggyback connections.
For those anchors where the crown attachment (of the piggyback anchor) creates
problems, model tests have shown that primary anchor stability will not be significantly affected
when the line to the piggyback is attached to the shackle end of the shank of the primary anchor
(Figure 7.7-3c). The holding capacity of the anchors attached this way reached the sum of the
holding capacities of the individual anchors. This attachment technique should be used only
with fixed-fluke anchors to minimize potential for fouling of the second anchor wire or chain
with the primary anchor (Ref. 7-29). Parallel tandem anchor arrangements have been suggested
(Figure 7.7-4). Full-scale tests show that the anchors tend to come together, and that load
equalization between anchors is a problem (Ref. 7-21). Once the anchors do come together they
will foul and will not re-embed. If used in this manner, the parallel anchors should be staggered
by using different length chain legs to avoid anchor interference. Navy tests (Ref. 7-30) with
staggered anchors (separated by at least four fluke lengths) have shown system capacities 15 to
20% greater than the sum of the individual anchor capacities.

7-33

Figure 7.7-3. Tandem/piggyback anchor arrangements (Ref. 7-29).

7-34

Figure 7.7-4. Parallel anchor arrangements.

7.7.3

Recommended Practice

Careful placement of piggyback anchors is required so that orientation and stability are
properly controlled. Attachment of the piggyback anchor at the crown is proper when the
primary anchor is of the stabilized Stockless, Hook, STATO, or BRUCE type. Attachment of the
piggyback anchor at the shackle end of the primary anchor is proper when the primary anchor is
one of the other anchor types. The primary anchors should be set and be well-stabilized before
tension from the piggyback anchor is applied.

7-35

7.8 REFERENCES
7-1.

Unified Facilities Criteria (UFC): Military Harbors and Coastal Facilities, Naval Facilities
Engineering Command (Preparing Activity), UFC 4-150-06. Washington, DC, Dec 2001.

7-2.

Rules for the Design, Construction, and Inspection of Offshore Structures, Appendix E
of Hydrostatic Stability and Anchoring, Det Norske Veritas. Oslo, Norway, 1977.

7-3.

Rules for Building and Classing Mobile Offshore Drilling Units, American Bureau of
Shipping, ABS 6-2008. New York, NY, Oct 2008.

7-4.

API Recommended Practice for the Analysis of Spread Mooring Systems for Floating
Drilling Units, 2nd Edition, American Petroleum Institute, API RP 2P. Dallas, TX, May 1987.

7-5.

M.A. Childers. Spread Mooring Systems, in The Technology of Offshore Drilling,

Completion and Production, compiled by ETA Offshore Seminars, Inc. Tulsa, OK,
Petroleum Publishing Company, 1976, pp. 94-128.

7-6.

Deep Water Mooring - Parts I, II, III," Petroleum Engineer, Sep-Oct 1974 and May 1975.

7-7.

U.S. Navy Salvage Engineers Handbook Appendix G (Anchoring Systems), Naval Sea
Systems Command, S0300-A8-HBK-010. Washington, DC, May 1992.

7-8.

Vryhof Anchors. http://www.vryhof.com/. The Netherlands, 2010.

7-9.

The Bruce Anchor Group. http://www.bruceanchor.co.uk/. Isle of Man, England, 2010.

7-10.

Baldt, Inc. http://www.baldt.com/. Baldt, Chester, PA, 2010.

7-11.

R.J. Taylor. Conventional Anchor Test Results at San Diego and Indian Island, Civil
Engineering Laboratory, Technical Note N-1581. Port Hueneme, CA, Jul 1980.

7-12.

K.J. Saurwalt. Movements and Equilibrium of Anchors Holding on an Impervious Sea

Bed, Section I, Schip en Werf, Rotterdam, No. 9, 1971, pp. 627-634.

7-13.

R.C. Towne and J.V. Stalcup. New and Modified Anchors for Moorings, Naval Civil
Engineering Laboratory, Technical Report R-044. Port Hueneme, CA, Mar 1960.

7-14.

B. Watt Associates. A Method for Predicting Drag Anchor Holding Capacity, Contractor
Report CR 83.036 to Naval Civil Engineering Laboratory, Port Hueneme, CA, Aug 1983.

7-15.

Naval Civil Engineering Laboratory. The NAVMOOR Anchor NCEL Technical Data
Sheet, (87-05), Port Hueneme, CA, 1987.

7-36

7-16.

R.W. Beck. Anchor Performance Tests, in Proceedings of the Offshore Technology

Conference, Houston, TX, 1972, pp. 268-276.

7-17.

R.J. Taylor. Test Data Summary for Commercially Available Drag Embedment Anchors,
Civil Engineering Laboratory. Port Hueneme, CA, Jun 1980.

7-18.

M.W. Cole and R.W. Beck. Small-Anchor Tests to Predict Full Scale Holding Power,
Society of Petroleum Engineers, SPE 2637, 1969.

7-19.

R.C. Towne and J.V. Stalcup. Tests of BUSHIPS Anchors in Mud and Sand Bottoms. Naval
Civil Engineering Laboratory, Technical Note N-195. Port Hueneme, CA, Aug 1954.

7-20.

R.C. Towne. Test of Anchors and Ground Tackle Design, Naval Civil Engineering
Laboratory, Technical Memorandum M-066. Port Hueneme, CA, Jun 1953.

7-21.

R.C. Towne and J.V. Stalcup. Tests of Moorings and Ground Tackle Design in Mud
Bottom, Naval Civil Engineering Laboratory, Technical Memorandum M-097. Port
Hueneme, CA, Dec 1954.

7-22.

R.C. Towne. Mooring Anchors, paper presented at the Annual Meeting, The Society of
Naval Architects and Marine Engineers, New York, NY, 1959.

7-23.

R.J. Taylor. Performance of Conventional Anchors, in Proceedings of the Offshore

Technology Conference, Houston, TX, 1981, pp. 363-372.

7-24.

Naval Facilities Engineering Command, Conventional Underwater Construction and

Repair Techniques, NAVFAC P-990, Section 2.8.1, Alexandria, VA, May 1995.

7-25.

I. Foss, T. Kvalstad, and T. Ridley. Sea Bed Anchorages for Floating Offshore Structures,
FIP Commission on Sea Structures, Working Group on Foundations, Feb 1980.

7-26.

API Design and Analysis of Stationkeeping Systems for Floating structures, 3rd Edition,
American Petroleum Institute, API RP 2SK. Dallas, TX, May 2008.

7-27.

Guide for Building and Classing Floating Production Installations, American Bureau of
Shipping, ABS 82-2009. New York, NY, Apr 2010.

7-28.

P.G.S. Dove. Methods in Anchor Handling, Offshore, Mar 1980, pp. 114-128.

7-29.

P.J. Klaren. Anchors in Tandem or the Use of Back-Up Anchors (Piggybacks), Holland
Shipbuilding, Anker Advies Bureau, pp. 230-232.

7-30.

R.J. Taylor and G.R. Walker. Model and Small-Scale Tests to Evaluate the Performance of
Drag Anchors in Combination, Naval Civil Engineering Laboratory, Technical Note N1707. Port Hueneme, CA, Oct 1984.
7-37

7.9 SYMBOLS
B

Width of anchor fluke [L]

An exponent constant in the holding capacity predictive relationship; value varies with
anchor/soil combination (Table 7.5-1)

dt

Depth of penetration of the fluke tip [L]

Efficiency of drag anchor system, based on anchor air weight

Correction factor converting the rectangular area BxL to the actual projected fluke area

HA

Drag anchor holding capacity (without chain contribution) [F]

HC

Contribution of embedded chain to holding capacity of drag anchor system [F]

HM

Holding capacity of drag anchor system, anchor plus chain [F]

HR

Holding capacity of 10,000-lb air weight version of the reference anchor, WA [F]

A constant in anchor holding capacity predictive equation for sands; value varies with
crown embedment, soil friction angle and effective weight, and anchor shape [F/L3]

Length of anchor fluke [L]

Nc

A constant in anchor holding capacity predictive equation for clays; varies with anchor
geometry

su

Undrained shear strength of soil [F/L2]

WA

Air weight of anchor (does not include chain weight) [F]

Angle between fluke and shank of drag anchor [deg]

7-38

8 PENETRATION OF OBJECTS INTO THE SEAFLOOR

8.1 INTRODUCTION
8.1.1

Purpose

This chapter presents techniques for predicting the depth of penetration of objects
pushed into or impacting on sediments found in the deep ocean. The techniques presented can
also be used to predict the force required to push an object to a specified depth within the
seafloor and to predict the sediment-related forces acting on a rapidly moving object after it
impacts the seafloor surface.
8.1.2

Scope

8.1.2.1 Seafloor Types

Techniques presented here are limited in application to seafloors of unlithified
sediments (i.e., the terrigenous and pelagic clays and silts, sands, and deep sea oozes). Special
techniques, not covered here, are required to predict penetrations in lithified sediments, coral,
basalt, and other rock types. These special techniques are highly empirical and are normally
limited in application to a particular projectile (Ref. 8-1). A limited discussion on penetration of
plate anchors in coral and rock is given in Chapter 6.
8.1.2.2 Penetrator Types
The prediction techniques used are applicable to objects of all shapes and sizes, ranging
from long streamlined objects such as instrumented penetrometers, free-fall corers, and
propellant-embedded anchor flukes, to large blunt objects such as gravity anchors, structure
bearing pads, and ship hulls.
8.1.2.3 Penetrator Velocities
The techniques presented are applicable for penetration velocities from near zero
(normally called static penetration) to 400 ft/s. This encompasses the full velocity range
expected in Navy deep ocean applications.

8-1

8.2 STATIC PENETRATION

8.2.1

Application

The term static penetration identifies a category of soil penetration events in which
the objects penetration velocity on impact with the seafloor is less than 3 ft/s. Note that when
an object impacts the seafloor at a slow downward velocity, such as 3 ft/s, its velocity will
decrease substantially as some of its momentum is transferred to a block of soil beneath it, but
the overall effect on penetration will not be significant because the total momentum and frontal
geometry are essentially unchanged. For these slow velocities, fluid drag force in the water at
the time of impact, soil strain rate, and inertia factors have negligible influence on penetration.
This static problem is adequately treated by conventional pier and pile bearing capacity
methods. Objects in this category are footings, structure bearing pads, mud mats, raft
foundations, gravity anchors, spud cans, jacked piles for offshore platforms, and many bottomresting devices used to test for properties of seafloor sediments.
8.2.2

Approach

Traditionally, the static penetration problem is subdivided into shallow and deep
sediment penetration cases, as defined by the ratio of an objects penetration depth to its
diameter (or minimum lateral dimension if not circular), z/B. In shallow penetration, this ratio is
less than 2.5. As an expedient, the shallow condition may be treated as a conventional bearing
capacity problem with the influence of friction on the sides of the penetrator set equal to zero
(Refs. 8-2 and 8-3) (see Section 8.2.3 and Figure 8.2-1 and 8.2-2). This causes the penetration
resistance (bearing capacity) to be under-predicted, which is conservative where adequate
bearing capacity must be ensured, and non-conservative when adequate penetration depth is
the objective.
In deep penetration (i.e., where z/B 2.5), the influence of side friction on the
penetrator becomes substantial and must be included in computations. More accurate
estimates for shallow penetration, as well as deep penetration, are obtained by using the more
complicated full universal relationship presented in the next section.

8-2

Figure 8.2-1. Shallow static penetration model (Refs. 8-2 and 8-3).

8.2.3

Method for Predicting Static Penetration

8.2.3.1 Descriptive Equations

Static penetration, both shallow and deep, is analyzed using the same fundamental
bearing capacity relationships appearing in Chapter 4 (Section 4.3.2). However, for
penetration a concentric vertical load, a horizontal object base with no skirts, and a flat soil
medium are assumed, so the relationships are substantially simplified. Accordingly, the
maximum bearing capacity is:

Q=
At (qc + qq + q ) + P H s ua + b zavg tan
u
St

where:
At =

penetrator base area = B L (rectangular), or B2/4 (circular) [L2]

qc =

bearing capacity stress for cohesion = suz Nc sc dc [F/L2]

qq =

bearing capacity stress for overburden = b z [1 + (Nq sq dq -1) fz] [F/L2]

8-3

(8-1)

q =

bearing capacity stress for friction = b (B/2) N s d fz [F/L2]

fz

depth attenuation factor for the frictional portion of bearing capacity stress, to
extend the formulation to any footing depth, as described in Chapter 4, Section
4.3.2.6, Equation 4-24

base perimeter = 2B + 2L (rectangular) or B (circular) [L]

Hs =

side soil contact height = min (z, H) [L]

sua =

undrained shear strength averaged over the side soil contact zone [F/L2]

St =

soil sensitivity = ratio of undisturbed to remolded strength

b =

buoyant unit weight of soil above the foundation base [F/L3]

zavg =

average depth over side soil contact zone = [z + max(0, z H)] [L]

=
=
=

effective friction angle alongside the footing [deg]

5 deg for rough-sided footings,
0
for smooth-sided footings or where the soil is greatly disturbed

soil friction angle ( = u for undrained case; = for drained case) [deg]

suz =

undrained shear strength averaged over the base influence zone (normally to a
depth 0.7B below the footing base) [F/L2]

depth of embedment of foundation [L]

base diameter, or minimum of base plan dimensions [L]

base diameter, or maximum of base plan dimensions [L]

H =

base block height [L]

Nc, Nq, N = bearing capacity factors (Chapter 4, Section 4.3.2.4)

sc, sq, s = bearing capacity correction factors for base shape (Chapter 4, Section 4.3.2.5)
dc, dq, d = bearing capacity correction factors for base depth (Chapter 4, Section 4.3.2.5)

For cohesive soils (e.g., clays, muds, fine silts), the resistance to penetration in the short
term is described by the simplified relationship:

s
=
Q
At ( su N c '+ b z ) + PH s ua
u
St

(8-2)

8-4

where:

Df

1 B 2
Nc ' =
N c sc d c =
[(2 + )] 1 +
1 +
arctan
2 + L 2 +
B

In the long term, Equation 8-1 may be used with long-term cohesive soil properties.
However, cohesive soils almost always become stronger under the action of long-term
downward loads, so long-term bearing capacity in cohesive soils is almost invariably predicted to
be greater than short-term, and long-term penetration in cohesive soils is almost invariably
predicted to go no further than short-term.
For cohesionless soils (e.g., coarse silts, sands, and gravels, which are considered to
behave as fully drained and therefore the same for short-term and long-term), the resistance to
penetration is described by the simplified relationship given in Equation 8-3:

Q=
At b [ z{1 + ( N q sq d q 1) f z } + 0.5BN s d f z ] + P H s ( b zavg tan )
u

(8-3)

The bearing capacity correction factors for depth, dc and dq, and the depth attenuation
factor, fz, used in Equations 8-1 through 8-3, are functions of the depth of penetration, z (the
factor d is constant, equal to 1). To determine the maximum depth of penetration of an object
subject to a given force, the applicable equation must be solved by trial-and-error. An assumed
depth is entered into the equation, and it is solved to find the corresponding resisting forces at
that penetration. If the resistance forces are smaller than the penetration force, then a deeper
penetration is assumed, and the forces are recalculated.
Because the solution is actually trial-and-error, it is often useful to use an iterative
approach. This is done by selecting a depth increment and then increasing this increment each
time the resistance forces are calculated. In making these calculations, it is helpful to take the
assumed penetration depth, z, and corresponding penetration resistance, Qu, of each calculation
set and develop a plot of z versus Qu. Then, knowing the force available to cause object
penetration, the expected depth of penetration can be obtained from the plotted curve.
Otherwise, the expected depth can be determined from direct interpolation between the values
of Qu higher and lower than the driving force.
If the ratio z/B is small, the P Hs term in Equations 8-1 through 8-3 may be ignored
the value of St may be considered high and the value of will be nearly zero because of the high
degree of soil disturbance alongside the footing base caused by penetration. However, in the
case that the ratio z/B exceeds approximately 2.5, or at shallower depths when environment or
installation conditions may have caused the side adhesion or frictional contact to be restored,
the soil shear stress on the sides of the object must be considered in the calculation. A flow
chart of the calculation process is given in Figure 8.2-2.
8-5

NO

DETE~~NE

USE ~~THODFORDYN~~C
PENETRATION, SECTION 83

OBJECT CHARACTERISTICS
L, B, A., Wb

OBTAIN SOILP~~TERS

(COHESIVE) Su, Yb, t1

(COHESIONLESS) ~' Yb
SELECT DEPTH INCRa~NT t:.z
INIT:IATE i = 0, z = 0
i=i+I
Z; = i (t:.z)

VALUES FOR
EQUATION S-I A,~1

DETE~~NE

VALUES FOR
FULL EQUATION 8-1

DETE~NE

P~~TERS

P~~TERS

(AS NECESSARY)

(AS NECESSARY)

COMPUTE Qu
(AT Z;)

COHESIVE
EQ 8-2
COHESIONLESS EQ 8-3

IS THE
RESISTANCE
LARGER THAN THE
ENETRATING FORCE?
Qu>Wb + Fd
(ATZ;)

PENETRATE ONE MORE

DEPTH INCRE~~NT t:.z

COMPUTE Qu
(AT Z;)

NO

>------------'

YES
OBTAIN ACTUALzFROM
DATA INTERPOLATION

Figure 8.2-2. Flow chart of the calculation procedure for predicting static penetration.

8-6

8.2.3.2 Influence of Penetrator Shape

Tapered or rounded penetrators that present an increasing width and area during
penetration should have this increasing area considered at each new calculation. The increasing
area affects the bearing force, not only directly through the increased bearing area, but also by
changing the ratio, z/B, determining the bearing capacity factors.
The penetrator nose shape also influences the shape of the soil failure zone mobilized to
resist the penetration. For blunt objects, the soil zone governing the penetration performance
reaches a depth of one object width or diameter below the bearing surface. The average of the
soil strength values, su, over a depth interval of B below z is used in the bearing capacity
equation (Figure 8.2-3a). For tapered objects, such as the conical-pointed spud cans on some
offshore jack-up platforms, su is determined over a depth, B, measured from the bottom of the
cylindrical or full section (Ref. 8-3) as shown in Figure 8.2-3b, rather than from below the point
of tip penetration.

Figure 8.2-3. Location of the critical shear strength zone B for blunt
and conical penetrators (Ref. 8-3).

8-7

8.2.3.3 Strength Parameter Selection

Methods for the development of a soil strength profile for undrained shear strength, su,
and effective stress strength parameters, c and , are given in Chapters 2 and 3. These methods
are applicable to the penetration problem when dealing with relatively uniform deposits of clays
or sands. However, deep uniform sand deposits are not found often in the deep sea
environment. Those sands that do occur are normally the lower portions of turbidite layers and
have inter-bedded layers of graded silt to clay sized soil. For such complex sediment profiles,
present technology is not sufficiently developed to describe the penetration phenomena. Given
the present state-of-the-art, such complex profiles should be treated as cohesive soil when
excess penetration is of primary concern and as cohesionless soil when inadequate penetration
is the primary concern.
8.2.3.4 Prediction Accuracy
Some field data are available to examine the accuracy of Equation 8-2 in predicting
penetration. Equation 8-1 was used to predict the penetration of spud cans for offshore jack-up
platforms (Ref. 8-3) in clay. Out of 120 sets of data, 70% of the predictions were found to be
within 25% of the measured penetrations. No prediction was less than 50% of the measured
value, and only five predictions exceeded the measured value by more than 50% (Ref. 8-3).
Penetration predictions in sand, however, will be considerably less accurate due to difficulties in
obtaining accurate in-situ soil strength parameter data in cohesionless soils.
8.2.3.5 Skirt Penetration Prediction
Skirt penetration is treated by the same relationships (Equations 8-1 through 8-3) as
object penetration in general. Skirts are generally relatively long, narrow and deep, so it is
important to make a full accounting of the effects of shear stresses on the side surfaces. As skirt
penetration is a short-term process, in is not necessary to consider long-term soil properties in
skirt penetration calculations.

8.3 DYNAMIC PENETRATION

8.3.1

Application

The methods presented in this section are used to predict the penetration of objects
entering the seafloor at velocities of 3 ft/s and greater. Examples of objects that undergo
dynamic penetration are: objects being lowered rapidly or free falling to the seafloor, such as
gravity anchors and ship hulls; other free-falling objects, such as gravity corers and
penetrometers; and objects propelled at higher speeds than terminal free-fall velocities, such as

8-8

propellant-embedded anchor plates. These methods are applicable to cohesive soils, and to
granular soils in a more limited sense as discussed in Sections 8.3.3.2 and 8.3.3.7
8.3.2

Approach

The technique presented here predicts both total penetrations and decelerating forces
versus depth. Early versions of this technique (Refs. 8-4, 8-5, and 8-6) have been modified (Refs.
8-7 and 8-8) to adapt the technique to velocities up to 400 ft/s.
The approach is basically the same as that used for static penetration prediction, but is
extended to account for strain rate effects on the soil shear strength, remolding of the soil on
the sides of the penetrator, and transition effects in passing from the overlying fluid drag regime
into the soil penetration regime.
An iterative procedure is used for the solution of the dynamic penetration problem
because the resisting force terms for nose bearing, side friction, and hydraulic drag, as well as
the driving kinetic energy term, are velocity dependent. The procedure is to step the penetrator
into the soil in equal finite depth increments or layers (z). Resisting soil and hydrodynamic
forces are calculated: on the basis of the entry velocity and the soil properties for each step. The
energy lost by the penetrator in overcoming the first layer resistance forces is calculated and
subtracted from the penetrator kinetic energy on entering the underlying layer. The kinetic
energy remaining with the penetrator and its reduced velocity are used for computations on
penetrating the second layer. The calculation is repeated for each successive layer until the
kinetic energy of the penetrator has been consumed and its velocity reaches zero. The depth at
zero velocity is the predicted penetration depth.
The distance penetrated at each step (z) must be assigned prior to beginning the
calculations. It is suggested that z be assigned by dividing an expected (guessed) total
penetration into approximately 10 equal increments.
8.3.3

Method for Predicting Dynamic Penetration

8.3.3.1 Forces Acting on the Penetrator

The forces acting on an object penetrating at moderate velocity deep in a soil mass are
shown in Figure 8.3-1. The net downward force after full object entry into the soil at distance zi
is given by Equation 8-4:

Fi = Fdi + Wbi Qni Fsi Fhi

(8-4)

where:
Fi

= net downward force exerted by the penetrator [F]

Fdi = external driving force, if any (e.g., rocket motor) [F]

8-9

Wbi = penetrator buoyant weight [F]

Qni = tip or nose bearing resistance [F] (see Section 8.3.3.2)
Fsi

= side friction or adhesion [F] (see Section 8.3.3.3)

Fhi = fluid drag force [F] (see Section 8.3.3.5)

subscript i = ith increment of soil depth
Two of these forces, Fdi and Wbi, are driving the penetrator into the soil mass. The other
three, Qni, and Fsi, and Fhi, are resisting that penetration.

Figure 8.3-1. Forces acting on a penetrator before and after contact with the seafloor.

8-10

8.3.3.2 Nose Resistance

The tip or nose bearing resistance force for the ith layer, Qni, is obtained using Equation
8-5:

Qni = sui (nose) S N ti At

(8-5)

ei

where:
sui (nose) =

soil undrained shear strength at a depth 0.35B below z, averaged over ith
increment of penetration [F/L2]

S i =

strain rate factor (see Section 8.3.3.4)

At =

end area of penetrator (the effective bearing surface) [L2]

Nti =

dimensionless nose resistance factor (see Equation 8-6)

In Equation 8-5, the dimensionless nose resistance factor, Nti, is determined by Equation
8-6. Note that the maximum Nti = 9.9.

1 B 2
N ti =
Nc ' =
N c sc d c =
[(2 + )] 1 +
1 +
2 + L 2 +

D f

arctan

(8-6)

The term sui in Equation 8-5 represents the undrained shear strength of sands as well as
clays. Dynamic penetration in sands is rapid enough to be considered undergoing an undrained
type of shear failure. When sands are sheared during a dynamic penetration event, the pore
water does not have time to flow, and failure occurs when either the sand grains are crushed or
cavitation of the pore water occurs. The forces required to do this are large and hence the
undrained shear strength is high (e.g., on an order of magnitude of 20 to 200 psi). A method for
obtaining the undrained shear strength of a sand can be found in Reference 8-9 (it is a difficult
property to measure). The undrained shear strength is related to the critical confining stress by
Equation 8-7:

( N 1)
sui = cr

(8-7)

where:
cr

= critical confining stress [F/L2] Dr 1.7 20,000 psf

N =
Dr

[tan(/4 + /2)]2 and is in radians

= fractional relative density (b 56.5 pcf)/11.5 pcf

8-11

8.3.3.3 Side Friction

The side friction or adhesion force in the ith layer, Fsi, is obtained from Equation 8-8
(Ref. 8-7). Note that this computation assumes no separation between the soil and the side of
the object being penetrated during penetration.

s ( side)
Fsi = ui
S Asi
S ti e i

(8-8)

where:
Sti =

soil sensitivity or ratio of undisturbed undrained shear strength to

remolded undrained shear strength (obtained normally from soils testing)

Asi =

side soil contact area of the penetrator when nose is at zi [L2]

sui (side) =

soil undrained shear strength averaged over the length of the penetrator
in contact with the soil [F/L2]

8.3.3.4 Strain Rate Factor

Cohesive soil undrained shear strength increases with an increase in the rate of strain.
This increase may be as high as a factor of 5.0 when soil shears in response to a rapidly
penetrating object (Refs. 8-6 and 8-10). This is more commonly referred to as the strain rate
effect on shear strength. A somewhat cumbersome formulation (given in Equation 8-9), based
on a best fit to penetration test data (Refs. 8-7 and 8-8), has been developed for calculating the
strain rate factors Si :

S =
ei

1 + [C vi /( sui De ) + Co ]0.5

(8-9)

Note that the strain rate factor has a minimum value of Si = 1. Also, in Equation 8-9,
S *

maximum strain rate factor, from Table 8.3-1

empirical strain rate coefficient, from Table 8.3-1 [FT/L2]

vi

velocity at depth zi [F/L]

Co

empirical strain rate constant, from Table 8.3-1

sui

soil undrained shear strength equal to sui(nose) or sui(side), depending on

which of these that Si is modifying [F/L2]

De

equivalent diameter of penetrator as determined by Equation 8-10 [L]

8-12

De = (4 At / ) 0.5

(8-10)

The appropriate values of S*, C, and Co to use in Equation 8-9 are specified in Table
8.3-1, as are the conditions of their use. In Table 8.3-1, long cylindrical penetrators are
categorized separately from all other object shapes. This simple geometric shape has a large
side surface area in comparison to its frontal area and lends itself better to this predictive
technique (see Section 8.3.3.7).
Table 8.3-1. Values of Constants Used in Equation 8-9

Parameter Value

Condition for Use in

Rapid Penetration Problems

S *

C
(lb-sec/ft2)

Co

Problems with long, cylindrical penetrators

(Ref. 8-8)

0.11

All other object shapes where inadequate

penetration is of concern (Ref. 8-11)

10

0.25

All other object shapes where excess penetration

is of primary concern (Ref. 8-11)

40

1.0

8.3.3.5 Fluid Drag Force

The fluid drag force acting on a penetrator while moving through water is assumed to
continue to exist as it moves through the soil. The fluid drag force is calculated as:

Fhi = (0.5) C D At (vi ) 2

(8-11)

where:
CD

dimensionless fluid drag coefficient (the same as that in seawater)

mass density of the soil, the fluid being accelerated [FT2/L4]

vi

penetrator velocity after penetrating the ith layer [F/L]

Values for CD values are best obtained, where possible, by back figuring from measured
terminal velocities in water. In absence of measurements, use CD values from a hydrodynamics
reference (e.g., Ref. 8-12).

8-13

8.3.3.6 Method of Solution

An iterative process is used for the solution of penetration problems because the major
resisting force terms (Qni, Fsi, and Fhi) are velocity or depth dependent, requiring the input of
new values with penetrator travel. The net downward force is an inertial force related to the
deceleration of the penetrator and can be obtained from the following modification of Newton's
second law (modified to eliminate the parameter time):

Fi = M vi (dv / dz )

(8-12)

where:
= penetrator mass [FT2/L]

dv/dz = instantaneous change in velocity [L/T]

For making incremental calculations, dv/dz is replaced with (2v)/(2z). The double
increments are used to minimize deviations in the prediction caused by minor errors in the
assumed penetration velocity (Ref. 8-7). Then, after reorganization of terms:

2v =

2 z Fi

M vi

(8-13)

The new velocity for the (i + 1)th increment is given by Equation 8-14:

vi +1 = vi 1 + 2vi

(8-14)

To begin the incremental calculations, the velocity, v1, at the end of the first increment
of seabed penetration, z1, must be generated. An approximation for v1 can be obtained from:

v1 = v0 + (1 / v0 )[(z / M )( Fd .5 + Wb.5 Qn.5 F s.5 Fh.5 )]

(8-15)

where:
v0

initial penetrator velocity on entering the seafloor [F/L]

Fd.5, Wb.5, Qn.5, Fs.5, Fh.5 = initial estimates of the respective force values based on
conditions at mid-depth in the first layer of penetration [F]

8-14

This approximation for v1 is then used to calculate Fd1, Wb1, Qn1, Fs1 and Fh1. At this
point, all the forces necessary to calculate the net downward force have been determined. The
first iteration for values of Fi, 2z, and vi+1 can then be completed (Equations 8-11, 8-13, and 814). Note that for these calculations, the shear strength at z = zi is applied to obtain changes
from z = zi1 to z = zi+1 , so it is not necessary to use average shear strength over the 2z depth
change. Subsequent iterations are made by recalculating Fdi, Wdi, Qni, Fsi, and Fhi for the next
increment of penetration. When the computation for vi+1 produces a negative velocity, the
iterative procedure is completed. A flow chart for this procedure is shown in Figure 8.3-2. The
maximum penetration of the object is then obtained by interpolating between the last two
velocity values as follows:

vi

z = z i + z

v
v
i +1
i

(8-16)

8.3.3.7 Prediction Accuracy

The dynamic penetration prediction technique provides reasonable penetration
estimates for long slender penetrators in cohesive sediments, such as hemipelagic and pelagic
clays and in fine silts. This is true because the predictive technique uses empirical data (S*, C,
and Co) from field tests with penetrators of this shape in soils of these types. For differently
shaped penetrators and for penetration in sands and other noncohesive materials, the accuracy
will not be as good. Little field data exist for object penetration into these granular sediments
and for their in-situ properties. In addition, the undrained shear strength developed during the
rapid penetration is a very difficult parameter to obtain. Prediction of penetration in oozes is
particularly difficult. In foraminiferal oozes, limited data suggest this method will underpredict
penetration possibly by as much as a factor of two (Ref. 8-13).
Penetration of the Navy's Doppler penetrometer, a long slender penetrometer shape, in
various seafloors is compared with in-situ conditions in Reference 8-13.

8-15

NO

DETERMINE OBJECT CHARACTERISTICS

H, B , D , A 'D A,, Wb, M , v, C 0

TABLE8.3-1

USE METHOD FOR STATIC

PENETRATION, SECTION 8.2

OBTAlN SOILPARAMETERS
Su, st, p, se, ce, Co

SELECT DEPTH INCREMENT t>.z

INITIALIZE ITERATIVE VALVES

i = 0, z = 0 , vo = v

ESTABLISH STARTUP VALUES

i; = 0.5, z = i(fll), F d_j, w b_j, Nu, S._;(nose), S._;(nose},

Qn_ 5, A5_5, S._;(side),s._5(side), s._ 5(side), F5_5, FH v1

(PENETRATE ONE MORE

DEPTH INCREMENT L'.z)

EQUA TIONS8-5, 8-6,8-9

EQUATIONS 8-8, 8-9

EQUATION 8-11

EQUATION8-4

EQUATIONS8-13, 8-14

EQUATION8-16

Figure 8.3-2. Flow chart of the calculation procedure for predicting dynamic penetration.

8-16

8.4 EXAMPLE PROBLEMS

8.4.1

Problem 1 Slow Penetration of a Long Cylinder

8.4.1.1 Problem Statement

Determine how deep into the seafloor a cylinder will penetrate after being slowly
lowered to the bottom.
Data: An electric power source (EPS) is to be lowered to a specific seafloor location at a
speed of 2 ft/s. An estimation of the depth of static penetration z is required to verify that
cooling water intakes remain above the mudline and to provide input data for calculating lateral
stability and breakout load. The EPS container is 4 feet in diameter by 12 feet high and weighs
20 kips in seawater. The sediment at the site is a pelagic clay. Soil properties at the site have
been determined from a 40-foot piston core. A schematic diagram for this problem and the
results of laboratory testing for soil shear strength and density are shown in Figure 8.4-1.
8.4.1.2 Problem Solution
The analytical procedures and computations used to solve this problem are shown
below. They follow the procedure outlined in Section 8.2 and summarized by the flowchart in
Figure 8.2-3. Because the installation is immediate (but still static), the expedient (conservative
when excessive penetration is a concern) form of Equation 8-2 is used for shallow trial depths
less than 2.5 times the diameter. Note: It is helpful to keep track of calculated values in tabular
form. This is shown for Problem 1 in Table 8.4-1.

Figure 8.4-1. Problem sketch and soils data for example Problem 1.

8-17

Problem 8.4-1
ANALYTICAL PROCEDURES
1. Is this a case of static penetration?

COMPUTATIONS
YES, vo = 2 ft/sec < 3 ft/sec

Is vo < 3 ft/sec?
2. Determine object characteristics.

H = 12 ft

H (known)

B = 4 ft

B (known)

At = (3.14)(4 ft)2/4 = 12.6 ft2

At = (B2)/4
Wb (known)
Fd (known)

Wb = 20,000 lb
Fd = 0

3. Obtain soil profiles for su and b.

Profiles are shown in Figure 8.4-1(b) for su and

b. b is equal to (t 64 pcf).

4. Select depth increment z.

z = 2.0 ft (a round number for convenience)

5. Calculate embedment depth:

z1 = (1)(2.0 ft) = 2.0 ft

z1 = (1)z
6. Is this a case of shallow penetration?

YES, z1/B = 2 ft / 4.0 ft = 0.5

Is z/B < 2.5?

7. Determine values for:
suz averaged over z1 to 0.7B below z1
(same as at depth 0.35 B below z1)
from Figure 8.4-1(b)
ba averaged over 0 to z1 (from
Figure 8.4-1(b))
Nc' at z1 (from Equation 8-2) (Nc' must not
exceed 9.9)

@ z1,

z + 0.35B = 2 ft + 0.35(4 ft) = 3.4 ft

suz @ 3.4 ft

= (1 + 3.4/30) psi (144 psf/psi)

= 160.3 psf

b @ 0 ft = [85 + 0.31(0)] pcf 64 pcf

= 21.0 pcf
ba = 21.0 pcf + (0.31 pcf/ft)(2 ft/2) = 21.3 pcf
Nc' = (2+)[1 + (4 ft/4 ft) / (2+)]
[1 + 2 arctan(2 ft / 4 ft) / (2+)]
= 7.25

8-18

Problem 8.4-1
ANALYTICAL PROCEDURES

COMPUTATIONS

8. Calculate Qu, the resistance to penetration

at z = 2.0 ft (from Equation 8-2 with no
side shear stress).

Qu = 12.6 ft2 [(160.3 psf)(7.25)

+ (21.3 pcf)(2.0 ft)] = 15,140 lb

Qu = At(suz Nc' + b z)
NO.

9. Does Qu exceed the driving forces?

Is Qu > Wb + Fd ?

Wb +Fd = 20,000 lb + 0 = 20,000 lb > 15,140 lb

10. Continue iterative process. Increase the

assumed penetration by z.

z1 = 2z = (2)(2.0 ft) = 4.0 ft

11. Is this still shallow penetration?

YES, z/B = 4.0 ft / 4.0 ft = 1.0 < 2.5

Repeat steps 6 through 10 for z2 = 4 ft

z2 + 0.35B = 4 ft + 0.35 (4 ft) = 5.4 ft

Calculate su at depth B/2 below z averaged

over 0 to z2

su @ 5.4 ft = (1 + 5.4/30) psi (144 psf/psi)

= 169.9 psf

Calculate b averaged over 0 to z2.

ba = 21.0 pcf + (0.31 pcf/ft)(4 ft / 2) = 21.6 pcf

Calculate Nc' at z2.

Nc' = (2+) [1 + (4 ft / 4 ft)/(2+)]

[1 + 2 arctan(4 ft/4 ft) / (2+)] = 8.0

Calculate Qu at z2.
Is Qu > Wb + Fd ?

Qu = (12.6 ft2)[(163.2 psf)(8.0)

+ (21.6 pcf)(4.0 ft)] = 18,210 lb
NO, Wb + Fd > Qu (Wb + Fd remains 20,000 lb)

12. Repeat steps 6 through 10 for z3 = 6 ft.

Is Qu > Wb + Fd ?

z3 + 0.35B = 6 ft + 0.35 (4 ft) = 7.4 ft

su @ 7.4 ft = 179.5 psf
ba = 21.0 pcf + (0.31 pcf/ft)(6 ft / 2) = 21.9 pcf
Nc' = 8.5
Qu = 20,810 lb
YES, Qu > Wb + Fd. Therefore, the predicted
penetration falls between 4 and 6 ft.

8-19

Problem 8.4-1
ANALYTICAL PROCEDURES

COMPUTATIONS

13. Actual penetration can be obtained by

direct interpolation of the last two
iterations or, graphically, from a plot of all
the developed Qu values (see Figure 8.4-2).

The predicted penetration is equal to 5.4 ft

(from Figure 8.4-2).

SUMMARY
The cooling water intakes are 10 ft above the EPS base. Therefore, they should be 4.6 ft above
the seafloor (10 ft 5.4 ft = 4.6 ft). Because the EPS is considered a very important installation,
great care should be taken that the lowering speed at impact is as slow as possible. A more
rapid lowering could add a dynamic force component and increase penetration.

Table 8.4-1. Summary of Calculations for Problem 1

z
(ft)

z + 0.35B
(ft)

Effective suz
(psf)

Average b
(pcf)

Nc '

Qu
(lb)

3.4

160.3

21.3

7.2

15,140

5.4

169.9

21.6

8.0

18,210

7.4

179.5

21.9

8.5

20,810

20

25

Resistance to Penetration, Qu (klb)

0

10

15

EPS Depth Below Seafloor (ft)

5
Interpolated depth for 20 klb load = 5.4
6

Figure 8.4-2. Plot of predicted soil resistance to EPS penetration.

8-20

8.4.2

Problem 2 Rapid Penetration of a Long Cylinder

8.4.2.1 Problem Statement

Determine how deep into the seafloor a large long cylinder will penetrate if it falls to the
seafloor at terminal velocity.
Data: The electric power source (EPS) in Problem 1 was being lowered to the seafloor
when the lowering line was severed. The EPS could not be located after falling to the seafloor. In
order to decide whether to attempt a recovery or to abandon or destroy the device, the depth
of its penetration into the seafloor needs to be estimated. The EPS is suspected to have hit the
seafloor in the same orientation in which it was being lowered due to a concentrated mass at its
lower end and drag from the severed lowering line. The terminal velocity and drag coefficient
for this orientation have been calculated as 40 ft/s and 1.0, respectively. The soil properties are
the same as those shown in Figure 8.4-1b. A schematic diagram for this problem is shown in
Figure 8.4-3.

Figure 8.4-3. Sketch for example Problem 2.

8-21

8.4.2.2 Problem Solution

The analytical procedures and computations used to solve this problem are shown
below. They follow the procedures outlined in Section 8.3 and summarized by the flowchart in
Figure 8.3-2.
Problem 8.4-2
ANALYTICAL PROCEDURES
1. Is this a case of dynamic penetration?

COMPUTATIONS
YES, vo = 40 ft/sec

Is vo > 3 ft/sec?
2. Determine object characteristics.

H = 12 ft

H (known)

B = 4 ft D = 4.0 ft

B (known)

At = (3.14)(4 ft)2/4 = 12.6 ft2

At = ( B2)/4
As = B z
Wb (known)
M = (dry weight)/32.2 fps2
V (known)
CD (known)

As = (3.14)(4 ft) z = 12.6 (z) ft2

Wb = 20,000 lb
(Assume dry weight = Wb + weight of water
displaced by the near-cylindrical EPS)
EPS Volume At (12 ft) = 151 ft3
Water Weight (64 pcf)(151 ft3) = 9600 lb
Dry Weight Wb + 9600 lb = 29,660 lb
M = (29,660 lb) / (32.2 fps2) = 921 slugs
v = 40 fps
CD = 1.0

8-22

Problem 8.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS

3. Obtain soil parameters:

su from Figure 8.4-1b

su (known)

St = 2 (from Figure 8.4-1b)

St (known)

(It was seen from Problem 1 that t varied little

with depth. Therefore, say t = t at 5 ft)

= (t) / (32.2 fps2)

= [85 + 0.31(5)] pcf / (32.2 fps2)

= 2.69 slugs/ft3

S *, C , C o (from Table 8.3-1)

e

S * = 4.0
e

C = 4 lb-sec/ft2
e

Co = 0.11
4. Select depth increment, z (a round
number to limit computations to about 10
iterations).

(Constants for a long

cylindrical penetrator)

Assume a maximum penetration depth (20 ft)

z = (20 ft)/(10) = 2 ft

z = (assumed penetration)/(10)
5. Initialize values: i = 0, z0 = 0, v0 = v

v0 = 40 fps

6. Begin computations to estimate v1 based

on conditions at the mid-depth of the first
increment:

i = 0.5
z0.5 = 0.5 (2 ft) = 1 ft

Increase i:
i = 0.5
zi = i (z)
7. Compute Fd.5

Fd.5 = 0 (no external driving force)

8-23

Problem 8.4-2
ANALYTICAL PROCEDURES
8. Compute Wb.5 @ z1/2
(from Figure 8.4-1b)
Wb.5 = Wb (displaced soil weight)
= Wb b.5(avg @ z0.5)( z0.5)()(B2)/4

COMPUTATIONS
b @ 0 ft = t 64 pcf = 85 pcf 64 pcf
= 21.0 pcf
b.5(avg @ z0.5) = b @ (z0.5/2) = b @ (1 ft /2)
= 21.0 pcf + (0.31 pcf/ft)(1 ft / 2)
= 21.2 pcf
Wb.5 = 20,000 lb (21.2 pcf)(1 ft)()(4 ft)2/4
= 19,730 lb

9. Compute Qn.5 (Equation 8-5).

Qn.5 = su .5 (nose) S N t .5 At
e0

su.5(nose) (using Figure 8.4-1b)

S (Equation 8-9 using v0)
e .5

su(nose) @ z1/2 = su @ (1 ft+0.35 B)

= su @ 2.4 ft
su @ 2.4 ft = (1 + 2.4/30) psi = 155.5 psf
S =
e .5

S *
e

1 + [C v0 /( su .5 B) + Co ] 0.5
e

Nt.5 (Equation 8-6)

S =
e .5

4
(4lb s / ft )(40 fps)

1 +
+ 0.11
(155.5 psf )(4 ft )

0.5

= 1.51

Nt.5 = (2+) [1 + (B/L) / (2+)]

[1 + 2 arctan(z0.5/2/B) / (2+)]
= (2+) [1 + (4 ft /4 ft) / (2+)]
[1 + 2 arctan(1 ft /4 ft) / (2+)]
= 6.73
Qn.5 = (155.5 psf)(1.51)(6.73)(12.6 ft2)
= 19,840 lb

8-24

Problem 8.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS
su.5(side) = su (avg @ z0.5) = su @ (z0.5/2)
= [1 + (1 ft /2)/30 ft] psi = 146.4 psf

10. Compute Fs.5 (Equation 8-8).

Fs.5 = [ su .5 ( side) / S t .5 ] S Asi

e .5

S =

su.5(side) (using Figure 8.4-1b @ z0.5/2)

e .5

S.5 (Equation 8-9. Uses the same values as

in Step 8 except where su.5(side) is
substituted for su.5(nose)).
2

(4lb s / ft )(40 fps )

1 +
+ 0.11

(146.4 psf )(4 ft )

2

0.5

= 1.53

As.5 = (12.6 ft)(1.0 ft) = 12.6 ft2

Fs.5 = (146.4 psf /2)(1.53)(12.6 ft2) = 1,410 lb

As.5 = 12.6(z0.5) ft

Fh.5 0.5(1.0)(2.69 slugs/ft3)(12.6 ft2)(40 ft/s)2

27,040 lb

11. Estimate Fh.5 using v0 (Equation 8-11).

Fh.5 = (0.5)CD At (v0)2

v1 = 40 ft/s + (1/40 ft/s)[(2 ft/921 slugs)

(0 + 19,730 lb 19,840 lb 1,410 lb
27,040 lb)] = 40 ft/s 1.55 ft/s
= 38.45 ft/s

12. Estimate the velocity v1 (Equation 8-15).

v1 = v0 + (1/v0)[(z/M)(Fd.5 + Wb.5 Qn.5
Fs.5 Fh.5)]
13. Begin computations for the double
velocity increment 2v1 based on
conditions at z1 , the mid-depth of the first
double depth increment, and the value of
v1 from step 12. Continue repeating from
Step 21 back to this step , using the
succeeding values of vi from step 21, until
vi+1 < 0:

i =1
z1 = 1 (2 ft) = 2 ft

Increase i:
i =1
zi = i (z)
14. Compute Fd1.

Fd1 = 0 (no external driving force)

8-25

Problem 8.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS
b1(avg @ z1) = b @ (z1/2)
= 21.0 pcf + (0.31 pcf/ft)(2 ft / 2)
= 21.3 pcf

15. Compute Wb1@ z1 from Figure 8.4-1b.

Wb1 = Wb (displaced soil weight)
= Wb b1(avg @ z1)()(B2)/4

Wb1 = 20,000 lb (21.3 pcf)(2 ft)()(4 ft)2/4

= 19,460 lb
su(nose) @ z1 = su @ (2 ft + 0.35 B) = su @ 3.4 ft

16. Compute Qn1 (Equation 8-5).

Qn1 = su1 (nose) S N t1 At

su @ 3.4 ft = (1 + 3.4/30) psi = 160.3 psf

su1(nose) (using Figure 8.4-1b)

S =

e1

e1

S1 (Equation 8-9, using v1 estimated in

step 12)

4
(4lb s / ft )(38.45 ft / s )

+ 0.11
1 +
(
160
.
3
)(
4
)
psf
ft

0.5

= 1.49

Nt1 = (2+) [1 + (B/L) / (2+)]

[1 + 2 arctan(z/B) / (2+)]
= (2+) [1 + (4 ft /4 ft) / (2+)]
[1 + 2 arctan(2 ft /4 ft) / (2+)]
= 7.25

Nt1 (Equation 8-6)

Qn1 = (160.3 psf)(1.49)(7.25)(12.6 ft2)

= 21,710 lb
17. Compute Fs1 (Equation 8-8).

su1(side) = su (avg @ z1) = su @ (z1/2)

= [1 + (2 ft / 2) /30 ft] psi = 148.8 psf

Fs1 = [ su1 ( side) / S t1 ] S As1

e1

S =

su1(side) (using Figure 8.4-1b)

e1

S1 (Equation 8-9. Uses the same values as

in step 8 except where su1(side) is
substituted for su1(nose))

4
(4lb s / ft )(38.45 ft / s )

+ 0.11
1 +
(
148
.
8
)(
4
)
psf
ft

Fh1 = (0.5)CD At (v1)2

= 1.51

As = (12.6 ft)(2.0 ft) = 25.1 ft2

Fs1 = (148.8 psf / 2)(1.51)(25.1 ft2) = 2,830 lb

As = 12.6(z) ft2
18. Compute Fh1 (Equation 8-11).

0.5

Fh1 = 0.5(1.0)(2.69 slugs/ft3)(12.6 ft2)

(38.45 ft/s)2
= 24,990 lb

8-26

Problem 8.4-2
ANALYTICAL PROCEDURES
19. Compute F1 (Equation 8-4).
F1 = Fd1 + Wb1 Qn1 Fs1 Fh1
20. Compute the double velocity increment
2v1 (Equation 8-13).
2v1 = (2z/M)(F1/v1)
21. Compute v2, the velocity for the next
iteration (Equation 8-14).

COMPUTATIONS
F1 = 0 + 19,460 lb 21,710 lb 2,830 lb
24,990 lb
= - 30,060 lb
2v1 = [(2)(2.0 ft)/921 slugs]
(-30,140 lb / 38.45 ft/s)
= -3.40 ft/s
v2 = v0 + 2v1 = 40 ft/s + (-3.40 ft/s)
= 36.60 ft/s

vi+1 = vi-1 + 2v1

22. This is the end of the first iteration. If a table is being kept of the computed values (such as
Table 8.4-2), the values should be entered. For the second iteration, steps 13 through 21 are
repeated using v2 and applicable values for a nose penetration of 4.0 ft. These steps
summarized below.

8-27

Problem 8.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS

(Repeat steps 13 through 21)

z = 2(2 ft) = 4 ft

i = i +1 = (1 + 1) = 2

Fd2 = 0

zi = i (z)

b2(avg @ z2) = b @ (z2/2) = 21.0 pcf +

(0.31 pcf/ft)(4 ft /2) = 21.6 pcf

Fd2

Wb2 = 20,000 lb (21.6 pcf)(4 ft)()(4 ft)2/4

= 18,910 lb

Wb2 = Wb b2(avg @ z2)(z)()(D2)/4

Qn 2 = su 2 (nose) S N t 2 At

su2(nose) = su @ 5.4 ft = (1 + 5.4/30) psi

=169.9 psf

e2

S =
e2

S *
e

1 + [C v1 /( su 2 D) +C o ] 0.5

S =

e2

D f
1 B 2
N t 2 = (2 + ) 1 +
1 +
arctan

+
L
+

2
2

4
(4lb s / ft )(36.60 ft / s)

+ 0.11
1 +
(169.9 psf )(4 ft )

0.5

= 1.45

Fs 2 = [ su 2 ( side) / S t 2 ] S As

Nt2 = (2+) [1 + 0.2(4 ft /4 ft) / (2+)]

[1 + 2 arctan(4 ft /4 ft) / (2+)] = 8.0

As2 = 12.6(z) ft2

Qn2 = 169.9 psf (1.45)(8.0)(12.6 ft2) = 24,880 lb

Fh2 = (0.5)CD At (v2)2

su2(side) = su (avg @ z2) = su @ (z2 /2)

= [1 + (4 ft / 2) /30 ft] psi = 153.6 psf

e2

F2 = Fd2 + Wb2 Qn2 Fs2 Fh2

2v2 = (2z/M)(F2/v2)
v3 = v1 + 2v2

St2 = 2
S =
e2

4
(4lb s / ft 2 )(36.60 ft / s )

+ 0.11
1 +
(153.6 psf )(4 ft )

0.5

= 1.48

As2 = (12.6 ft)(4.0 ft) = 50.3 ft2

Fs2 = (153.6 psf/2)(1.48)(50.3 ft2) = 5,730 lb
Fh2 = (0.5)(1.0)(2.69 slugs)(12.6 ft2)(36.60 fps)2
= 22,650 lb
F2 = 0 + 18,910 lb 24,880 lb 5,730 lb
22,650 lb = -34,340 lb
2v2 = [2(2.0 ft)/921 slugs]
(-34,340 lb/36.30 fps) = -4.07 fps
v3 = 38.45 fps + (-4.07 fps) = 34.38 fps
8-28

Problem 8.4-2
ANALYTICAL PROCEDURES

COMPUTATIONS
SUMMARY

This is the end of the second iteration. Repeating steps 13 through 21 is continued until the
value of vi+1 obtained in step 21 becomes negative. Calculations made during subsequent
iterations are not shown. The values obtained are shown in Table 8.4-2.
On the tenth iteraton, the EPS has a small negative velocity. The calculation for 2vi on the
eleventh iteration produces a large positive number because that calculation blows up at a
velocity near zero. (Note that in other cases for which the next-to-last iteration produces a
small positive velocity, the calculation for 2vi produces a large negative number.)
Interpolation between velocity values for the ninth and tenth iterations using Equation 8-16
shows the maximum value of penetration to be 19.7 ft. (It is only coincidence that this is
nearly the same as the assumed penetration used in Step 4).
CONCLUSION: It is likely the EPS has completely penetrated into the seafloor and lies buried
under about 8 ft of soil.

Table 8.4-2. Summary of Calculations for Problem 2

i
z
(-)
(ft)
0
1
1
2
2
4
3
6
4
8
5
10
6
12
7
14
8
16
9
18
10
20
interp 19.73

v
(fps)
40.00
38.45
36.60
34.38
31.87
28.93
25.60
21.61
16.76
10.17
-1.59

bavg
(pcf)
21.2
21.3
21.6
21.9
22.2
22.6
22.9
23.2
23.5
23.8
24.1

Wb
(lb)
19,734
19,464
18,913
18,347
17,764
17,166
16,553
15,924
15,279
14,619
13,943

s unose
(psf)
155.5
160.3
169.9
179.5
189.1
198.7
208.3
217.9
227.5
237.1
246.7

S e.nose
(-)
1.51
1.49
1.45
1.42
1.38
1.34
1.30
1.26
1.20
1.12
0.97

N'
(-)
6.73
7.25
8.02
8.49
8.79
8.99
9.13
9.23
9.31
9.37
9.42

Qn
(lb)
19,842
21,711
24,876
27,153
28,854
30,138
31,104
31,726
31,937
31,398
28,448

8-29

s uside
(psf)
146.4
148.8
153.6
158.4
163.2
168
172.8
177.6
182.4
187.2
192

S e.side
(-)
1.53
1.51
1.48
1.46
1.42
1.39
1.35
1.30
1.24
1.15
0.97

As
(ft2)
12.6
25.1
50.3
75.4
100.5
125.7
150.8
175.9
201.1
226.2
251.3

Fs
(lb)
1,407
2,825
5,731
8,690
11,678
14,649
17,558
20,304
22,739
24,426
23,336

Fh
(lb)
27,043
24,987
22,647
19,972
17,168
14,149
11,077
7,891
4,746
1,747
43

2v
F
(lb)
(fps)
---30,059 -3.40
-34,340 -4.07
-37,469 -4.73
-39,935 -5.44
-41,770 -6.27
-43,187 -7.33
-43,997 -8.84
-44,142 -11.44
-42,952 -18.35
-37,883 103.27

8.5 REFERENCES
8-1.

J.F. Wadsworth III and R.M. Beard. Propellant-Embedded Anchors: Prediction of Holding
Capacity in Coral and Rock Seafloors, Civil Engineering Laboratory, Technical Note N1595. Port Hueneme, CA, Nov 1980.

8-2.

K. Terzaghi. Theoretical Soil Mechanics. New York, NY, John Wiley and Sons, 1943.

8-3.

J.P. Gemenhardt and J.A. Focht Jr. Theoretical and Observed Performance of Mobile Rig
Footings on Clay, in Proceedings of the Offshore Technology Conference, Houston, TX,
1970. (Paper 1201).

8-4.

W.E. Schmid. The Penetration of Objects into the Ocean Bottom, in Civil Engineering in
the Oceans II. New York, NY, American Society of Civil Engineers, 1970, pp. 167-208.

8-5.

R.J. Smith. Techniques for Predicting Sea Floor Penetration, U.S. Naval Post Graduate
School. Monterey, CA, Jun 1969.

8-6.

H.J. Migliore and H.J. Lee. Seafloor Penetration Tests: Presentation and Analysis of
Results, Naval Civil Engineering Laboratory, Technical Note N-1178. Port Hueneme, CA,
Aug 1971, p. 59.

8-7.

D.G. True. Undrained Vertical Penetration into Ocean Bottom Soils, Ph.D. Thesis,
University of California, Berkeley. Berkeley, CA, 1976.

8-8.

D.G. True. Penetration of Projectiles into Seafloor Soils, Civil Engineering Laboratory,
Technical Report R-822. Port Hueneme, CA, May 1975, p. 45.

8-9.

H.B. Seed and K. L. Lee. Undrained Strength Characteristics of Cohesionless Soils,

Journal of the Soil Mechanics and Foundations Division, American Society of Civil
Engineers, Vol. 93, No. SM6, Nov 1967.

8-10.

U. Dayal, J.H. Allen, and J.M. Jones. Use of the Impact Penetrometer for the Evaluation
of the In Situ Strength of Marine Sediments, Marine Geotechnology, Vol. 1, No. 2,
1975, pp. 73-89.

8-11.

D.G. True. Personal communication, Dec 1982.

8-12.

S.F. Hoerner. Fluid Dynamics Drag. Brecktown, NJ, Hoerner, 1965.

8-13.

R.M. Beard. Expendable Doppler Penetrometer for Deep Ocean Sediment Strength
Measurements, Naval Civil Engineering Laboratory, Technical Report R-905. Port
Hueneme, CA, Feb 1984.
8-30

8.6 SYMBOLS
As

Side area of penetrator in contact with soil [L2]

At

End area of penetrator (the effective bearing surface) [L2]

Base diameter, or minimum of base plan dimensions [L]

CD

Fluid drag coefficient

Empirical strain rate coefficient [FT/L2]

Co

Empirical strain rate constant

Effective soil cohesion [F/L2]

De

Equivalent diameter of penetrator [L]

Dr

Fractional relative density

dc,dq,d Correction factor for depth of base embedment

F

Net downward force on penetrator [F]

Fd

External driving force on penetrator [F]

Fh

Fluid drag force on penetrator [F]

Fi

Net downward force exerted by the penetrator [F]

Fs

Side friction or adhesion force on the penetrator [F]

fz

Attenuation factor for bearing capacity stress due to friction at depth

Base block height [L]

Hs

side soil contact height = min (z, H) [L]

ith increment of soil depth

Base diameter, or maximum of base plan dimensions [L]

Penetrator mass [FT2/L]

Nc, Nq, N, N

Bearing capacity factors

Nc'

Bearing capacity factor for static penetration in cohesive soils

Nt

Nose resistance factor

Base perimeter = 2B + 2L [L]

Qn

Nose resistance during dynamic penetration [F]

Qu

Net resistance to (static) penetration [F]

qc

Standard cone penetration resistance [F/L2]

qq

Bearing capacity stress for overburden [F/L2]

Bearing capacity stress for friction [F/L2]

Strain rate factor

S *

Maximum strain rate factor

8-31

St

Soil shear strength sensitivity

sc,sq,s Correction factors for shape of base

su

Soil undrained shear strength [F/L2]

sua

Undrained shear strength averaged over the side soil contact zone [F/L2]

suz

Undrained shear strength averaged over the base influence zone [F/L2]

Penetrator velocity [L/T]

v0

Penetrator velocity at soil contact [L/T]

Wb

Buoyant unit weight of penetrator [F]

Depth of embedment of foundation [L]

zavg

Average depth over side soil contact zone = [z + max(0, z H)] [L]

Incremental change in penetration [L]

Soil buoyant unit weight [F/L2]

Effective friction angle alongside the footing [deg]

Mass density of the material being accelerated [FT2/L4]

cr

Critical confining pressure [F/L2]

Soil friction angle [deg]

Effective or drained friction angle [deg]

Undrained friction angle of cohesionless soil [deg]

8-32

9 BREAKOUT OF OBJECTS FROM THE SEAFLOOR

9.1 INTRODUCTION
Planning for the removal of objects embedded in or resting on the seafloor requires
determination of the breakout force. If immediate breakout is needed, the immediate breakout
force can be estimated. Alternatively, if the immediate breakout force is higher than the
available lifting capacity, the time required to achieve breakout can be estimated for a specified
force. Also, the force required to achieve breakout can be estimated for a specified duration.
The force-time prediction is highly inaccurate due to the complex nature of the breakout
process and uncertainties resulting from soil embedment, and object variations. Immediate
breakout (the initial condition, which causes the largest force) is addressed in this chapter as
well as extended-term breakout (which occurs at a reduced force).
The total force required to achieve breakout of an object from the seafloor includes the
buoyant weight of the object and the soil-generated breakout resistance force. The buoyant
weight is the submerged weight of the object, which equals the weight in air less the weight of
water displaced by the object. Note: All forces discussed in this chapter are static forces;
dynamics due to sea state or other causes are not considered.
9.1.1

Applications

The determination of breakout force is key in two general situations: (1) where retrieval
is desired, and (2) where it is desired that the object remain in place. The more common of the
two cases is the retrieval of objects embedded in the seafloor. These objects may include
sunken ships, submarines, airplanes, weapons, previously placed instrumentation packages, or
foundations for seafloor structures. The goal in planning the retrieval operation is to predict
and provide sufficient lifting force for immediate breakout, or to determine an adequate
amount of time for the application of a lower force to cause breakout. A conservative estimate
for this operation is the upper limit on the force or time required for breakout to occur. This
upper limit is based on multiplying the best estimated breakout force by a factor of two, and is
described in Section 9.4.
The second type of breakout situation involves objects that are expected to remain in
place and not become dislodged from the seafloor. An example would be a foundation which
could experience an uplift force in excess of its underwater weight. For this application, a
conservative estimate for breakout is the lower force limit. That is, the object is expected to
remain in place if no uplift forces are exerted in excess of this value. The lower force limit is
based on dividing the best estimated breakout force by a factor of two; however this application
is not described further in this chapter. The procedures presented for evaluating the problem
and determining values for breakout force or time for breakout are outlined in Figure 9.1-1.
9-1

OtTERWINE OtiJECT

CHARACTERISTICS

v, . A.B. O. l . W1

BRE:OUT TIME USING lESS

THAN IWIIIEOIATE 8REAI<OVT

FORCES
(SEC110Ni~

OETERIIIINE REQUIRED I..E\IEl

OF CONFIDENCE N<ION'f'LY
CONfiOENCE FACTOR

USE BREAI(OVT AIDS TO

'"

lCM'ER \,ORF .. JIOTE-IT

MAYBE POSS'EilE TOSREAI(
OBJECT OUT W1TH U MITEO

F,. ORU

Figure 9.1-1. Breakout analysis flowchart.

9-2

9.1.2

Definitions

The following definitions are used throughout this chapter. Figure 9.1-2 presents a
graphical representation of some of the terms.
9.1.2.1 Breakout Force
The soil breakout resistance force, herein referred to as breakout force, is the resistance
of the soil to removal of an object from the seafloor. The breakout force includes a base suction
force, side adhesive or frictional force, and the buoyant weight of any soil adhering to or lifted
with the object. Of these, the base suction force normally provides the largest component of
the breakout force.
9.1.2.2 Recovery Line Force
The recovery line force is the sum of the breakout force and the object's buoyant
weight, less the displaced soil buoyant weight. The recovery line force is defined at the lift point
on the object.
9.1.2.3 Immediate Breakout
Immediate breakout is achieved within seconds or minutes after application of the
recovery line force, without time for any significant drainage of pore water or associated relief
of the base suction force (not to be confused with the length of time after object placement or
installation).
Note: "Suction" here means that the force is applied downward to the base of the
object as it is lifted. More precisely, when breakout occurs, it does so by soil shear failure and/or
water flow, but not by overcoming the (almost always much greater) limiting suction which is
defined by the ambient hydrostatic pressure.

9-3

Figure 9.1-2. Illustration of breakout forces.

9.2

GENERAL CONCEPTS

An object cannot be lifted from the seafloor unless either water or soil moves into the
space occupied by the object. Whether breakout occurs as a result of soil or water flow depends
on time, soil permeability (the rate at which water flows through the soil), soil strength, and
object to soil contact. An uplift force in excess of object weight will induce pore water pressure
changes in the soil around the object. These will diminish with time as water flows to dissipate
the negative pore pressures.
In high permeability cohesionless soils (sand and gravel), water flow is rapid; thus, the
suction force dissipates rapidly and is commonly ignored. In low permeability cohesive soils (silt
and clay), water flow will be slow. Because of the slow water flow, waiting for the suction force
to dissipate is unreasonable for an expeditious recovery operation. For immediate breakout in
cohesive soil, soil will be pulled into the space vacated by the object. This soil flow is akin to a
bearing capacity type failure in reverse.
Typically, breakout occurs via some combination of water flow and soil flow. Once the
object starts to move and soil flow initiates, flow channels can form. Flow channels may be
preexisting when an object rests on a more competent seafloor, where contact between the
base of the object and the (not perfectly flat) seafloor is not established over the entire base
surface. These channels serve to rapidly reduce the suction force, thereby accelerating
9-4

breakout. As reducing the suction force at the object base is the key to achieving breakout,
several of the breakout force mitigation techniques suggested in Section 9.6 of this chapter are
designed to speed water flow to the base of the object.
In Section 9.4, procedures are described for determining the maximum suction force
and the soil strength upon which it directly depends. These procedures apply to cohesive soils
only, as suction forces disappear almost immediately because of rapid pore pressure dissipation
in the more permeable cohesionless soils (sandy soils).
In Section 9.5, a procedure is described for determining the time to breakout if a force
less than the immediate breakout force is applied. This procedure only applies to objects that
are embedded up to one times their width. The force-time prediction is highly inaccurate due to
the complex nature of the breakout process and uncertainties resulting from soil embedment,
and object variations.

9.3

SETTLEMENT AND BREAKOUT FORCE PREDICTIONS

9.3.1

Settlement Relationships

Immediate settlement of any object on soil is comprised of elastic and plastic settlement
components. Elastic settlement occurs prior to soil failure and is recoverable upon load
removal. Plastic settlement occurs when the pressure of the object is greater than the bearing
capacity of the soil causing the object to penetrate until the bearing capacity of the soil is equal
to the weight of the object. The summation of these two types of settlement equals the total
immediate settlement. Elastic settlement is a minor part of total settlement, and thus is not
usually considered. Secondary compression or long-term creep in cohesive soils will result in
minor additional object settlement and an associated increase in breakout force. It is not
practical to obtain the soil information necessary to estimate secondary compression. Its
influence should be less than 10%, thus it is not considered quantitatively in this chapter.
Because breakout force can be a function of embedment depth, calculated or observed
settlement is important. Refer to Chapter 4 for settlement calculations 3.

9.4 BREAKOUT RELATIONSHIPS

9.4.1

Short Term Residence (Hours to Days) Immediate Breakout for Shallow

Foundations (D/B <1)

The recovery line force is the total retrieval line force required to extract an object from
the seafloor. For cohesive soils, it is equal to the breakout force plus the object's submerged
3

Chapter 4 does not directly address solving for the embedment depth when plastic failure occurs. The
assumption is that the object will embed into the soil until the bearing capacity equals the bearing load. If
the object embeds deeper than its width (D/B > 1), use Chapter 5 for calculating the bearing capacity.

9-5

weight minus the buoyant weight of displaced sediment. Although the buoyant weight of the
displaced sediment is included, it is often minor and may be excluded for simplicity in most
cases. However, as can be is significant in weak soils, it is included here.
The immediate breakout force required to remove an object from the seafloor soil, FIb
has been shown to be a function of the object's maximum historical net downward force, Fq,
(Equation 9-1) carried by the soil before breakout is attempted.
There is some experimental evidence (Ref. 9-1) that suggests that this historical force
should be reduced when the embedment of the object (relative to its width) is low (D/B < 0.25).
However, these results were based primarily on laboratory test data obtained with the object at
neutral buoyancy during setup, such that base contact likely was not well established over time.
This assumption led to non-conservative (low) predictions breakout forces at low values of D/B.
So alternatively, two different equations are now recommended when estimating FIb (Equations
9-2 and 9-3).

Fq = Wb Ws

(9-1)

For 0 D/B 0.25, use Equation 9-2 to estimate the immediate breakout force, FIb. For
0.26 D/B 1, use Equation 9-3 to estimate FIb:

FIb =

Fq

(9-2)

FIb = Fq 1 e 2.75( D / B )

(9-3)

where:
Fq =

maximum historical net downward force [F]

FIb =

immediate breakout force of the soil [F]

Wb =

buoyant weight of the foundation or anchor [F]

Ws =

buoyant (wet) weight of the displaced soil = displaced soil volume b [F]

b =

buoyant (wet) unit weight of soil; if unknown see Chapter 2 for guidance [F/L3]

As breakout forces can vary greatly due to permeability, it is recommended that a factor
of safety of two be applied to Equations 9-2 or 9-3 when estimating the needed recovery line
force to ensure immediate breakout. This factor of safety is included in Equation 9-4 for the
recovery line force for immediate breakout, FlIb:

FlIb = 2 FIb + Wb + Wc Ws

(9-4)
9-6

where:
Wb =

buoyant weight of the object [F]

Wc =

buoyant weight of any contained or adhering soil [F]

Ws =

buoyant weight of displaced soil [F]

Note: If the soil bearing capacity is large enough (> Wb) to prevent bearing capacity
failure leading to significant penetration of the object when it is placed on the seafloor (D/B <
0.25), then no soil is displaced or contained and Equation 9-4 simplifies to:

FlIb ( surface ) = 2.0Wb

(9-5)

Using this relationship to estimate the recovery line force for immediate breakout has
been referred to as the rule of thumb.
As stated at the outset, these relationships are valid only for cohesive soil. On or in
cohesionless soils suction will dissipate rapidly, so the recovery line force will simply be equal to
Wb. Also, on very strong cohesive soils, even though the theoretical immediate value of 2Wb
may exist momentarily, the observed breakout force will likely be lower (closer to Wb) because
the contact area will be so small that progressive release of adhesion and inflow of water will
occur almost as quickly as the recovery line force can be applied.
9.4.2

Long Term Residence (Months to Years) Immediate Breakout for Shallow

Foundations (D/B <1)

Special consideration must be given when objects are retrieved after extended time
periods. For such objects, the equations stated in Section 9.4.1 are not conservative enough,
because over longer periods of time, immediate breakout forces tend to go up for one of the
following two reasons.
Condition 1. When the initial bearing capacity is about equal to the bearing load, the
shear strength can decrease due to creep. Therefore, settlement and the effective contact area
will increase, increasing the immediate breakout force. For normally consolidated marine clays,
the strength can decrease by a maximum of 15% for each order of magnitude decrease in the
load time. Therefore, the shear strength after, for example, two years of residence is weaker
than the shear strength after 10 minutes (five orders of magnitude longer) by a factor of 1.15
raised to the fifth power, which is approximately equal to two. Thus, the shear strength would
be reduced by half, increasing the settlement and effective contact area, resulting in a long
residence immediate breakout force of approximately twice the short term immediate
breakout.

9-7

Under Condition 1, use Equation 9-6 to estimate the long-term residence immediate
breakout force (FIbLR) when 0 D/B 0.25. Alternately, Equation 9-7 is used to estimate FIbLR
when 0.26 D/B 1.

FIbLR = Fq

(9-6)

FIbLR = 2 Fq 1 e 2.75( D / B )

(9-7)

Condition 2. When the initial bearing capacity is greater than the bearing load, the shear
strength can increase over time due to consolidation. Therefore, increasing the bearing capacity
has been shown to increase the immediate breakout force. For situations where the cohesive
soil may be strengthened over time from normal object-induced consolidation, there is no
simple quantitative means readily available for estimating the amount of strengthening.
Therefore, use of Equations 9-6 and 9-7 is recommended as a reasonable upper bound on the
immediate breakout force.
As breakout forces can vary greatly due to permeability, it is recommended that a factor
of safety of two be applied to Equations 9-6 or 9-7 when estimating the needed recovery line
force for long term residence to ensure immediate breakout for either Condition 1 or 2
(Equation 9-8).

FlIbLR = 2 FIbLR + Wb + Wc Ws

9.4.3

(9-8)

Dynamic Penetration and Buried Objects Immediate Breakout (1 < D/B < 2.5)

Special consideration must be given to recovery line forces when objects are retrieved
after dynamic penetration (i.e., when the impact velocity > 3ft/s) (Ref. 9-2) or when the object is
completely buried.
The total recovery line force for a buried object, FlIb, is the sum of the side adhesion
force, the base suction force, the soil weight above the object, the soil weight trapped within
the object, and object buoyant (wet) weight (Equation 9-9).

FlIb = Fs + Fbs + Fa + Wb

(9-9)

where:
Fs =

side adhesion force; Equation 9-10 for cohesive soils or Equation 9-11 for
cohesionless soils [F]

Fbs =

base suction force; Fbs = 0 for cohesionless soils or Equation 9-12 for cohesive soils
[F]
9-8

Fa =

soil weight above object (plus any soil weight trapped within the object); Equation
9-13 [F]

Wb =

object buoyant (wet) weight [F]

For objects penetrating the seafloor at velocities greater than 3 ft/s or buried by means
other than settlement, side adhesion can play a large role in breakout force. For cohesive soils,
the side adhesive force, Fs, is given by:

Fs = su avg DPs

(9-10)

where:
su avg = average shear strength over the burial depth, D [F/L2]
D

= depth of burial to object base (Note: if D is greater than the object height, use H
instead of D in this equation) [L]

Ps

= side perimeter of object (e.g., Ps = 2B + 2L for a rectangular prism object) [L]

= width of the object [L]

= length of the object [L]

For cohesionless soils (sand), the side adhesive force, Fs, is given by Equation 9-11:

( )

Fs = b D DPs (tan )
2

(9-11)

where:

= depth of burial to the object base [L]

Ps

= side perimeter of object (e.g., Ps = 2B + 2L) [L]

= buoyant (wet) unit weight of soil [F/L3]

= soil friction angle

For cohesive soils, suction force plays a factor due to low permeability. Whereas
bearing capacity of the soil holds the object up, the suction between the soil and object holds
the object down. The base suction force, Fbs, is obtained using Equation 9-12.
For cohesionless soils, suction force is dissipated quickly due to high permeability.
Therefore, Fbs = 0 for cohesionless soils.

( )] [

( )]

2 D + B
Fbs = 5.14 Ab suo + g
1 + 0.2 D B 1 + 0.2 B L b Ab D
2

9-9

(9-12)

where:
Ab

= horizontal area of object base touching the soil [L2]

suo

= shear strength of the soil at the soil surface [F/L2]

= shear strength gradient of the cohesive soil [(F/L2)/L]

= depth of burial to object base [L]

= width of base bearing area [L]

= length of base bearing area [L]

= buoyant (wet) unit weight of soil [F/L3]

If there is soil above the object due to burial or trapped within the object, it will also
need to be lifted to raise the object and will increase the recovery line force. For both cohesive
and cohesionless soils, this additional force attributed to the soil weight above object (plus any
soil weight trapped within the object) is given by:

Fa = b (D H )Ap + Wc

(9-13)

where:
b

= buoyant (wet) unit weight of soil [F/L3]

= depth of burial to object base [L]

= height of object [L]

Ap

= effective plan cross-sectional area of object [L2]

Wc = buoyant weight of contained or adhering soil [F]

9.5 BREAKOUT TIME USING LESS-THAN-IMMEDIATE BREAKOUT

FORCES FOR SHALLOW FOUNDATIONS (D/B < 1)
9.5.1

Introduction

Often the force required for immediate breakout exceeds the maximum available lift
force. Several breakout force mitigation techniques are available in these situations, including
eccentric lifting, jetting, and the use of water flow paths and/or pumping to relieve the base
suction. However, in some cases simply waiting for a short time may reduce the required force
to match the available lift.
The procedure discussed in Section 9.5.2 evolved from one previously available in
Reference 9-2. The previous procedure is a tool for predicting the time needed to achieve
9-10

breakout with a known force that less than the immediate breakout force. No specific indication
of confidence is included but the usefulness of the time estimate is limited by the caveat that it
is highly imprecise and the underlying data in Reference 9-1 varies by as much as two orders of
magnitude from the fitted relationship that is the basis of the procedure. The procedure
presented in Section 9.5.2 improves upon the previous one in three ways:
1) The fitted relationship that is its basis is better aligned with the data so deviations of
measurements from back-predictions are minimized.
2) The form of the relationship is simpler facilitating calculations.
3) The new procedure provides estimates of breakout time at specified levels of
confidence that the time estimate will not be exceeded whereas the previous
procedure simply provides a most-likely (50% confidence) time estimate.
Note: The equations presented in the following sections (Section 9.5.2 through 9.5.3)
were developed from empirical data and curve fitting techniques. Therefore, it is imperative
that the units specified for each equation are the ones used in calculations.
9.5.2

Basis of Development of New Procedure

Reference 9-1 documents breakout data for partially embedded objects tested under
laboratory conditions and in the field within the San Francisco Bay and the Gulf of Mexico. These
tests provide the basis for the extended breakout relationship previously recommended in
Reference 9-2, which is given by Equation 9-14a using the specific units indicated.

log10 (FLb / FIb ) = 0.193 (log10 T 3.84)

(9-14a)

Equation 9-14a can be rewritten in a more convenient form as:

(FLb / FIb ) pf

= 10

pt

(9-14b)

where:
FLb = long-term lift breakout applied force (lb)
= Available Long-Term Recovery Force Wb + Ws
FIb = immediate breakout force; see Equation 9-3 4 (lb)
pf

= power of force ratio (dimensionless) = 5.18 per References 9-1 and 9-2

For loads less than the immediate breakout force, Equation 9-3 is used for FIb regardless of burial depth.

9-11

pt

= power of ten (dimensionless)

= 3.84 for Reference 9-1 field data fit and Reference 9-2, or
= 4.24 for Reference 9-1 lab data fit

= time parameter computed using Equation 9-15 (lbmin/ft4)

The time parameter, T, used in Equations 9-14a and 9-14b, is computed using the
following relationship (Equation 9-15). Again, the equation only applies using the units
specified, and yields T in units of lbmin/ft4.

)( D ) = ( pt

T = ptb / D 2 B

(9-15)

/ B 2 /( D / B) 4

where:
p

= suction in pore fluid beneath base FLb/A (psf)

tb

= time to breakout (min)

= width of object base (ft)

= depth of embedment (ft)

= area of object base (ft2)

Because the data are considerably scattered, breakout times predicted using this
relationship carry a large range of uncertainty. Estimates using this relationship should be used
only to determine whether or not other means to reduce breakout force should be employed.
If the embedment depth is known, the methods of Section 9.5.3 should be used to estimate
time required for breakout to occur.
9.5.3

Development of New Relationship Involving Known Embedment Depth

As a first step in the development of an improved procedure towards estimating the

time to breakout, Equations 9-3, 9-14b, and 9-15 were combined and rearranged as shown in
Equation 9-16. In the equation, Fq is the maximum historical net downward force.

(F

Lb

/ Fq )

pf +1

= 10 pt 1.0 0.97e (2.75 D / B )

pf

(D / B )4 /[(Fqtb )/ (AB 2 )]

(9-16)

Equation 9-16 shows the full structure of the previous relationship, i.e., that the
normalized force raised to a power is equal to a constant multiplied by a depth-dependent term
divided by a relatively simple time-dependent term.

9-12

Simplification of Equation 9-16 is achieved by replacing the numerator on the right-hand

side by a constant multiplied by a complex depth-dependant term and divided by a relatively
simple power of D/B. This simplified format is:

Rf

pf '

= C / T

(9-17)

where:
Rf

= force ratio (dimensionless) = FLb/Fq

pf = power of force ratio (dimensionless)

C

= constant (lbmin/ft4)

= time parameter computed using Equation 9-18 (lbmin/ft4)

The time parameter, T, used in Equation 9-17, is computed using the following
relationship (Equation 9-18). The equation only applies using the units specified, and yields T in
units of lbmin/ft4.

T =

Fq tb /( AB 2 )

(9-18)

( D / B) pd '

where:
Fq

= maximum historical net downward force (lb)

tb

= time to breakout (min)

= area of object base (ft2)

= width of object base (ft)

= depth of embedment (ft)

pd = power of depth-to-width ratio (dimensionless)

Next, the original data as tabulated in Reference 9-1 were replotted on axes of Rf vs. T
and parameter adjustments in the fitting process were made such as to minimize the overall
scatter and maximize the overall alignment for all of the data at once (Ref. 9-2). For a fit of 50%
level of confidence 5 (LC = 50), the following values of the parameters apply:
5

A 50% level of confidence indicates there is a 50% chance the object will break out under the specified
loading conditions. Similarly, a 95% level of confidence indicates there is a 95% chance the object will
break out under the specified conditions.

9-13

= 7,700 lbmin/ft4

pd = 4.54
pf = 4.80
By combining Equations 9-17 and 9-18, and using the values of the parameters C, pd
and pf associated with a 50% level of confidence, the following equation is formed:

(F

Lb / Fq )

4.8

7,700( D / B) 4.54
[ Fq tb /( AB 2 )]

(9-19)

Equation 9-19 can be rewritten in a more convenient form as shown in Equation 9-20.
Note that in this equation, tb is replaced by t50, indicating the breakout time associated with a
50% level of confidence.

t50 =

7,700
(D / B )4.54 AB 2 / Fq
4.8
(FLb / Fq )

(9-20)

In order to calculate breakout time using a selected level of confidence above 50%, a
factor ftLC is obtained from Table 3.2-1 and applied as shown.
tLC = t50 ftLC

(9-21)

Table 9.5-1. Factors for Determining Long-Term-Lift Breakout Times at Selected Levels of Confidence

Level of Confidence, LC (%):

Level of Confidence Time Factor,
ftLC (used in Equation 9-21)

50

75

90

95

99

2.25

6.09

14.9

117

9-14

9.6

BREAKOUT AIDS

Breakout aids are any operations that reduce the force required for immediate breakout
or the time required for long-term breakout. The following discussion provides suggestions for
achieving breakout when the immediate breakout force is too high to be applied or the longterm breakout time for the force that can be applied is too long. Although most discussion is on
reducing breakout force, most breakout aids also reduce breakout time at a particular force
level. It should also be noted that reduction in breakout force, by one-half, for example, is not
the same as a lowering of the retrieval line load by one-half. Line load is equal to breakout force
plus object buoyant weight minus displaced soil weight, as defined in Equation 9-4 or 9-8.
9.6.1

Jetting and Drainage Tubes

An effective way to reduce the force required for breakout is to improve the flow of
water into the soil around the object. This can be done either passively with drainage tubes or
actively with water jets (Figure 9.6-1). Both consist of tubes that are forced beneath the object,
or may be a part of the object if a breakout problem is anticipated. Preferably, the tubes should
have openings along the side to improve water flow all along the tube.
With water jetting, a pump is connected to the end of the tube and water is forced
through the tube into the soil. Jetting is preferable because the positive pressure is more
effective, and the turbulence of water flow may cause some soil erosion and reduce the objectto-soil contact area.
With drainage tubes no pumps are used. In this technique, the act of pulling up on the
object draws water through the tubes into the spaces below the object. It is essential for this
technique that the free end of the tube does not clog.
Field tests (Ref. 9-4) have demonstrated that a 50 to 77% reduction of the breakout
force is possible with both water jets and drainage tubes. The reduction for rounded objects was
greater than for square blocks. It should be expected that the effectiveness of these aids will
vary significantly, depending on specific soil and embedment conditions.
No guidelines exist for the design of either water jets or drainage tubes. Where used,
however, the spacing between openings (both along the tubes and between the tubes) should
be minimized and kept relatively constant over the entire, contact area of the object.

9-15

Figure 9.6-1. Water flow techniques.

9.6.2

Eccentric Loading

A reduction in the required breakout force will result if the object is lifted from one end
rather than through its-center. In Chapter 4, the concept of effective area is introduced with
respect to bearing capacity prediction for eccentrically loaded foundations. This concept also
applies to breakout prediction. The uplift force is essentially applied to a reduced area, raising
the applied stress in that area. After that section is broken free, the force is transferred to the
remaining area and breaks it free. A rough estimate of the effect of this procedure is that
breakout force may be reduced by up to 50%. Long, narrow objects should see the most effect.
In many field cases, this may be art easy breakout aid to use; however structural limitations on
the object could prevent eccentric attachment of the applied load (Figure 9.6-2).
9.6.3

Cyclic Loading

The strength of some cohesive sediments can be reduced through cyclic application of
uplift force and resulting development of positive sediment pore water pressures. For example,
based on earthquake stability analysis (Ref. 9-5), breakout force may be reduced by 30 to 40%
with as few as ten load applications for clayey silt soils. This procedure will be less effective with
soils which are more fine-grained and more plastic. During the time between load applications,
9-16

an uplift force equal to the buoyant weight of the object should be maintained, and the loads
should be applied every 10 minutes or less. Benefits from this effect may occur where wave
actions affect the recovery vessel and cause unsteady recovery line loads to be applied (Figure
9.6-2).
9.6.4

Rocking or Rolling

Prior to lifting, if a significant lateral force can be applied to an object embedded in

relatively stiff soil (su > 3 psi), openings may develop along the object's side. These openings will
facilitate water flow and reduce the object-soil contact area. A lateral force greater than the
passive resistance of the sediment (estimated as 2DLsu) is likely necessary to achieve adequate
movement. If possible, the object should be loaded alternately in opposite directions to increase
the development of openings along the sides. This process of rocking or rolling may also result in
a reduction of object embedment depth and, therefore, an additional reduction in necessary
breakout force (Figure 9.6-2).

Figure 9.6-2. Soil strength reduction techniques.

9.6.5

Breakaway Parts

Objects that are meant to be placed on the seafloor can be designed with breakaway
parts. That is, the portion of the object in contact with the sediment is designed to separate
9-17

from the remainder of the object upon application of uplift loading. The immediate breakout
force is effectively reduced to the level required to break any connectors to the parts that
remain behind. This situation can be achieved with weak links or connectors that corrode in seawater and leave the object parts to be recovered unrestrained for vertical motion. This
procedure can be useful for instrumentation packages that are on the seafloor for long periods
of time before retrieval (Figure 9.6-3).

Figure 9.6-3. Breakaway techniques.

9.6.6

Altering Buoyant Weight

The retrieval line force may be significantly reduced if it is possible to decrease the
object's underwater weight. This can be done by pumping air into enclosed spaces, attachment
of lift bags, or removal of heavy parts of the object prior to attempting breakout. These methods
do not alter the breakout force required but may be useful where the breakout force is not the
largest component in the retrieval line load. Air- or lift-bag-assisted recovery may introduce
potentially dangerous situations where retrieval line control can be lost. For example, trapped
air will expand in volume as the object rises from the seafloor or can be lost if the object's
orientation changes. A positively buoyant object will become dangerous to anything above it as
it moves toward the water surface (Figure 9.6-4).

9-18

Figure 9.6-4. Buoyancy techniques.

9.7 OTHER FACTORS

9.7.1

Irregular Shape or Non-Uniform Embedment Depth

Laboratory and field tests used to define the empirical equations in this chapter have
not been conducted with objects that are irregular in shape or that have a non-uniform
embedment depth. The equations presented, and the procedures of Section 9.4 for calculating
breakout forces can still be used for these unusual cases. However, this introduces a higher level
of uncertainty and results in the computational procedures becoming less accurate.
9.7.2

Foundation Skirts

If a foundation has skirts extending below its base (useful to provide an increased
resistance to lateral loads), the skirts will raise the required immediate breakout force. The skirts
force the soil failure surfaces to a greater subbottom depth. The sediment contained within the
skirts must be considered as part of the object. The procedures outlined in this chapter apply as
if the foundation plus trapped soil is a solid object and embedment is considered to be at the
depth of skirt penetration. The skirted foundation may also introduce problems during recovery
operations. Soil trapped within the skirt system may drop away at any time following breakout.
(It usually ends up on the deck of the recovery vessel.)
9-19

9.8 EXAMPLE PROBLEMS

9.8.1

Problem 1 Recovery of a Large Cylinder (Short Residence)

9.8.1.1 Problem Statement

Determine if it is possible to quickly lift an embedded, cylindrically shaped object within
the capacity of an available recovery vessel and if this is not possible, to estimate how long it will
take for the object to break free of the seafloor at a lower force.
Data: A large, solid cylinder 10 feet in diameter, 20 feet long, with an underwater
weight of 46,000 pounds was slowly laid on the seafloor for 20 hours.
The soil is a very soft clay with a shear strength at the mudline of 0 psf that increases
with depth into the seafloor at 10 psf/ft and a soil unit weight of 20 pcf at the mudline that
increases with depth at 0.2 pcf/ft. During the first 10 minutes on the seafloor, the cylinder
embedded 2 feet into the seafloor (see Figure 9.8-1).
The vessel can apply a 100,000 pound uplift force for 10 to 15 minutes without seriously
damaging the recovery gear. But, it can apply up to 60,000 pounds of uplift force for several
days.

Figure 9.8-1. Problem sketch and data for example Problem 1.

9.8.1.2 Problem Solution

The analytical and computational procedures used to solve this problem are shown
below. They follow the procedures outlined by the flow chart in Figure 9.1-1.
9-20

Problem 9.8-1
ANALYTICAL PROCEDURES
1. Determine the object and embedment
characteristics:
The object is circular and therefore
equivalent dimensions of a rectangular
object of same volume and weight must
be solved for.
Vs = displaced volume of soil
L

= equivalent length

= width

COMPUTATIONS
D = 2 ft
2

B
10 10
= 2
2
2 2

B = 8 ft

D = embedment depth
Wb = submerged weight
The first dimension required is B, the
width at the seafloor surface which is a
function of embedment depth and is
found using the Pythagorean Theorem.
d

B
d d

= D
2
2 2

= diameter of object

9-21

Problem 9.8-1
ANALYTICAL PROCEDURES
2. An equal rectangular foundation which
displaces the same amount of soil is
required.

COMPUTATIONS
4
sin =
2 5

= 1.85 radians
Area below surface:

Find the volume of the circular object

below the soil surface (Vs).

d2
Bd

D
4 2 2 2

10 2 1.85 8 10

2
4
2
2 2

= 11.13 ft2
Effective depth:

D =

Area 11.13
=
= 1.4 ft
B
8

L = 20 ft
3
Vs = B L D ' = 8 20 1.4 = 224 ft

Wb = 46,000 lbs
3. Check if this is a breakout problem.
Is D/B <2.5?

Using the new D and B of a rectangular object:

D/B = (1.4 ft)/(8 ft) = 0.175
YES, D/B < 2.5

4. Check if this is a problem of dynamic

penetration.

Object was laid slowly. Assume Vimpact < 3 ft/s

NO, this is not a case of dynamic penetration.

Is Vimpact > 3 ft/s?

5. Check if this is a problem of shallow
embedment.

D/B = (1.4 ft)/(8 ft) = 0.175

YES, D/B < 1

Is D/B <1?
6. Determine soil type.

Soil is cohesive.
9-22

Problem 9.8-1
ANALYTICAL PROCEDURES

COMPUTATIONS
b = (0.2z +20) lb/ft3

7. Determine the soil characteristics.

b = 20 + 0.2(z) pcf

b @ 0 ft = [(0.2)(0) +20] lb/ft3 = 20 lb/ft3

b averaged from 0 to D

b @ 1.4 ft = [(0.2)(1.40)+20]lb/ft3 = 20.3 lb/ft3

b (avg) = (20 + 20.3 lb/ft3)/2 = 20.2 lb/ft3

8. Determine weight of displaced soil (Ws).

Ws = (224ft3)(20.2 lb/ft3) 4,500 lb

Ws = Vs b
9. Determine the immediate breakout force
(FIb) for short residence (Equations 9-1
and 9-2).
Fq = Wb Ws

(9-1)

FIb = Fq /2

(9-2) for D/B < 0.25

10. Determine the short residence recovery

line force for immediate breakout, FlIb
(Equation 9-4).

Fq = 46,000 4,500 = 41,500 lb

FIb = 41,500 lb/2 = 20,750 lb

Assuming there is no soil adhesion, Wc = 0 lbs

FlIb = 2(20,750) + 46,000 + 0 4,500
= 83,000 lbs

FlIb = 2FIb + Wb + Wc Ws
SUMMARY
The 100,000 pound line load can be applied by the vessel to immediately breakout the object.
Application of a lower force for a longer period is not required.

9-23

9.8.2

Problem 2 Recovery of a Large Cylinder (Long Residence)

9.8.2.1 Problem Statement

Determine if it is possible to quickly lift an embedded, cylindrically shaped object within
the capacity of an available recovery vessel and if this is not possible, to estimate how long it will
take for the object to break free of the seafloor at a lower force.
Data: The same object as described in Example 9-1 was slowly laid on the seafloor. Over
a few years it embedded 2 feet in the seafloor (see Figure 9.8-2).
The soil is a very soft clay with a shear strength at the mudline of 0 psf that increases
with depth into the seafloor at 10 psf/ft and a soil unit weight of 20 pcf at the mudline that
increases with depth at 0.2 pcf/ft. During the first 10 minutes on the seafloor, the cylinder
embedded 2 feet into the seafloor (see Figure 9.8-2).
The vessel can apply a 100,000 pound uplift force for 10 to 15 minutes without seriously
damaging the recovery gear. But, it can apply up to 60,000 pounds of uplift force for several
days.

Figure 9.8-2. Problem sketch and data for example Problem 2.

9.8.2.2 Problem Solution

The analytical and computational procedures used to solve this problem are shown
below. They follow the procedures outlined by the flow chart in Figure 9.1-1 and discussed in
this chapter.
9-24

Problem 9.8-2
ANALYTICAL PROCEDURES

COMPUTATIONS

1. Determine the object and embedment

characteristics:
From Problem 9.8-1, all steps are the same
except calculation of immediate breakout
for long residence, FIbLR, (Equation 9-6 or
9-7) and recovery line force for immediate
breakout, FlIbLR (Equation 9-8).
Given from Problem 9.8-1:

In order to compute FIbLR, the bearing

capacity, Fq, must first be determined
(Equation 9-1).
Fq = Wb Ws = 46,000 4,500 = 41,500 lb
FIbLR = 41,500 lb
FlIbLR = 2(41,500) + 46,000 + 0 4,500
= 124,500 lb

Ws = 4,500 lb
Wb = 46,000 lb
Wc = 0
D/B < 0.25; So Equation 9-6 is used to
compute FIbLR.
FIbLR = Fq

(9-6)

FlIbLR = 2FIbLR + Wb + Wc Ws

(9-8)

INITIAL CONCLUSION The required line recovery force of 124,500 lbs is greater than the
available line force. The recovery vessel is unlikely to be able to quickly lift the object from
the seafloor by applying a 100,000 pound line load. Therefore, the length of time for
breakout using the constant 60,000 lb force must be considered
2. Determine time to breakout at constant
load (Equation 9-20).

t50 =

7,700
(D / B )4.54 AB 2 / Fq
4.8
(FLb / Fq )

From the problem statement constant

load can be held at 60,000 lb.

FLb = 60,000 lb 46,000 lb + 4,500 lb

= 18,500 lbs
t 50 =

7,700
18,500

41,500

t 50 = 33.6 min

9-25

(1.4 8 )

4.54

4.8

(20 8)(8 2 ) / 41,500

Problem 9.8-2
ANALYTICAL PROCEDURES

COMPUTATIONS

3. Determine time to breakout at 90%

confidence and 95% confidence (Equation
9-21).

From Table 9-5-1,

ftLC = 6.09 for 90% confidence
ftLC = 14.7 for 95% confidence

tLC = t50 ftLC

t90 = (33.6 min)(6.09) = 205 min

The level of confidence time factor, ftLC, is

given by Table 3.2-1.

t95 = (33.6 min)(14.9) = 500 min or 8.3 hours

SUMMARY
If it is reasonable under other (unspecified) conditions that exist, the 100,000 lb line load should
be applied to the object for as long as it can safely be sustained. The object has a chance of
breaking free within minutes. This chance can be improved by applying the load eccentric to the
objects center of gravity or by using other breakout aids discussed in Section 9.6 (For example,
repetitive short-duration applications of the 100,000-lb force).
If it does not break free at this load, there is an even better chance for breakout within 34
minutes to 8 hrs at a line load of 60,000 lbs. To be reasonably sure of breakout at this lower line
load, the load may have to be exerted for up to 8 hours. Breakout aids, if they can be applied,
should speed up the recovery. Note: If the object does not break free under the 100,000 lb load
applied for 10 to 15 minutes, this effort is not wasted. This load application acts as a type of
breakout aid which lowers the amount of time the 60,000 lb load will have to be applied before
breakout occurs.

9-26

9.8.3

Problem 3 Recovery of a Buried Foundation

9.8.3.1 Problem Statement

Determine if it is reasonable to expect quick recovery of a small foundation from the
seafloor with the limited capacity of a specific workboat.
Data: The foundation is a heavy, small circular footing that will be buried for a 3-day
experiment and then recovered.
The soil is a very soft clay with a shear strength at the mudline of 0 psf that increases
with depth into the seafloor at 10 psf/ft and a soil unit weight of 20 pcf at the mudline that
increases with depth at 0.2 pcf/ft.
The object will be embedded 6 feet below the surface. The footing is 4 feet in diameter,
4 feet tall, and has an underwater weight of 3,000 pounds (see Figure 9.8-3). The vessel that will
install and remove the foundation is capable of lifting 15,000 pounds off the seafloor and
maintaining that force level indefinitely.

Figure 9.8-3. Problem sketch and data for example Problem 3.

9.8.3.2 Problem Solution

The analytical and computational procedures used to evaluate this problem are shown
below. They follow the procedures outlined by the flow chart in Figure 9.1-1.
9-27

Problem 9.7-3
ANALYTICAL PROCEDURES
1. Determine the object and embedment
characteristics (Vs, A, L, B, D, d, and Wb).
Vs = displaced volume of soil
A

= horizontal area

= equivalent length

= equivalent width

D = equivalent depth below seafloor

H = height of object
Wb = submerged weight
d

= diameter of object

2. Check if this is a breakout problem.

Is D/B <2.5?
3. Check if this is a problem of dynamic
penetration.

COMPUTATIONS
Vs =

A=

(4 ft ) 2
4

(4 ft ) = 50.3 ft 3

(4 ft ) 2
4

= 12.6 ft 2

For a circular foundation,

B = L = (A) = (12.6 ft2) = 3.55 ft
D = 6 ft
H = 4 ft
Wb = 3,000 lb
d

= 4 ft

D/B = (6 ft)/(3.55 ft) = 1.69

YES, D/B < 2.5
Object was laid slowly. Assume Vimpact < 3 ft/s
NO, this is not a case of dynamic penetration.

Is Vimpact > 3 ft/s?

4. Check if this is a problem of burial.
Is D/B <1?
5. Is the soil cohesive?

D/B = (6 ft)/(3.55 ft) = 1.69

NO, D/B > 1
YES, soil is cohesive; use Equation 9-10 for side
friction.

9-28

Problem 9.7-3
ANALYTICAL PROCEDURES

COMPUTATIONS
(D - H) = 6 ft - 4 ft = 2 ft

6. Determine side friction, Fs, for cohesive

soils (Equation 9-10).

su @ 2 ft = 0 + 10(2) psf = 20 psf

Fs = su (avg)DPs

su @ 6 ft = 0 + 10(6) psf = 60 psf

Note: If D > object height, H, use H

instead of D in Equation 9-10.

su(avg) = (20 + 60 psf)/2 = 40 psf

Ps = d

=
Ps =
(4) 12.6 ft

The soil type is given as:

D > H, so use H is Equation 9-10

su = 0 + 10(z) psf

Fs = (40 psf)(4 ft)(12.6 ft) 2010 lb

(2D + B)/2 = [2(6 ft) + 3.55 ft]/2 = 7.78 ft

7. Determine base suction force, Fbs, from

Equation 9-12.

( )] [

( )]

su @ 7.78 ft = 0 + 10(7.78) psf = 77.8 psf

2 D + B
Fbs = 5.14 Ab suo + g
1 + 0.2 D B 1 + 0.2 B L b Ab D
2

su = 0 + 10(z) psf
b = 20 + 0.2(z) lb/ft3

suo = su @ 0 ft = 0 psf
b @ D = [20+.2(6)] lb/ft3 = 21.2 lb/ft3
b @ (D-H) = [20+.2(6-4)] lb/ft3 = 20.4 lb/ft3
b (avg) = (21.2 + 20.4 lb/ft3)/2 = 20.8 lb/ft3

Fbs = 5.14 12.6 ft 2 [0 + 10 psf / ft (7.78 ft )]

3.55 ft
6 ft

1 + 0.2
1 + 0.2
3.55 ft
3.55 ft

[(

)(

20.8lb / ft 3 12.6 ft 2 (6 ft )
Fbs = 6,530 lb
8. Determine the force from the soil weight
above the object, Fa, (Equation 9-13).
Fa = b ( D H ) Ap + Wc

b = 20 + 0.2(z) pcf

From step 7,
b (avg) = 20.2 lb/ft3
Fa = (20.2 lb/ft3)(6 4 ft)(12.6 ft2) + 0 lb
510 lb

b averaged from 0 to (D-H)

9-29

Problem 9.7-3
ANALYTICAL PROCEDURES

COMPUTATIONS

9. Determine the recovery line force for

immediate breakout, FlIb, from Equation 99).

FlIb = 2,010 lb + 6,530 lb + 510 lb + 3,000 lb

= 12,050 lb

FlIb = Fs + Fbs + Fa + Wb
SUMMARY
The immediate breakout force of the buried object is estimated to be 12,050 lb, which is less
than the lifting capacity of the vessel, therefore a quick recovery is reasonable. However, for
planning purposes a factor of safety of 2 should be applied, such that the lifting capacity of the
equipment should be 24,000 lbs.

9-30

9.9 REFERENCES
9-1.

H. J. Lee. Unaided Breakout of Partially Embedded Objects from Cohesive Seafloor Soils,
Naval Civil Engineering Laboratory, Technical Report R-755. Port Hueneme, CA, Feb
1972.

9-2.

K. Rocker, Jr. Handbook for Marine Geotechnical Engineering, Deep Ocean Technology,
Naval Civil Engineering Laboratory. Port Hueneme, CA, Mar 1985.

9-3.

D.G. True. Appendix C Time for Breakout Using Less-Than-Immediate Breakout

Forces, Naval Facilities Engineering Service Center, Deep Ocean Technology Handbook.
Port Hueneme, CA, Apr 2004.

9-4.

K.D. Vaudrey. Evaluation of Bottom Breakout Reduction Methods, Naval Civil

Engineering Laboratory, Technical Note N-1227. Port Hueneme, CA, Apr 1972.

9-5.

H.J. Lee, B.D. Edwards, and H.E. Field. Geotechnical Analysis of a Submarine Slump,
Eureka, California, in Proceedings of the Offshore Technology Conference, Houston, TX,
1981 (OTC 4121).

9-31

9.10 SYMBOLS
A

Horizontal area touching soil [L2]

Ab

Horizontal area touching soil [L2]

Ap

Effective plan cross-sectional area of object [L2]

Width of object [L]

Constant [FT/L4]

Depth of burial to object base [L]

Fa

Soil weight above object (plus any soil weight trapped within the object) [F]

Fbs

Base suction force [F]

FIb

Immediate breakout force of the soil [F]

FIbLR

Long term residence immediate breakout force of the soil [F]

Fq

Maximum historical net downward force [F]

FLb

Long-term-lift breakout applied force [F]

FlIb

Recovery line force for immediate breakout [F]

FlIbLR

Recovery line force for long term residence immediate breakout force of the soil [F]

Fs

Side adhesive force [F]

ftLC

Level of confidence time factor

Shear strength gradient of the cohesive soil [(F/L2)/L]

Height of object [L]

Length of object [L]

Nc

Dimensionless bearing capacity factor

Suction in pore fluid beneath base [F/L2]

pf

Power of force ration

Ps

Side perimeter of object [L]

pt

Power of ten

Rf

Force ratio

pd

Power of depth-to-width ratio

Qu

Bearing capacity [F]

su

Shear strength [F/L2]

su avg

Average shear strength over depth burial D [F/L2]

su0

Shear strength of the soil at the soil surface [F/L2]

T, T

Time Parameters [FT/L4]

tb

Time to breakout [T]

9-32

t50

Breakout time at a level of confidence of 50% [T]

tLC

Breakout time at a level of confidence [T]

Wb

Buoyant weight of the foundation or anchor [F]

Wc

Buoyant weight of any contained or adhering soil [F]

Ws

Buoyant weight of the displaced soil [F]

Buoyant (wet) unit weight of soil [F]

Soil friction angle [deg]

9-33

[This page intentionally left blank]

9-34

10 SCOUR
10.1 INTRODUCTION
10.1.1 Background
Scour is the process of erosion in soil. A general lowering of the seafloor naturally occurs
due to erosion of the surface soil as the ocean water flows across it. This type of scour is called
general scour. When a structure, such as a pier or pipeline, is placed on or in the seafloor, an
obstacle is created. The water will then have to change its pattern to move around the obstacle.
This interaction can lead to local scour of the supporting soil around the obstacle. If the scour
becomes too great, structural instability and failure can occur. To reduce structural failures,
scour must be accounted for in the design of any marine structure.
The depth of scour can be estimated so that a structure can be designed to withstand
the maximum possible scour. The methods used to estimate scour are based on equations and
computer programs. Besides designing the structure to withstand maximum scour,
countermeasures can be used to mitigate scour problems. The most common countermeasure
consists of placing a filter and then an armor layer often made of rocks or riprap to protect the
soil from eroding. The countermeasure chosen depends on the soil type, the water conditions,
and the obstacle. Further discussion on scour estimates and countermeasure selection is
presented later in this chapter.
10.1.2 Scope
The objectives of this chapter are to: (1) describe the fundamentals of scour and
erosion, (2) provide the most common techniques to estimate scour, (3) present
countermeasure methods for minimizing scour, and (4) give several examples of scour
calculations.

10.2 FUNDAMENTALS OF SCOUR AND EROSION

There are three components involved in any scour problem: the soil, the water, and the
obstacle. Each component plays a role in scour development. The fundamental concepts
associated with each component are discussed next.

10-1

10.2.1 The Soil

10.2.1.1 Critical Shear Stress and Critical Velocity
The threshold of erosion is considered one of the most important soil parameters in
studying erosion. The threshold is described as either the critical shear stress (c), or as the
critical velocity (Vc). Below the threshold, erosion will not occur. Above the threshold, erosion
will occur.
Hjulstrms diagram summarizes the relationship between grain size and water velocity
(Figure 10.2-1). It specifies whether the sediment, based on the flow velocity and the diameter
of the grain, will be eroded, transported, or deposited (Ref. 10-1). The top curve in Figure 10.2-1
represents the threshold for erosion.
The threshold depends largely on soil properties. For example, Figure 10.2-2 and Figure
10.2-3 from Reference 10-2 show the relationship between mean grain size (D50) for a soil
particle and the critical velocity and critical shear stress, respectively. For coarse-grained soils
(i.e., sands), there is a fairly linear relationship with the erosion threshold. For fine-grained soils
(i.e., clays), however, there is more scatter in the data. This suggests that the threshold values
depend on more than the grain size.

Figure 10.2-1. Average velocity as a function of mean grain size (Hjulstrms diagram, Ref. 10-1).

10-2

Figure 10.2-2. Critical velocity as a function of mean grain size (Ref. 10-2).

Figure 10.2-3. Critical shear stress as a function of mean grain size (Ref. 10-2).

10-3

Both the water and the soil can impact the critical shear stress and the erosion rate. For
example, an increase in the salt concentration may increase the critical shear stress and
decrease the erosion rate (Ref. 10-3). Correlations to soil properties other than grain size, such
as undrained shear strength (su), plasticity index (PI), water content (w), and percent passing
sieve No. 200 (#200), have been attempted yet have failed (Ref. 10-3). This is because erodibility
depends on multiple soil parameters all involved in the resistance to erosion. A general
consensus on the impact of certain parameters, however, is shown in Table 5.2-1. It is often
preferable to measure the erosion function directly in an apparatus such as the Erosion Function
Apparatus (EFA) (Ref. 10-2).
Table 10.2-1. Factors Influencing Erodibility (Ref. 10-2)

When This Parameter Increases

Erodibility

Soil unit weight

Decreases

Soil plasticity index

Decreases

Soil void ratio

Increases

Soil swell

Increases

Soil percent passing sieve #200

Decreases

Soil dispersion ratio

Increases

Soil sodium absorption ratio

Increases

Soil temperature

Increases

Water temperature

Increases

10.2.1.2 Erosion Categories

Erosion categories, based on 15 years of erosion testing experience, have been
proposed to serve as a classification system for the erodibility of soils (Ref. 10-2). This
classification system can be presented in terms of velocity (Figure 10.2-4) or shear stress (Figure
10.2-5).
These categories are largely based on erodibility testing in the laboratory. The Erosion
Function Apparatus, or EFA, was developed in the early 1990s to measure the erosion function
of soil (Figure 10.2-6). Once samples from a site have been collected, the sampling tubes are
brought back to the laboratory. One sampling tube is then placed in the EFA, and the sample is
pushed out of the sampling tube only as fast as it is eroded by the water flowing over it. The
water velocity is controlled by the user. An erosion rate is then measured for each velocity and
6

Soil swell is the increase in volume of soil, usually caused by disturbance of the soil. Soil swell creates
more air pockets and results in an effective increase in the soils void volume. An increase in volume also
results in a decrease in soil density.

10-4

the soil-water interface shear stress is calculated. This is repeated using different water
velocities. Point by point, the erosion function is obtained (Figure 10.2-7). In the absence of lab
testing, use the proposed erosion category charts (Figure 10.2-4 and Figure 10.2-5).

1000
100

Erosion
Rate
(ft/hr)

High
Erodibility
II

Very High
Erodibility
I

Medium
Erodibility
III

-Low Plasticity Silt -Jointed Rock

(Spacing < 30 mm)
-Medium Sand
-High Plasticity Silt

-Non-plastic Silt
-Fine Sand

10

Low
Erodibility
IV

-Low Plasticity Clay

-Jointed Rock
-All fissured Clays
(30-150 mm Spacing)
-Coarse Sand
-High Plasticity Clay
-Fine Gravel
-Coarse Gravel
Very Low
-Cobbles
Erodibility

- Increase in Compaction
(well graded soils)
- Increase in Density
- Increase in Water Salinity (clay)

0.1

V
-Jointed Rock
(150-1500 mm Spacing)
-Riprap
Non-Erosive

0.01

VI
-Jointed Rock
(Spacing > 1500 mm)
-Intact Rock

0.001
0.1

1.0

10.0
Velocity (ft/s)

100.0

1000.0

Figure 10.2-4. Proposed erosion categories for soils and rocks based on velocity (Ref. 10-2).

1000
100

Erosion
Rate
(ft/hr)

10
1
0.1

Very High
Erodibility
I
-Non-plastic Silt
-Fine Sand

High
Erodibility
II
-Low Plasticity Silt
-Medium Sand

Medium
Erodibility
III

-Jointed Rock
(Spacing < 30 mm)
-High Plasticity Silt
-Low Plasticity Clay

-All fissured Clays

-Coarse Sand
-Fine Gravel

- Increase in Compaction
(well graded soils)
- Increase in Density
- Increase in Water Salinity (clay)

Low
Erodibility
IV

-Jointed Rock
(30-150 mm Spacing)
-High Plasticity Clay

-Coarse Gravel
-Cobbles

Very Low
Erodibility
V

-Jointed Rock
(150-1500 mm Spacing)
-Riprap

0.01

-Intact Rock

Non-Erosive

-Jointed Rock
VI
(Spacing > 1500 mm)

0.001
1.0E-03 1.0E-02 1.0E-01 1.0E+00 1.0E+01 1.0E+02 1.0E+03 1.0E+04
2

Shear Stress (lb/ft )

Figure 10.2-5. Proposed erosion categories for soils and rocks based on shear stress (Ref. 10-2).

10-5

Figure 10.2-6. Erosion Function Apparatus (Ref. 10-2).

Figure 10.2-7. Erosion function as measured in the EFA.

10.2.2 The Water

10.2.2.1 Hydraulic Shear Stress
The horizontal velocity of water (Vx) is largest near the top of the water column and zero
at the bottom (Figure 10.2-8). Conversely, the shear stress is largest near the bottom of the
water column and zero at the top. Looking at an element of water (Figure 10.2-8), the shear
stress () causes a shear strain ().

Figure 10.2-8. Velocity and shear stress profile versus flow depth (Ref. 10-2).

10-6

The shear strain represents the ratio of the change in horizontal displacement (dx)
between two points to the vertical distance (dz) separating them as the element is sheared
(=dx/dz). Since the water is flowing, the shear strain changes with time. In water, the shear
stress is proportional to the rate of shear strain (Equation 10-1).

dt

(10-1)

where is the dynamic viscosity of water [FT/L2], and d/dt is the rate of shear strain [1/T].
The rate of shear strain can also be expressed in terms of horizontal velocity (Vx=dx/dt).
The shear stress is thus proportional to the gradient of the velocity profile with flow depth
(Equation 10-2).

dVx

dz

(10-2)

The magnitude of these erosive shear stresses is fairly small as compared to those seen
in other areas of geotechnical engineering (Figure 10.2-9). This difference in shear stress
magnitudes is because, in erosion studies, the resistance of a single particle or small cluster of
particles is examined, whereas in the other areas, the resistance of a much larger soil mass is
examined.

Figure 10.2-9. Range of shear stresses encountered in geotechnical engineering (Ref. 10-2).

10-7

10.2.2.2 Waves
Wave action impacts scour. Waves can be a single event such as in a flood or storm
surge, or they can be the periodic gravity waves seen in open waters. Scour depth at a structure
will change if waves are present as compared to scour under a current only. Wave
characteristics such as the wave height (H), wave length (L), wave period (T), phase angle (w),
orbital velocity (Vorb), and semi-orbital length (a) are therefore important in wave induced scour
analysis (Figure 10.2-10, Figure 10.2-11, and Figure 10.2-12). The depth of water (d) and the size
or diameter of the structure the waves are impacting are also significant parameters for wave
scour.
Under a current, the velocity of the water particles is basically horizontal. The water
particles within a wave, however, experience an orbital velocity (Vorb). The amount of motion, or
the size of the orbit, decreases with water depth. In shallow waters, the orbital motion is
elliptical and transitions to circular in deep waters (Figure 10.2-11). Below a depth of half of the
wave length (L/2), there is no noticeable orbital motion (Ref. 10-4).
According to Reference 10-5, the maximum local horizontal orbital velocity (Vorb) occurs
when the wave is at its crest, or the phase angle (w) is equal to 0, 2, etc. (Figure 10.2-12).
Conversely, the maximum local vertical orbital velocity (Vorb,v) occurs when the phase angle is
equal to /2, 3/2, etc. (Figure 10.2-12).

Figure 10.2-10. Wave Parameters.

Shallow-water waves occur when the water depth (d) is less than 0.05 times the wave
length (L), or d < L/20 (Ref. 10-5). Deep-water waves occur when the water depth is greater
than 0.5 times the wave length, or d > L/2. In between these two (L/20 < d < L/2), transitional
waves occur. It is important to remember that deep and shallow-water waves are not defined by
the absolute depth of water, but by the ratio of water depth to wave length (d/L). Oftentimes,
the deepwater wave length (Lo) is known, but the wave length at a specific depth is unknown.
The ratio of the water depth to the wave length d/L can easily be estimated using Table 10.2-2.
For each case (shallow, deep, or transitional), some water characteristics will change
(Table 10.2-3). The variable z in this table represents the depth of interest (Figure 10.2-11). For
example, when looking at the maximum horizontal orbital velocity at the bed (Vorb,bm), z in the
Wave Particle Horizontal Orbital Velocity equation given by Table 10.2-3 equals the negative
total water depth (z = -d), and the phase angle (w) is equal to 0, 2, etc. (Figure 10.2-12).
10-8

Figure 10.2-11. Wave orbital velocity description (Ref. 10-5).

Figure 10.2-12. Local Wave Velocities (Ref. 10-5).

The equations presented in Table 10.2-3 assume a linear wave theory to predict and
describe wave behavior. Linear theory is valid when the wave height is small relative to the
wave length. Higher-order wave theories are available (Ref. 10-5) and should be used when the
problem requires more accuracy.
The Keulegan-Carpenter number (KC) is an important parameter in marine scour. The
KC number (Equation 10-3) governs the wake pattern produced by oscillatory flow, such as seen
in waves (Ref. 10-6).

10-9

KC =

VmT
D

(10-3)

where:
Vm =
T

D =

maximum velocity of interest (e.g., the maximum orbital velocity at the bed,
Vorb,bm) [L/T]
wave period [T]
diameter of the structure [L]

Small KC numbers (KC < 6) indicate that the orbital motion is small in comparison to
the size of the structure. Large KC numbers (KC 6) indicate that the orbital motion is large in
comparison to the size of the structure (Ref. 10-7). When this occurs, vortices will form around
the structure leading to erosion (Ref. 10-6).

10-10

Table 10.2-2. Relationship Between d/Lo and d/L

diL.
0 0000
0.0001
0.0002
0.0003
0.0004
0.0005
0.0006
0.0007
0.0008
0.0009
0.0010
0.0011
0 0012
0 0013
0.0014
0.0015
0.0016
0.0017
0.0018
0 0010
0 0020
0.0021
0.0022
0.0023
0.0024
0.0025
0.0026
0.0027
0.0028
0.0029
0.0030
0.0031
0 0032
0 0033
0.0034
0.0035
0.0036
0.0037
0.0038
0.0039
0.0040
0.0041
0.0042
0.0043
0.0044
0.0045
0.0046
0.0047
0.0048
0.0049
0.0050
0.0051
0 0052
0 0053
0 0054
0.0055
0.0056
0.0057
0.0058
0.0059
0.0060
0.0061
0.0062
0.0063
0.0064
0.0065
0 0066
0 0067
0 OOR8
0.0069
0.0070
0.0071
0 0072
0 0073
0 0074
0.0075
0.0076
0.0077
0.0078

d/L
00000
0.0040
0.0056
0.0069
0.0080
0.0089
0.0098
0.0106
0.0113
0.0120
0.0126
0.0132
00138
00144
0.0149
0.0155
0.0160
0.0165
0.0170
00174
00179
0.0183
00188
0.0192
0.0196
0.0200
0.0204
00208
0.0212
0.0215
0.0219
0.0223
00226
00230
00233
0.0237
0.0240
0.0244
0.0247
0.0250
0.0253
0.0257
0.0260
0.0263
0.0266
0.0269
0.0272
0.0275
0.0278
0.0281
0.0284
0.0286
00289
00292
00295
0.0298
0.0300
0.0303
0.0306
00308
0.0311
0.0314
0.0316
0.0319
0.0321
0.0324
00326
00329
om~1

0.0334
0.0336
0.0339
00341
00343
00346
0.0348
0.0351
0.0353
0.0355

diL.
0.0079
0.0080
0.0081
0.0082
0.0083
0.0084
0.0085
0.0086
0.0087
0.0088
0.0089
0.0090
00091
00092
0.0093
0.0094
0.0095
0.0096
0.0097
00008
00099
0.0100
0.0110
0.0120
0.0130
0.0140
0.0150
0.0160
00170
0.0180
0.0190
0.0200
00210
00220
0.0230
0.0240
0.0250
0.0260
0.0270
0.0280
0.0290
0.0300
0.0310
0.0320
0.0330
0.0340
0.0350
00360
0.0370
0.0380
0.0390
0.0400
00410
00420
00430
0.0440
0.0450
0.0460
0.0470
0.0480
0.0490
0.0500
0.0510
0.0520
0.0530
0.0540
00550
00560
0 0"70
0.0580
0.0590
0.0600
00610
00620
00630
0.0640
0.0650
0.0660
0.0670

d/L
00358
0.0360
0.0362
0.0364
0.0367
0.0369
0.0371
0.0373
0.0376
0.0378
0.0380
0.0382
00384
00386
0.0389
0.0391
0.0393
0.0395
0.0397
00300
00401
0.0403
0.0423
0.0443
0.0461
0.0479
0.0496
0.0513
0.0530
0.0546
0.0561
0.0576
00591
0 0606
00620
0.0634
0.0648
0.0661
0.0675
0.0688
0.0701
0.0713
0.0726
00738
0.0751
0.0763
0.0775
0.0787
0.0798
0.0810
0.0822
0.0833
00844
00855
0 0866
0.0877
0.0888
0.0899
0.0910
0.0920
0.0931
0.0942
0.0952
0.0962
0.0973
0.0983
00993
01003
0101:1
0.1023
0.1033
0.1043
01053
0 1063
01072
0.1082
0.1092
0.1101
0.1111

diL.
00680
0.0690
0.0700
0.0710
0.0720
0.0730
0.0740
0.0750
0.0760
00770
0.0780
0.0790
00800
00810
0.0820
0.0830
0.0840
0.0850
0.0860
00870
00880
0.0890
0.0900
0.0910
0.0920
0.0930
0.0940
0.0950
0.0960
0.0970
0.0980
0.0990
0 1000
0 1010
0 1020
0.1030
0.1040
0.1050
0.1060
0.1070
0.1080
0.1090
0.1100
0.1110
0.1120
0.1130
0.1140
0.1150
0.1160
0.1170
0.1180
0.1190
0 1200
0 1210
0 1220
0.1230
0.1240
0.1250
0.1260
0.1270
0.1280
0.1290
0.1300
0.1310
0.1320
0.1330
0 1340
0 1350
0 1:lRO
0.1370
0.1380
0.1390
0 1400
0 1410
0 1420
0.1430
0.1440
0.1450
0.1460

d/L
0.1120
0.1130
0.1139
0.1149
0.1158
0.1168
0.1177
0.1186
0.1195
0.1205
0.1214
0.1223
0 1232
0 1241
0.1250
0.1259
0.1268
0.1277
0.1286
0 1205
0 1304
0.1313
0.1322
0.1331
0.1340
0.1349
0.1357
0.1366
0.1375
0.1384
0.1392
0.1401
0 1410
0 1418
0.1427
0.1436
0.1444
0.1453
0.1462
0.1470
0.1479
0.1488
0.1496
0.1505
0.1513
0.1522
0.1530
0.1539
0.1547
0.1556
0.1564
0.1573
0 1581
0 1590
0 1598
0.1607
0.1615
0.1624
0.1632
0.1640
0.1649
0.1657
0.1666
0.1674
0.1682
0.1691
0 1699
0 1708
0 171R
0.1724
0.1733
0.174 1
0 1750
0 1758
0 1766
0.1775
0.1783
0.1791
0.1800

diL.
01470
0.1480
0.1490
0.1500
0.1510
0.1520
0.1530
0.1540
0.1550
0.1560
0.1570
0.1580
01590
01600
0.1610
0.1620
0.1630
0.1640
0.1650
01660
01670
0.1680
0.1690
0.1700
0.1710
0.1720
0.1730
0.1740
0.1750
0.1760
0.1770
0.1780
01790
01800
01810
0.1820
0.1830
0.1840
0.1850
0.1860
0.1870
0.1880
0.1890
0.1900
0.1910
0.1920
0.1930
0.1940
0.1950
0.1960
0.1970
0.1980
01990
02000
02010
02020
0.2030
02040
02050
0.2060
0.2070
0.2080
0.2090
0.2100
0.2110
0.2120
0.2130
02140
0 ?1"0
0.2160
0.2170
0.2180
02 190
02200
02210
02220
02230
02240
02250

d/L
0.1808
0.1816
0.1825
0.1833
0.1841
0.1850
0.1858
0.1866
0.1875
0.1883
0.1891
0.1900
01908
01916
0.1925
0.1933
0.1941
0.1950
0.1958
01066
01975
0.1983
0.1991
0.2000
0.2008
0.2016
0.2025
0.2033
0.2042
0.2050
0.2058
0.2067
02075
02083
02092
0.2100
0.2108
0.2117
0.2125
0.2134
0.2142
0.2150
0.2159
0.2167
0.2175
0.2184
0.2192
0.2201
0.2209
0.2217
0.2226
0.2234
02 243
02251
02260
0.2268
0.2276
0.2285
0.2293
0.2302
0.2310
0.2319
0.2327
0.2336
0.2344
0.2353
02361
02370
0 ?378
0.2387
0.2395
0.2404
02412
02421
02429
0.2438
0.2446
0.2455
0.2463

diL.
02260
02270
0 2280
02290
02300
02310
02320
02330
02340
02350
02360
02370
0 2380
0 2390
02400
02410
02420
02430
02440
0 2450
0 2460
02470
02480
02490
02500
02510
02520
02530
02540
02550
02560
02570
0 2580
0 2590
02600
02610
02620
02630
02640
02650
02660
02670
02680
02690
02700
0.2710
02720
02730
02740
02750
02760
02770
0 2780
0 2790
0 2800
02810
02820
02830
02840
02850
02860
02870
02880
02890
02900
02910
0 2920
0 2930
0 ?fl40
02950
02960
02970
0 2980
0 2990
0 3000
0.3010
0.3020
0.3030
0.3040

d/L
02472
02480
02489
02498
02506
02515
02523
02532
02540
02549
02558
02566
02575
02584
02592
02601
02609
02618
02627
02635
02644
02653
02661
0.2670
0.2679
0.2687
0.2696
0.2705
0.2714
0.2722
0.2731
0.2740
02749
02757
02766
02775
0.2784
02792
02801
02810
0.2819
0.2827
0.2836
0.2845
02854
02863
02871
0.2880
0.2889
0.2898
0.2907
0.2916
0.2925
0.2933
0.2942
0.2951
0.2960
0.2969
02978
02987
0.2996
0.3005
0.3014
0.3023
0.3031
0.3040
03049
03058
0 30R7
0.3076
0.3085
0.3094
03103
03112
03121
0.3130
0.3139
0.3148
0.3157

diL.
03050
0.3060
0.3070
0.3080
0.3090
0.3100
0.3110
0.3120
0.3130
0.3140
0.3150
0.3160
0 3170
03180
0.3190
0.3200
0.3210
0.3220
0.3230
0 3240
03250
0.3260
0.3270
0.3280
0.3290
0.3300
0.3310
0.3320
0.3330
0.3340
0.3350
0.3360
03370
0 3380
03390
0.3400
0.3410
0.3420
0.3430
0.3440
0.3450
0.3460
0.3470
0.3480
0.3490
0.3500
0.3510
0.3520
0.3530
0.3540
0.3550
0.3560
03570
03580
0 3590
0.3600
0.3610
0.3620
0.3630
0.3640
0.3650
0.3660
0.3670
0.3680
0.3690
0.3700
03710
03720
0 ~730
0.3740
0.3750
0.3760
03770
03780
03790
0.3800
0.3810
0.3820
0.3830

10-11

d/L
0 3166
0.3175
0.3184
0.3193
0.3202
0.3212
0.3221
0.3230
0.3239
0.3248
0.3257
0.3266
0 3275
03284
0.3293
0.3303
0.3312
0.3321
0.3330
03330
03348
0.3357
0.3367
0.3376
0.3385
0.3394
0.3403
0.3412
0.3422
0.3431
0.3440
0.3449
0 3458
0 3468
03477
0.3486
0.3495
0.3505
0.3514
0.3523
0.3532
0.3542
0.3551
0.3560
0.3570
0.3579
0.3588
0.3597
0.3607
0.3616
0.3625
0.3635
0 3644
0 3653
0 3663
0.3672
0.3681
0.3691
0.3700
0.3709
0.3719
0.3728
0.3738
0.3747
0.3756
0.3766
03775
0 3785
0 37fl4
0.3803
0.3813
0.3822
0 3832
0 3841
0 3850
0.3860
0.3869
0.3879
0.3888

diL.
03840
0.3850
0.3860
0.3870
0.3880
0.3890
0.3900
0.3910
0.3920
0.3930
0.3940
0.3950
03960
03970
0.3980
0.3990
0.4000
0.4010
0.4020
04030
0.4040
04050
04060
0.4070
04080
04090
0.4100
04110
04120
04130
04140
0.4150
0.4160
0.4170
04180
04190
0.4200
0.4210
04220
04230
04240
04250
04260
04270
04280
04290
04300
04310
04320
04330
04340
0.4350
0.4360
0.4370
0.4380
04390
04400
0.4410
04420
04430
04440
04450
04460
04470
0.4480
0.4490
04500
04510
04"?0
04530
04540
04550
04560
04570
04580
04590
04600
04610
04620

d/L
0.3898
0.3907
0.3917
0.3926
0.3936
0.3945
0.3955
0.3964
0.3974
0.3983
0.3993
0.4002
0.4012
04021
04031
04040
0.4050
0.4059
0.4069
04078
04088
04097
04107
04116
04126
04136
04145
0.4155
0.4164
0.4174
0.4183
0.4193
0.4203
04212
04222
04231
04241
04251
04260
04270
04279
0.4289
0.4299
0.4308
04318
04327
04337
0.4347
0.4356
0.4366
0.4376
0.4385
0.4395
04405
04414
04424
04434
04443
04453
04463
04472
0.4482
0.4492
0.4501
0.4511
0.4521
04530
04540
04S"O
0.4560
0.4569
0.4579
04589
0.4598
04608
04618
04628
04637
04647

diL.
04630
04640
04650
04660
04670
04680
04690
04700
04710
04720
0.4730
0.4740
0.4750
0.4760
04770
04780
0.4790
0.4800
0.4810
04820
04830
04840
04850
04860
04870
04880
04890
04900
04910
04920
0.4930
0.4940
0.4950
0.4960
04970
04980
04990
0.5000
0.5010
0.5020
0.5030
0.5040
0.5050
0.5060
0.5070
0.5080
0.5090
0.5100
0.5110
0.5120
0.5130
0.5140
05150
05160
05170
0.5180
0.5190
0.5200
0.5210
0.5220
0.5230
0.5240
0.5250
0.5260
0.5270
0.5280
05290
05300
0 "~10
0.5320
0.5330
0.5340
05350
05360
05370
0.5380
0.5390
0.5400
0.5410

d/L
04657
04666
04676
04686
04696
04705
04715
04725
04735
04744
0.4754
0.4764
0.4774
04783
04793
04803
04813
04822
04832
04842
04852
04862
04871
04881
04891
0.4901
0.4910
0.4920
0.4930
0.4940
0.4950
0.4959
0.4969
04979
04989
04999
0.5008
0.5018
0.5028
0.5038
0.5048
0.5058
0.5067
0.5077
0.5087
0.5097
0.5107
0.5116
0.5126
0.5136
0.5146
0.5156
05166
05175
05185
05195
05205
0.5215
0.5225
0.5235
0.5244
0.5254
0.5264
0.5274
0.5284
0.5294
05304
05313
0 "3?3
0.5333
0.5343
0.5353
05363
05373
05382
0.5392
0.5402
0.5412
0.5422

diL.
0.5420
0.5430
0.5440
0.5450
0.5460
0.5470
0.5480
0.5490
0.5500
0.5510
0.5520
0.5530
0 5540
0 5550
0.5560
05570
0.5580
0.5590
0.5600
0 5610
0 5620
0.5630
0.5640
0.5650
0.5660
0.5670
0.5680
0.5690
0.5700
0.5710
0.5720
0.5730
0 5740
0 5750
05760
05770
0.5780
0.5790
0.5800
0.5810
0.5820
0.5830
0.5840
0.5850
0.5860
0.5870
0.5880
0.5890
0.5900
0.5910
0.5920
0.5930
0 5940
0 5950
0 5960
05970
0.5980
0.5990
0.6000
0.6010
0.6020
0.6030
0.6040
0.6050
0.6060
0.6070
0 6080
0 6090
0 R100
0.6110
0.6120
0.6130
0 6140
0 6150
0 6160
0.6170
0.6180
0.6190
0.6200

d/L
05432
05442
0.5452
0.5461
0.5471
0.5481
0.5491
0.5501
0.5511
0.5521
0.5531
0.5540
05550
05560
05570
0.5580
0.5590
0.5600
0.5610
05620
05630
05639
0.5649
0.5659
0.5669
0.5679
0.5689
0.5699
0.5709
0.5719
0.5729
0.5738
05748
05758
05768
0.5778
0.5788
0.5798
0.5808
0.5818
0.5828
0.5838
0.5848
0.5857
0.5867
0.5877
0.5887
0.5897
0.5907
0.5917
0.5927
0.5937
05947
05957
05967
05977
0.5986
0.5996
0.6006
0.6016
0.6026
0.6036
0.6046
0.6056
0.6066
0.6076
06086
06096
0 R10R
0.6116
0.6126
0.6135
06145
06155
06165
0.6175
06185
0.6195
0.6205

diL.
06210
0.6220
0.6230
0.6240
0.6250
0.6260
0.6270
0.6280
0.6290
0.6300
0.6310
0.6320
06330
06340
0.6350
0.6360
0.6370
0.6380
0.6390
06400
06410
0.6420
0.6430
0.6440
0.6450
0.6460
0.6470
0.6480
0.6490
0.6500
0.6510
0.6520
06530
06540
06550
0.6560
0.6570
0.6580
0.6590
0.6600
0.6700
0.6800
0.6900
0.7000
0.7100
0.7200
0.7300
0.7400
0.7500
0.7600
0.7700
0.7800
0 7900
08000
08100
0.8200
0.8300
0.8400
0.8500
0.8600
0.8700
0.8800
0.8900
0.9000
0.9100
0.9200
09300
09400
0 ~"00
0.9600
0.9700
0.9800
09900
10000

d/L
0 6215
0.6225
0.6235
0.6245
0.6255
0.6265
0.6275
06285
0.6295
0.6305
0.6315
0.6324
06334
06344
0.6354
0.6364
0.6374
0.6384
0.6394
0 6404
0 6414
0.6424
0.6434
0.6444
0.6454
0.6464
0.6474
0.6484
0.6494
0.6504
0.6514
0.6524
0 6534
06544
0 6553
0.6563
0.6573
0.6583
0.6593
0.6603
0.6703
0.6803
0.6902
0.7002
0.7102
0.7202
0.7302
0.7401
0.7501
0.7601
0.7701
0.7801
0 7901
0 8001
0 8101
0.8201
0.8300
0.8400
0.8500
0.8600
0.8700
0.8800
0.8900
0.9000
0.9100
0.9200
0 9300
0 9400
o q"oo
0.9600
0.9700
0.9800
0 9900
1 0000

Table 10.2-3. Important Wave Parameters Linear Wave Theory (Ref. 10-5).

10.2.2.3 Ship Propellers

Propeller-induced scour may occur and must be considered in the design of marine
structures. The propeller of a ship or vessel produces a turbulent jet that erodes the soil if the
velocities exceed the critical velocity of the soil. Propellers can produce speeds of up to 13-26
ft/s (Ref. 10-8). By comparison, tidal currents are about 3-7 ft/s. The propeller draws fluid in
during motion with the flow accelerating into the jet up to a distance of approximately twice the
propeller diameter downstream (Ref. 10-9). The velocity field also spreads out from the
propeller in a cone shape, with the velocity decreasing with increasing distance from the
propeller. The maximum velocity near the bed (Vb,max) due to the propeller can be estimated
from Equation 10-4 (Ref. 10-10) using the units indicated.

ft
ft D p ( ft )
Vb ,max = C1V0
s
s H p ( ft )

(10-4)

10-12

where:
V0 = initial centerline propeller velocity defined by Equation 10-5 (Ref. 10-10) (ft/s)
C1 = 0.22 for a non-ducted propeller and 0.30 for a ducted propeller
Dp = propeller diameter (ft)
Hp = vertical distance from the center of the propeller shaft to the channel bottom (ft)
Note that this Equation 10-4 is valid only when the diameter of the propeller is less than
or equal to 1.2 times the vertical distance from the center of the propeller shaft to the channel
bottom (Dp/Hp 1.2). Also note that in Equation 10-5, the units indicated must be used for each
variable.
1

Pd ( Hp ) 3
Vo ( ft / s ) = F 2
D ( ft )
p

(10-5)

where:
F

Pd =

9.72 for a free or non-ducted propeller and 7.68 for a propeller in a nozzle or a
ducted propeller
engine power (Hp)

The location of the maximum velocity (X) is found at a horizontal distance behind the
propeller equal to 4 to 10 times the height of the propeller (Hp) (Figure 10.2-13). The scour hole
tends to develop symmetrically about the centerline of the propeller wash. Erosion initially takes
place close to the propeller and then deposition of some of that sediment takes place at the end
of the scour hole (Figure 10.2-14a).

Figure 10.2-13. Schematic of unconfined propeller jet (Ref. 10-8).

10-13

When there is a quay wall (Figure 10.2-15) or other obstruction providing confinement
to the propeller wash, the scour profile will change (Figure 10.2-14b). The scour depth will
increase at the base of the wall and the scour hole will widen along the centerline of the wash
(Ref. 10-11).

Figure 10.2-14. Scour hole produced by propeller wash (a) unconfined (b) confined (Ref. 10-11).

Figure 10.2-15. Confined propeller jet (Ref. 10-11).

10.2.3 The Obstacle

An obstacle located in the water will cause a disturbance in the normal flow pattern.
When the water reaches the obstacle, it must flow around it. To maintain the same flow rate,
the water has to accelerate around the obstacle. This acceleration can result in a local velocity
which can be 1.5 times higher than the approach velocity. If the velocity exceeds the critical
velocity (Vc), scour will occur around the obstacle.
If the approach velocity is lower than the critical velocity, but the local velocity at the
obstacle is higher than the critical velocity, clear-water scour will occur. Clear-water scour refers
to scour created by water which either does not carry any soil particles or carries a small
number of soil particles which remain in suspension. If the approach velocity and the local
velocity are both higher than the critical velocity, live-bed scour will occur. Live-bed scour refers
to scour created by water which is carrying a significant amount of soil particles, some of which
fall back on the soil surface. Typically, live-bed scour produces a scour depth smaller than clear
water scour (Figure 10.2-16). This is because some of the particles in suspension during live bed
scour will fall down thereby reducing the size of scour.
10-14

Figure 10.2-16. Clear water vs. live bed scour (Ref. 10-12).

10.2.3.1 Piers
Piers are solid objects piercing the water surface and founded in the bed soil. The
reference pier in most pier scour calculations is a circular cylinder in deep water. The method to
calculate pier scour in cohesionless coarse-grained soils, such as sands and gravels, is described
in the Federal Highway Administration (FHWA) Hydraulic Engineering Circular No. 18 (Ref. 1012). This method will be referred to as the HEC-18 Sand method throughout the chapter.
The method to calculate pier scour in cohesive fine-grained soils, such as clays and silts,
was developed by the Transportation Research Board (TRB) under their National Cooperative
Highway Research Program (NCHRP) in 2004. It is called the Scour Rate in Cohesive SoilsErosion
Function Apparatus Method (SRICOS-EFA) and is described in NCHRP Report 516 (Ref. 10-13). It
is also part of the FHWA-HEC 18. For this chapter, the SRICOS-EFA method will be referred to as
the HEC-18 Clay method.
For each method, correction factors must be applied to the calculated scour depth to
account for differences between the pier considered and the reference pier. This can include
modifications in pier shape, angle of attack, bed grain size, water depth, and pier spacing. These
methods are described below.
10.2.3.1.1 Piers in Coarse-Grained Soils: Correction Factors
Before calculating the pier scour depth by the HEC-18 Sand method, described in
Section 10.4.1.1, several factors that impact pier scour must be investigated. The shape and size
of a pier greatly influences the flow of water around it. The most common pier shapes are
circular and rectangular. Circular piers tend to have less scour than rectangular piers, with
square piers experiencing the greatest scour depth (Figure 10.2-17). For a rectangular pier, Lp is
the length and Bp is the width (Lp/Bp = 1 for a square pier).

10-15

Figure 10.2-17. Scour depth versus time curves from flume tests (Ref. 10-13).

Scour calculations for pier scour are based on a circular pier. To account for the
rectangular shape, a shape correction factor (Ksh) is applied to the calculated maximum pier
scour depth (ys,pier). Typically, rectangular piers (Lp/Bp >1) are installed with their length parallel
to the major flow direction. In this case, the length of the pier (Lp) does not have a great
influence (Figure 10.2-17). Therefore, for Lp/Bp >1, a good approximation for the shape factor is
1.1.
The shape of the nose for the pier also impacts scour. The nose shape is typically the
first interaction between the water and the obstacle. The reference pier is circular so there is no
correction factor needed for this standard case. For different pier nose shapes (Figure 10.2-18),
recommended shape correction factors are given in Table 10.2-4.

Figure 10.2-18. Common pier shapes (Ref. 10-12).

10-16

Table 10.2-4. Correction factor for pier nose shape (Ref. 10-12).

Shape of Pier Nose

Correction Factor (Ksh)

Square

1.1

Round

1.0

Circular Cylinder

1.0

Sharp

0.9

Group of Cylinders

1.0

Piers are not always placed normal to the flow of water; sometimes, they are skewed.
The attack angle () is the angle between the length direction of the rectangular pier and the
flow direction (Figure 10.2-19). The correction factor for the attack angle (Ka) can be calculated
according to Equation 10-6.

Lp

=
K a sin + cos
B

0.65

(10-6)

where:
Lp =

length of the pier [L]

Bp =

width if the pier [L]

attack angle [deg]

The limiting Lp/Bp ratio is 16. If Lp/Bp is greater than 16, the ratio should be reduced to
16 for use in Equation 10-6.
The attack angle correction factor increases with increasing attack angle (Figure
10.2-20). The scour depth therefore increases as the pier is more skewed. For attack angles
greater than 5, Ka will dominate and Ksh should be taken as 1.0. Otherwise ( < 5), apply both
factors as needed.
The condition of the seafloor or channel bed must also be taken into account (Figure
10.2-21). A correction factor for bed conditions is typically based on dune height. Dunes are
repeating hills formed during sediment transport, or the movement of soil across the bed. If
present, their effect must be accounted for by using a bed condition correction factor (Kb).Table
10.2-5 provides some recommended values for Kb.

10-17

Figure 10.2-19. Attack angle () definition (Ref. 10-14).

Figure 10.2-20. Correction factor (Ka) for attack angle (Ref. 10-15).

Figure 10.2-21. Bed forms (Ref. 10-16).

10-18

Table 10.2-5. Correction factor for bed conditions (Ref. 10-12).

Bed Conditions

Dune Height (ft)

Kb

Clear-Water Scour

N/A

1.1

Plane Bed and Anti-Dune Flow

N/A

1.1

Small Dunes

2-10

1.1

Medium Dunes

10-30

1.1-1.2

Large Dunes

30

1.3

A correction factor for armoring by bed material size (Kar) is another factor that must be
taken into account when considering pier scour in coarse-grained soils. This factor is beneficial
as it reduces the scour depth. It accounts for the fact that as finer particles erode, the coarser
particles form an armor on the bed and decrease scour. If the median diameter of the bed
material (D50) is less than 0.0066 feet or the diameter of the bed particles for which 95% are
smaller (D95) is less than 0.067 feet, then Kar is equal to unity. If these conditions are not met,
then Kar is found according to Equation 10-7. The minimum value for Kar is 0.4.

K ar

0.053

D50
13

V1 0.645
(11.17) y11 6 D50

0.4

0.053

D
16 13
16 13
95
(11.17) y1 D50 0.645 B (11.17) y1 D95
p

0.15

0.4

(10-7)

where:
V1 =

average velocity upstream of the pier [L/T]

Bp =

width if the pier [L]

y1 =

average water depth upstream of the pier [L]

The scour depth also depends on the width of the pier in relation to the water depth. If
the following conditions are met, a wide pier in shallow water correction factor (Kws) should be
applied (Equation 10-8): the water depth (y) is less than 0.8Bp (y/Bp < 0.8), the width of the pier
is greater than 50D50 (Bp/D50 > 50), and the Froude number (Fr) is less than 1.

10-19

K ws

0.34

y
2.58 Fr10.65 for V < 1
B
Vc

p
=
0.13
y
V
0.25
1
1.0 Fr1 for
B
V
c
p

(10-8)

where:
y

water depth [L]

Bp =

width if the pier [L]

F1 =

upstream Froude number (Equation 10-9)

Vc =

average velocity [L/T]

critical velocity [L/T]

The upstream Froude number is given by Equation 10-9:

Fr =

V
gy

(10-9)

where:
V

average velocity [L/T]

acceleration due to gravity [L/T2]

water depth [L]

The subscript for the Froude number in Equation 10-8 (Fr1) simply means that in the
Froude number calculation (Equation 10-9), y1, the average water depth upstream and V1, the
original approach velocity are used.
The Froude number is a dimensionless value that describes the ratio of inertial forces to
gravitational forces. If Fr is less than 1, the flow is considered subcritical; if Fr is equal to 1, the
flow is critical; if Fr is greater than 1, the flow is supercritical. Subcritical flow refers to a calm
flow in which the velocity is small and the water depth is high. Conversely, supercritical flow
refers to a rapid flow in which the velocity is high and the water depth is low. Critical flow occurs
when both the velocity and water depth are critical.

10-20

10.2.3.1.2 Piers in Fine-Grained Soils: Correction Factors

For fine-grained soils, corrections for water depth, pier spacing, and pier shape must be
taken into account. The pier nose shape correction factor (Ksh) for the HEC-18 Clay method is
the same as in HEC-18 Sand (Table 10.2-4). With respect to water depth, when the ratio of the
water depth (y) to the pier width (Bp), is less than 1.62, the water is considered shallow (Ref. 1013). A shallow water correction factor (Kw) must be used in this case (Equation 10-10). Note
that scour for piers located in deep water (y/Bp >1.62) is independent of the water depth (Kw =
1).

y
=
K w 0.85
B
p

0.34

for

y
< 1.62
Bp

(10-10)

where:
y

Bp =

water depth [L]

width of the pier [L]

Another correction exists for the pier spacing effect (Ksp). Scour depth increases as piers
get closer together. This causes a contraction in the normal flow as the water has to move
between piers. The spacing correction factor is given by Equation 10-11.

K sp =

Wp

(10-11)

Wp n p Bp

where:
Wp =

width of the channel without the piers [L]

np =

number of piers

Bp =

width of the pier [L]

10.2.3.2 Contractions
A contraction causes the area of flow to reduce (Figure 10.2-22). To maintain the same
flow rate, the water must accelerate through the contraction. If the increased velocity exceeds
the critical velocity (Vc), contraction scour will occur.

10-21

Figure 10.2-22. Schematic of contraction scour (Ref. 10-13).

The critical velocity can be estimated by Equation 10-12 for coarse grained soils (using
the units indicated) or by Figure 10.2-4 for all soils. Note that the maximum contraction scour
depth (ys,contraction) will occur at a location Xmax from the beginning of the contracted section
(Figure 10.2-22).
1
1
ft
Vc = 11.17 ( y1 ( ft ) ) 6 ( D50 ( ft ) ) 3
s

(10-12)

where:
y1 =

average water depth upstream of the pier (ft)

D50 =

median grain size of the soil (ft)

For coarse-grained soils, HEC-18 Sand does not suggest any correction factors to their
proposed scour equations. The HEC-18 Clay method, however, does recommend correction
factors for the transition angle (K) and the contraction length (KL). Tests to investigate the
influence of the transition angle on scour have shown that the scour depth is independent of
the transition angle (K = 1) (Ref. 10-13).
The transition angle () does have an impact on the location of maximum scour (Xmax)
though. The location of maximum scour for a transition angle (Xmax()) can be expressed as the
location of maximum scour for no contraction (Xmax(90o)) multiplied by a transition angle
correction factor (K/Xmax). The transition angle correction factor for location of maximum scour
(K/Xmax) is given by Equation 10-13.

10-22

K / X max =

X max ( )
1
= 1+
o
2 tan
X max (90 )

(10-13)

Generally, the length of the contraction (Lc) has no impact on the scour depth or its
location (KL = 1). When the length is smaller than of the contraction width (Wc), however,
increasing the predicted ys,contraction and Xmax values is necessary. A correction factor for this case
has not been introduced. Further research is needed to obtain the contraction length factor
(KL).
10.2.3.3 Abutments and Walls
Abutments can be considered as acting like half of a wide pier, which also creates
significant contraction for bridges. Therefore, the size and shape of the abutment, along with its
contraction ratio, are important factors in abutment scour development. There are three
common types of abutments: vertical wall abutments, wing-wall abutments, and spill through
abutments (Figure 10.2-23). Typically, the blunter the face of the abutment, the deeper the
abutment scour hole will be (Ref. 10-15). Therefore, spill-through abutments tend to produce
less scour than vertical and wing-wall abutments.
To account for the shape of the abutment, a shape factor (Ks) or correction must be
made in the HEC-18 Sand method (Table 10.2-6). Reference 10-17 also recommends values for
various abutment shapes (Figure 10.2-23).

Figure 10.2-23. Abutment types (Ref. 10-17).

10-23

Table 10.2-6. Correction factor for abutment shape (Ref. 10-12).

Abutment Shape

Shape Factor, Ks

Vertical Wall

1.00

Vertical Wall with Wing Walls

0.82

Spill-Through

0.55

As with pier scour, the alignment of the abutment (K) must also be considered
(Equation 10-14). In Equation 10-14, is the angle of the abutment [deg].

K = o
90

0.13

(10-14)

An abutment that is perpendicular to the flow has an angle () equal to 90. The angle
of the abutment () is less than 90 if the abutment points downstream and greater than 90 if
the abutment points upstream. The HEC-18 Clay method is currently limited to pier and
contraction scour so there is no verified method to calculate abutment scour in cohesive soils.
The HEC-18 Sand method does have equations for abutment scour in cohesionless soils.
Walls typically serve as protection structures. For stable bank protection, vertical walls
or bulkheads are common. For flood protection, seawalls are usually chosen. When a vertical
wall is parallel to the flow, local velocities will often increase at the wall face producing an
increase in boundary shear stress (Ref. 10-12). The increase in velocity at the wall boundary is
due to a decrease in roughness as the wall is typically smoother than the natural soil. For
example, a natural sand channel may have a Mannings roughness coefficient (n) of
approximately 0.025 whereas a vertical concrete wall may have a roughness of about 0.015 (Ref.
10-18). The resulting increase in shear stress at the wall boundary will cause scour along the
wall. Scour will continue until the increase in flow area causes the velocity to equal the average
channel velocity. Conversely, if the wall is rougher than the soil bottom, then deposition can
occur near the wall.
In coastal environments, a seawall is often used to protect the shoreline. Scour around
the toe of seawalls can cause a dislocation of the foundation material, geotechnical instability,
and modification of wave patterns in front of the wall. If the scour becomes large enough, a
major failure can occur. Typically, seawalls are vertically faced, but they can also be inclined.
Theoretically, reducing the slope of the seawall will produce less scour at the toe of the seawall
(Ref. 10-19). Scour calculated for a vertical wall will therefore be a conservative estimate for a
sloping seawall under the same conditions.

10-24

10.2.3.4 Pipelines and Cables

Pipelines and cables are typically laid along the bed of a body of water, but they can also
be buried or trenched. Pipelines often transport oil and gas from offshore platforms, while
cables typically anchor platforms to the seafloor. For pipelines and cables resting on the surface
of the seafloor, scour due to both waves and currents can undermine the underlying soil,
causing the pipeline to be suspended in free span (Figure 10.2-24). As indicated in the figure,
scour will not occur across an entire pipeline. Some spans of pipeline will experience scour,
while other spans may experience burial from the soil removed during scour.

Figure 10.2-24. Pipeline scour (Ref. 10-20).

The conditions of the water flow can impact the resulting pipeline scour. Under a
current, the velocity of interest is the velocity flowing across the top of the pipeline (Vpl). Under
both current and waves, the velocity of interest is the maximum orbital velocity at the seafloor
(Vorb,bm).
Water depth is an important parameter in pipeline scour. More scour is expected in
shallow waters as compared to deep waters. The embedment depth (e) of the pipeline,
measured from the surface of the seafloor to the bottom of the pipeline (see Figure 10.2-25), is
also a factor. If the depth of embedment is greater than or equal to half of the diameter of the
pipeline (e Dpl/2), scour will not develop (Ref. 10-21). It is often costly to install the pipeline to
this embedment depth, so a cost-benefit analysis is often needed. If the pipeline is less than half
buried, scour must be evaluated.
There are three stages of pipeline scour: the onset of scour, tunnel erosion, and leewake erosion. The onset of scour begins as a pressure difference forms between the upstream
and downstream sides of the pipeline. This pressure difference is the result of the current
flowing across the pipeline.
Seepage is induced in the soil underneath the pipeline because of this pressure
difference. The surface of the soil immediately downstream of the pipe will begin to rise. As this
continues, a point will be reached where the risen sand on the downstream side, mixed with
water, breaks off and boils up; this is called piping. The result is a small gap that forms below the
pipeline and the seafloor.
Reference 10-6 describes the criterion for the onset of scour due to a current (Equation
10-15, Figure 10.2-25). Note that Equation 10-15 uses English units.

10-25

 lb
0.5

s 3
2
ft
e( ft ) ft

1
0.0023exp 9
g 2 D pl ( ft )(1 ns )

D pl ( ft ) s

lb


w 3
ft

ft
=
V pl2 ,c 2
s
2

(10-15)

where:
Vpl,c =
e

Dpl =
g

critical velocity of the coarse-grained soil for pipeline scour to be initiated (ft/s)
embedment depth of the pipeline (ft)
pipeline diameter (ft)
acceleration due to gravity (ft/s2)

ns =

soil porosity

s =

specific weight of the soil grains (lb/ft3)

w =

specific weight of water (lb/ft3)

If the velocity flowing across the top of the pipeline (Vpl) exceeds the critical velocity
(Vpl,c) found by Equation 10-15, then scour will occur. The criterion for the onset of scour due to
a current can also be expressed graphically (Figure 10.2-25).

Figure 10.2-25. Onset of scour due to currents (Ref. 10-22).

In this figure (Figure 10.2-25), Vpl,c is the critical velocity of the coarse-grained soil for
pipeline scour to be initiated, g is the acceleration due to gravity, Dpl is the pipeline diameter,
D50 is the mean grain size, ns is the soil porosity, s is the specific weight of the soil grains, w is
the specific weight of water, y is the water depth, and e is the embedment depth. If the velocity
10-26

flowing across the top of the pipeline (Vpl) exceeds the critical velocity (Vpl,c) found either by
Figure 10.2-25 or Equation 10-15, then scour will occur.
Note that the above figures and equations for pipeline scour are only valid for
cohesionless soils (i.e., coarse-grained soils). The permeability and soil properties of cohesive
soils such as clays will influence the scour process. For example, an impermeable soil would not
experience the onset of scour because seepage would not occur.
If the pipeline is exposed to waves, the onset of scour will be determined differently.
First, the velocity that should be considered is the maximum orbital velocity at the bed (Vorb,bm)
rather than the undisturbed flow velocity at the top of the pipeline (Vpl) as used in the current
only formulation. The maximum orbital velocity at the bed can be calculated using Table 10.2-2.
Knowing the embedment depth ratio (e/Dpl) and the Keulegan-Carpenter (KC) number
(Equation 10-3), the critical velocity for pipelines under wave forces (Vorb,bm,c) can be found by
using Figure 10.2-26. If the velocity across the pipeline (Vorb,bm) exceeds the critical velocity
(Vorb,bm,c) found in Figure 10.2-26, scour will occur.

Figure 10.2-26. Onset of scour due to waves (Ref. 10-22).

10-27

The onset of scour is typically followed by tunnel erosion. Tunnel erosion occurs as a
result of high shear stresses on the bed that develop when water flows through the small gap
that formed between the pipeline and the soil during the onset of scour. This increase in shear
stress at the bed leads to further erosion below the pipeline (Ref. 10-23). Scour depth can
substantially increase during this stage. If the flow depth is greater than 3.5 times the pipe
diameter (y > 3.5Dpl), however, there is no tunnel erosion (Ref. 10-24).
The final stage of scour under pipelines is termed lee-wake erosion. This stage is
governed by vortex shedding (Ref. 10-25). The vortex shedding begins when the gap between
the pipeline and the bed reaches a certain depth (Ref. 10-6). Under a current, the sediment
transport will greatly increase on the lee side of the pipeline, resulting in lee-wake erosion. This
will continue until equilibrium occurs. Under waves, erosion will take place on both sides of the
pipeline due to the oscillatory motion of the water.
10.2.3.5 Footings
Footings are shallow foundations that do not pierce the water surface. They can either
rest on the seafloor or penetrate the seafloor. Scour for footings must be corrected for factors
such as shape, size, angle of attack, and bed conditions in the same manner as for piers. Like
pipelines, footings are also susceptible to burial.
Observations on scour at small footings and objects on the seafloor (Ref. 10-26) show
that objects placed in shallow ocean water depths of less than 30 feet are buried very quickly. At
depths of around 60 feet, no burial was observed, but scour around footings caused settlement
and tilting. The critical velocity for scour around footings can be approximated by using Figure
10.2-4 for all soils. Higher velocity currents will bury the footings more rapidly. Lower velocity
currents are not expected to result in significant scour under the footing.

10.3 ESTIMATING GENERAL SCOUR

General scour refers to the change in seafloor level that would occur even if the
structure was not present. It can also be referred to as bed degradation or bed aggradation.
General scour can be broken down into short-term and long-term scour. Short-term general
scour occurs as a result of a single event, such as a hurricane or flood. Long-term general scour
refers to the progressive change of the bed due to natural hydrological or geomorphological
changes over a long period of time.
The best method for estimating long term scour at a location is from historical data for
the site. Often, however, records are not kept concerning the seafloor elevation at a particular
site. In the absence of this data, general scour can be roughly estimated according to empirical
correlations, discussed below.

10-28

There are several methods available to estimate the magnitude or depth of general
scour. The best approach is to use a range of these methods. Field observations and engineering
judgment will dictate the initial quantitative estimate of general scour depth.
The maximum general scour (ygs) can be roughly estimated (20%) by Equation 10-16
(Ref. 10-26).

=
ygs 1.15 H e 4.1

(10-16)

where He is the annual extreme wave height (Equation 10-17, Ref. 10-27), which is the
significant wave height exceeded 12hr/yr.

He =
H s + 5.6 d 4.5 H s

(10-17)

where:

Hs =

average monthly significant wave height [L]

d =

standard deviation of the monthly average significant wave heights [L]

Hs =

significant wave height = average of the highest one-third of the waves [L]

As scour occurs, the soil is moved and accumulated in another location. The maximum
bar height is the highest elevation of this marine sediment deposition. If the maximum bar
height in the area of interest is known, the magnitude of maximum scour can be estimated as
twice the maximum bar height, but may be as much as three times the maximum bar height in
some locations (Ref. 10-28).
General scour can also be determined from the erosion function found during EFA
testing (Figure 10.2-7). The shear stress on the bed, under current only, can be estimated using
Equation 10-18 (Ref. 10-29).

bc = CDVb2

(10-18)

where:

mass density of water [FT2/L4]

CD =

drag coefficient computed using Equation 10-19 (Ref. 10-29)

Vb =

mean depth water velocity of the current [L/T]

10-29

0.4

CD =

zo
1 + ln
y

(10-19)

where:
z0 =
y

hydraulic roughness length [L]

water depth [L]

The hydraulic roughness length (z0) is the distance, or elevation, from the bed
corresponding to an extrapolated zero velocity (Figure 10.3-1). In smooth flow, the velocity is
zero at the bed (z0 = 0); for rough flow, however, the roughness length will increase depending
on the velocity distribution. For coarse-grained soils, the hydraulic roughness length is estimated
according to Equation 10-20 (Ref. 10-29). In Equation 10-20, ks represents the Nikuradse
equivalent bed roughness, which is given by Equation 10-21.

z0 =

ks
30

(10-20)

ks = s Dxs

(10-21)

where:
s =

a proportionality constant (Table 10.3-1)

Dxs =

diameter of the bed material corresponding to a percent finer equal to xs% [L]

Figure 10.3-1. Hydraulic roughness length definition.

10-30

Table 10.3-1. Nikuradse equivalent bed roughness (After Ref. 10-30).

Investigator

Dxs

Ackers & White (1973)

D35

1.23

Hammond et al. (1984)

D50

6.6

Engelund & Hansen (1967)

D65

2.0

Lane & Carlson (1953)

D75

3.2

Gladki (1979)

D80

2.5

Richardson & Davis (2001) - Sand

D84

1.0

Richardson & Davis (2001) - Gravel

D84

3.5

Simons & Richardson (1966)

D85

Hoffmans & Verheij (1997)

D90

3.0

The bed shear stress under waves only (bw) can be estimated using Equation 10-22 (Ref.
10-29).

1
2
bw = f wVorb
,bm
2

(10-22)

where:

mass density of water [FT2/L4]

fw

wave friction factor given by Equation 10-23 (Ref. 10-31)

Vorb,bm =

maximum orbital velocity at the bed (Table 10.2-3) [L/T]

and:

a
f w 0.04
=
ks

1
4

for

a
> 50
ks

(10-23)

where:
a

ks =

semi-orbital length of the wave (Table 10.2-3) [L]

Nikuradse equivalent bed roughness (Equation 10-21)

10-31

There are a number of other equations available to estimate the wave friction factor (fw)
based on different parameters such as the wave period, dynamic viscosity, near-bed orbital
diameter of wave motion, etc. (Ref. 10-32).
According to Reference 10-29, the mean bed shear stress due to both currents and
waves (bcw,m) is found by Equation 10-24. Equation 10-25 presents the maximum bed shear
stress due to both currents and waves (bcw,max).

3.2

bw
=
bcw
bc 1 + 1.2

,m

bc + bw

(10-24)

bcw,max

2
2 2
(

=
bcw , m + bw cos ) + ( bw sin )

(10-25)

where:
bc =

shear stress due to currents only (Equation 10-18) [F/L2]

bw =

shear stress due to waves only (Equation 10-22) [F/L2]

angle between the direction of wave propagation and the direction of the
current

Once the shear stress is found, the corresponding erosion rate () can be determined
from the erosion function (Figure 10.2-7). If the shear stress is less than the critical shear stress
(c), there will be no scour ( = 0). The depth of general scour is then the product of the erosion
rate and the time over which the shearing occurs (ygs = t).

10.4 ESTIMATING LOCAL SCOUR

Local scour refers to scour due to a structure founded on the seafloor or channel bed.
The typical obstacles that are encountered in marine environments have been discussed in
Section 10.2.3. This section will focus on how to calculate the magnitude of scour at each type of
obstacle. Two methods will be discussed: HEC-18 Sand and HEC-18 Clay (also known as SRICOSEFA). HEC-18 Sand is for coarse-grained soils whereas HEC-18 Clay is for fine-grained soils.
10.4.1 Pier Scour
Piers are considered to be either simple or complex. A simple pier is a single solid pier
which is made of a continuous structure from the bottom to the top, such as a cylinder. A
complex pier is made up of several components from the bottom to the top. These components
can be a pile group with a pile cap on top of it and a large column on top of the pile cap.
10-32

The maximum depth of scour is defined as the depth of scour reached when the water
velocity flows over the soil for an infinitely long period of time (zmax). The final depth of scour is
the scour depth reached at the end of the storm event being considered (zfinal). In coarse-grained
soils, one storm (say 24 hours) is usually enough to create the maximum depth of scour.
Therefore, in coarse-grained soils there is no need to distinguish between zmax and zfinal. In finegrained soils, however, the same storm may only generate a fraction of that maximum depth
scour, and zfinal may be much less than zmax. One can be very conservative and use the value of
zmax calculated even for fine-grained soils. However, this may be costly and a method exists to
predict zfinal for a given velocity and given storm duration for pier scour predictions (HEC-18
Clay).
10.4.1.1 Simple Pier Scour in Coarse-Grained Soils (HEC-18 Sand)
For coarse-grained soils, HEC-18 Sand estimates the maximum depth of scour (ys,pier) at
piers by Equation 10-26.

ys , pier

y
= 2 B p K sh K a K b K ar K ws 1
B

0.35

Fr10.43

(10-26)

where:
Bp =

pier diameter [L]

Ksh =

shape correction factor (Table 10.2-4)

Ka =

angle of attack correction factor (Equation 10-6, Figure 10.2-20)

Kb =

bed condition correction factor (Table 10.2-5)

Kar =

armoring correction factor (Equation 10-7)

Kws =

wide pier in shallow water correction factor (Equation 10-18)

y1 =

the average water depth in the upstream main channel [L]

Fr1 =

Froude number directly upstream of the pier (Equation 10-9)

10.4.1.2 Simple Pier Scour in Fine-Grained Soils (HEC-18 Clay)

For fine-grained soils, the HEC-18 Clay method defines the maximum depth of scour for
a circular pier (in feet) according to Equation 10-27.

ys , pier =
( ft )

( 5.9110 ) K
4

K sp K sh ( Re )

0.635

10-33

(10-27)

where:
Re =

Reynolds number = V1Bp/

V1 =

depth average approach velocity [L/T]

Bp =

pier projection width (Figure 10.2-19) [L]

kinematic viscosity of the water [L2/T]

Kw =

shallow water correction factor (Equation 10-10)

Ksp =

pier spacing correction factor (Equation 10-11)

Ksh =

shape correction factor (Table 10.2-4)

This equation is equally valid for coarse-grained soils as well (Ref. 10-13). The main
difference between the HEC-18 Sand method and the HEC-18 Clay method is that the HEC-18
Clay method utilizes a time rate of scour effect. This is a significant advantage of the HEC-18 Clay
method. The rate of scour has an important impact on scour prediction. The depth of scour
found using Equation 10-27 is the maximum depth of scour (zmax) that can occur. The final scour
depth after one storm (zfinal), however, may not reach the maximum depth (Figure 10.4-1). It is
therefore advantageous to determine the time rate of scour for cases where the soil erodes
slowly, specifically for fine-grained soils. The following sections are concerned with the
maximum depth of scour. The method to calculate the depth of scour after a storm event is
given in Section 10.4.8.

Figure 10.4-1. Time rate of scour.

10-34

10.4.1.3 Complex Pier Scour in Coarse-Grained Soils (HEC-18 Sand)

For complex pier foundations (Figure 10.4-2), the maximum total scour is a
superposition of the scour created by the pier (ys,pier), the pile cap (ys,pilecap), and the pile group
(ys,pilegroup). The same equation for simple pier scour (Equation 10-26) is used to find the pier
scour component (Equation 10-28), except a correction factor (Kh,pier) is applied to account for
both the height of the pier stem above the bed (h1) and the shielding effect from the pile cap
overhang (f).

Figure 10.4-2. Complex pier scour (Ref. 10-12).

ys , pier

y
= K h , pier 2 BK sh K a K b K ar K ws 1
B

0.35
0.43
1

Fr

where:
Kh.pier = complex pier correction factor (Equation 10-29)
Bp

= pier diameter [L]

Ksh

= shape correction factor (Table 10.2-4)

Ka

= angle of attack correction factor (Equation 10-6, Figure 10.2-20)

Kb

= bed condition correction factor (Table 10.2-5)

Kar

= armoring correction factor (Equation 10-7)

Kws

= wide pier in shallow water correction factor (Equation 10-18)

y1

= the average water depth in the upstream main channel [L]

Fr1

= Froude number directly upstream of the pier (Equation 10-9)

10-35

(10-28)


f
K h , pier =
.4075 .0669
Bp

h
+ 1
B
p

h1

Bp

f
.4271 .0778
Bp

f
.01615 .0455
Bp

h1

Bp

f
.0269 .012
Bp

(10-29)

where:
f

pilecap overhang [L]

Bp =

pier diameter [L]

h1 =

the height of the pier stem above the bed [L]

The scour due to the pile cap is found in the same way as for a pier. The difference lies
in the inputs for the variables. If the pile cap is above the bed, its width (Bpc) needs to be
reduced to an equivalent full depth solid pier width (B*pc) (Equation 10-30).

h
1.751
pc
*
2

B pc= B pc exp 2.705 + 0.51Ln 2.783 +

y
y

h
2
2 exp 2

y2

(10-30)

where:
Bpc

width of the pile cap [L]

tpc

thickness of the pile cap exposed to the flow [L]

y2

adjusted flow depth = y1 + 0.5(ys,pier) [L]

y1

upstream water depth [L]

ys,pier =
h2

ho,pc =

maximum pier scour depth [L]

adjusted pile cap height = ho,pc + 0.5(ys,pier) [L]
actual pile cap height [L]

The pile cap scour, ys,pilecap, can then be found by using Equation 10-31. Note that the
quantity V2 in Fr2 is the adjusted flow velocity for the pile cap (V2 = V1(y1/y2)), and that V1 is the
approach velocity.

10-36

ys , pilecap
y2

B*pc
= 2 K sh K a K b K ar K ws
y
2

0.65

Fr20.43

(10-31)

where:
Ksh = shape correction factor (Table 10.2-4)
Ka

= angle of attack correction factor (Equation 10-6, Figure 10.2-20)

Kb

= bed condition correction factor (Table 10.2-5)

Kar = armoring correction factor (Equation 10-7)

Kws = wide pier in shallow water correction factor (Equation 10-18)
B*pc = equivalent full depth solid pier width (Equation 10-30)[L]
y2

= adjusted flow depth = y1 + 0.5(ys,pier) [L]

y1

= upstream water depth [L]

ys,pier = maximum pier scour depth [L]

Fr2 = adjusted Froude number for the pile cap (Equation 10-9)
If the pile cap is on or below the bed, it can be considered as a footing. The scour due to
the pile cap in this case will need to be redefined (Equation 10-32). Note that the quantity Vf in
Frf is the average velocity in the flow zone below the top of the pile cap or footing (Equation
10-33).

ys , pilecap
yf

B
= 2 K sh K a K b K ar K ws pc
y
f

0.65

Frf0.43

where:
Ksh = shape correction factor (Table 10.2-4)
Ka

= angle of attack correction factor (Equation 10-6, Figure 10.2-20)

Kb

= bed condition correction factor (Table 10.2-5)

Kar = armoring correction factor (Equation 10-7)

Kws = wide pier in shallow water correction factor (Equation 10-18)
Bpc = width of the pilecap [L]
yf

= distance from the bed to the top of the footing [L]

Frf = Froude number for the footing (Equation 10-9)

10-37

(10-32)


yf

Ln 10.93 + 1
ks

V f = V2

y
Ln 10.93 2 + 1
ks

(10-33)

where:
V2

= adjusted flow velocity for the pile cap = V1(y1/y2) [L/T]

V1

= approach velocity [L/T]

y1

= upstream water depth [L]

y2

= adjusted flow depth = y1 + 0.5(ys,pier) [L]

ys,pier = maximum pier scour depth [L]

yf

= distance from the bed to the top of the footing [L]

ks

= grain roughness of the bed (Equation 10-21)

Kws = wide pier in shallow water correction factor (Equation 10-18)

Bpc = width of the pilecap [L]
yf

= distance from the bed to the top of the footing [L]

For sand size and gravel size particles, ks is equal to D84 and 3.5D84, respectively, where
D84 is the diameter of the bed material corresponding to a percent finer equal to 84% (Ref. 1012). The total scour depth for this type of pier configuration (pier with a footing) will include
only the pier scour and the pile cap scour components.
If several piles are present under the pile cap, the scour relating to the pile group will
need to be found (ys,pilegroup). Determining scour for the pile group requires reducing the pile
group to an equivalent pier by finding an equivalent width (B*pg) as in Equation 10-34.

B*pg = B proj K sp , pg K m

(10-34)

where:
Bproj = projected width of the pile group [L]
Ksp,pg = coefficient for pile spacing (Equation 10-35)
Km

= coefficient for number of aligned rows (Equation 10-36); Note: Km = 1, if the

pile group is skewed or staggered

10-38

K sp , pg

4
1
1 1
=
3

B proj
B p

Sp
1

B p

0.6

S
0.9 + 0.1m p 0.0714(m p 1) 2.4 1.1 p
Km =
B

(10-35)

Sp
+ 0.1

Bp

(10-36)

where:
Sp

= pile spacing [L]

mp

= number of rows in the pile group (Figure 10.4-3)

Bp

= pile diameter [L]

Bproj = projected width of the pile group [L]

Figure 10.4-3. Projected width of piles in pile group (a) aligned with flow,
and (b) not aligned with flow (Ref. 10-12).

The depth of scour due to the pile group (ys,pilegroup) can then be found according to
Equation 10-37. Note that the quantity V3 in Fr3 is the adjusted flow velocity (V3 = V1(y1/y3)),
and that V1 is the approach velocity.

10-39

( ys ) pilegroup
y3

B*pg

= K h , pg 2 K sh K b K ar K ws
y

0.65
0.43
3

Fr

(10-37)

where:
y3

= adjusted flow depth = y1 + 0.5(ys,pier) + 0.5(ys,pilecap) [L]

y1

= upstream water depth [L]

ys.pier

= maximum pier scour depth [L]

ys.pilecap = maximum pile cap scour depth [L]

Kh,pg

= pile group height factor (Equation 10-38)

Ksh

= shape correction factor (Table 10.2-4)

Kb

= bed condition correction factor (Table 10.2-5)

Kar

= armoring correction factor (Equation 10-7)

Kws

= wide pier in shallow water correction factor (Equation 10-18)

B*pg

= equivalent width of the pile group (Equation 10-34) [L]

Fr3

= adjusted pile group Froude number (Equation 10-9)

K h , pg

2
3
4 0.65

h3
h3
h3
h3
= 3.08 5.23 + 5.25 2.10

y3
y3
y3
y3

(10-38)

where:
h3

ho,pg =

height of the pile group considering pier and pile cap scour = ho,pg + y3 - y1 [L]
actual pile group height [L]

y3

adjusted flow depth = y1 + 0.5(ys,pier) + 0.5(ys,pilecap) [L]

y1

upstream water depth [L]

ys.pier =

maximum pier scour depth [L]

ys.pilecap = maximum pile cap scour depth [L]

10-40

10.4.1.4 Wave-Induced Pier Scour

The above equations were for piers experiencing a current only. Waves can also have an
impact on scour development around piers. Scour under waves only is considerably smaller than
scour under current only (Ref. 10-33). Wave-induced scour involves erosion due to vortex
shedding. For a/Bp less than 0.2, the effects of waves are minimal. Scour for this case is similar
to the case with a current velocity. As the wave length increases or the size of the structure
decreases, vortices begin to form behind the structure and the scour depth increases.
There are two important parameters necessary in describing wave-induced pier scour:
first, the a/Bp parameter where Bp is the pier diameter and a is the wave semi-orbital length
(Table 10.2-3) and second, the Keulegan-Carpenter (KC) number (Equation 10-7). For KC less
than 6, there is no vortex shedding behind the pier. Wave-induced scour for KC greater than or
equal to 6 is given by Equation 10-39 (Ref. 10-2). Note that in Equation 10-39, ys,pier is the
maximum pier scour.

ys , pier , wave= ys , pier 1 exp [ 0.03( KC 6) ]

(10-39)

10.4.2 Contraction Scour

The maximum depth of scour is defined as the depth of scour reached when the water
velocity flows over the soil for an infinitely long period of time (zmax). The final depth of scour is
the scour depth reached at the end of the storm event being considered (zfinal). In coarse-grained
soils, one storm (say 24 hours) is usually enough to create the maximum depth of scour.
Therefore in coarse-grained soils there is no need to distinguish between zmax and zfinal. In finegrained soils, however, the same storm may only generate a fraction of that maximum depth
scour and zfinal may be much less than zmax (Figure 10.4-1). One can be very conservative and use
the value of zmax calculated even for fine-grained soils. However, this may be costly and a
method exists to predict zfinal for a given velocity and given storm duration for contraction scour
predictions. The following sections are concerned with the maximum depth of scour. The
method to calculate the depth of scour after a storm event is given in Section 10.4.8.

10.4.2.1 Contraction Scour in Coarse-Grained Soils (HEC-18 Sand)

Before calculating contraction scour, the velocity upstream of the contraction and in the
contracted zone should be obtained. This can be done by using a 1-dimensional flow simulation
program such as HEC-RAS (Ref. 10-34). The upstream velocity is compared to the critical velocity
to determine if there will be clear-water scour or live-bed scour. This is important because
contraction scour will be estimated differently depending on which type of scour is present.
Clear-water contraction scour (ys,contraction,cw) can be found using Equation 10-40.

10-41

0.0077Q 2 7
=
ys , contraction ,cw 2 3 2 yo
Dm Wc

(10-40)

where:
Q

= discharge through the contraction [L3/T]

Dm

= diameter of the smallest non-transportable particle in the bed martial

= 1.25D50 [L]

D50

= median diameter of the bed material [L]

Wc

= bottom width of the contraction section [L]

yo

= initial water depth for the existing bed depth [L]

If piers are present within the contraction, the bottom width of the contraction section
(Wc) will be the total width less any pier widths. Live bed contraction scour (ys,contraction,lb) is
estimated differently (Equation 10-41).
6
k1

Q
W1
2

=
ys , contraction ,lb y1 yo
Q1 Wc

(10-41)

where:
y1

= average water depth upstream [L]

Q2

= flow in the contracted channel [L3/T]

Q1

= flow in the upstream channel [L3/T]

W1

= bottom width of the upstream channel [L]

Wc

= bottom width of the main channel in the contracted section [L]

k1

= an exponent (Table 10.4-1)

yo

= initial water depth for the existing bed depth [L]

Table 10.4-1. Exponent for live-bed contraction scour (Ref. 10-12).

V*/

k1

Mode of Bed Material Transport

< 0.50

0.59

Mostly contact bed material discharge

0.50 2.0

0.64

Some suspended bed material discharge

> 2.0

0.69

Mostly suspended bed material discharge

10-42

In Table 10.4-1, V* is the shear velocity in the upstream section (Equation 10-42), and
is the fall velocity of the bed material (Figure 10.4-4), defined as the velocity at which a
sediment particle falls through a column of still water (Ref. 10-12).
1

b 2
V * =
=

( gy1S1 ) 2

(10-42)

where:
b

= shear stress on the bed [F/L2]

= mass density of the water [FT2/L4]

= acceleration due to gravity [L/T2]

y1

= upstream water depth [L]

S1

= slope of the energy grade line of the main channel

Figure 10.4-4. Particle fall velocity (Ref. 10-35).

10-43

The slope of the energy grade line (S1) can be found according to Mannings equation
(Equation 10-43) using the units noted.
2
3

ft 1.49 ( Rh ( ft ) ) S
V =

s
s

n
1
3
ft

1
2

(10-43)

where:
V

= the average velocity (ft/s)

Rh

= hydraulic radius = A/P (ft)

= cross-sectional area of flow (ft2)

= wetted perimeter (ft)

= slope of the energy grade line

= Mannings roughness coefficient (s/ft1/3)

Average values for Mannings roughness coefficient for different soil types are given in
Table 10.4-2. The units of Mannings coefficient in this chapter are in s/ft1/3, but in the literature,
n is typically given in units of s/m1/3. To convert the given n values in units of s/m1/3 to units of
s/ft1/3, divide by 1.49.
Table 10.4-2. Average values for Mannings coefficient (Ref. 10-36).

Description

n (s/m1/3)

n (s/ft1/3)

Clay

0.023

0.015

Sand

0.020

0.013

Gravel

0.030

0.020

Rock

0.040

0.027

10.4.2.2 Contraction Scour in Fine-Grained Soils (HEC-18 Clay)

The HEC-18 Clay method (Ref. 10-13) predicts maximum contraction scour according to
Equation 10-44. Equation 10-44 indicates that if the critical shear stress in cohesive soils is large
enough, no scour will take place.

10-44

c
1.38 V1 1

Wc
=
ys , contraction K K L1.90 y1
1
gy1

gny13

(10-44)

where:
K

= correction factor for the influence of the transition angle = 1 (Ref. 10-13)

KL

= correction factor for the contraction length = 1 (Ref. 10-13)

y1

= upstream water depth [L]

V1

= average upstream velocity [L/T]

W1

= bottom width of the upstream channel [L]

Wc

= bottom width of the main channel in the contracted section [L]

= critical stress [F/L2]

= mass density of the water [FT2/L4]

= acceleration due to gravity [L/T2]

= Mannings roughness coefficient from Table 10.4-2 (T/L1/3)

The location of maximum contraction scour (Xmax) is given by Equation 10-45 (Figure
10.2-22). In Equation 10-45, Wc is the bottom width of the main channel in the contracted
section [L], and W1 is the bottom width of the upstream channel [L].

W
=
X max Wc 2.25 c + 0.15
W1

(10-45)

10.4.3 Propeller Induced Scour

Scour due to propellers (ys,propeller) in feet is found using Equation 10-46, developed in
Reference 10-11. In Equation 10-46, t is time, and and are given by Equations 10-47 and 1048, respectively. Note: The variables in Equations 10-47 and 10-48 must be in consistent units.

ys , propeller=
( ft ) 0.128 {ln [t (sec) ]}

(10-46)

10-45

0.53
0

=Fr

Dp

D50

0.48

D50

0.94

(10-47)

= 6.38

(10-48)

where:
Fro

= densimetric Froude number (Equation 10-49)

Dp

= propeller diameter [L]

D50

= median grain size [L]

= distance between the propeller tip and the seabed (Figure 10.2-13) [L]

Vo

Fro =

(10-49)

gD50

where:
Vo

= initial centerline propeller velocity (Equation 10-5) [L/T]

= acceleration due to gravity [L/T2]

D50

= median grain size [L]

= mass density of the water [FT2/L4]

= difference between the soil density (s) and the water density = s [FT2/L4]

Equation 10-46 is valid only for those seabed depths below the propeller (C) in the
range of 0.5 to 2.5 times the propeller diameter (Dp). The equation provides scour as a function
of time. The maximum propeller scour depth will occur as the time (t) goes to infinity. The
location of maximum scour from the propeller (Xm) is estimated according to Equation 10-50
(Ref. 10-11), where C is the clearance distance between the propeller tip [L] and the seabed
and Fro is the densimetric Froude number (Equation 10-49).

X m = CFro0.94

(10-50)

The presence of a rudder, used for steering, will impact scour. The rudder splits the jet
formed by the propeller into two streams (Ref. 10-6). Based on a study presented in Reference
10-37, scour will change from the calculated propeller scour (Equation 10-46) depending on the
rudder angle (, Figure 10.4-5).
10-46

Figure 10.4-5. Definition of rudder angle.

The equation used to calculate the scour due to a propeller with a rudder is given by
Equation 10-51. For a rudder angle of 0, the maximum scour depth increases by about 25%
compared to the scour depth due to a propeller with no rudder (Ref. 10-37).

Dp

+
0.75
0.07
0.02
0.15
1

y=
y
Fr
(
)

s , rudder
s , propeller
o
D
50

(10-51)

where:
ys,propeller = the scour due to an unconfined propeller only (Equation 10-46) [L]
Fro

densimetric Froude number (Equation 10-49)

Dp

propeller diameter [L]

D50

median grain size [L]

rudder angle [radians]

10.4.4 Abutment and Wall Scour

10.4.4.1 Abutment Scour in Coarse-Grained Soils (HEC-18 Sand)
There are two methods available to calculate the depth of abutment scour. If the ratio
of projected abutment length (L) to the upstream flow depth (y1) is greater than 25 (L/y1 > 25),
then the HIRE abutment scour equation (Equation 10-52) should be used (Ref. 10-12). Equation
10-52 is a result of field observations of scour in the Mississippi River.

ys , abutment
y1

= 4 Fr10.33

Ks
K
0.55

(10-52)

where:
y1

= average upstream water depth [L]

10-47

Fr1

= Froude number upstream of the abutment (Equation 10-9)

Ks

= abutment shape factor (Table 10.2-6)

= correction factor for angle of attack (Equation 10-14)

If the ratio of projected abutment length (L) to the upstream flow depth (y1) is less than
25 (L/y1 < 25), then the Froehlich abutment scour equation (Equation 10-53) should be used
(Ref. 10-12). Note that in both Equations 10-52 and 10-53, there is no difference in the
calculation between live-bed scour and clear-water scour.

ys , abutment
ya

L ' Ve
2.27 K s K
1
ya ( gya ) 2

0.61

+1

(10-53)

where:
ya

= average depth of flow on the floodplain [L]

Ks

= abutment shape factor (Table 10.2-6)

= correction factor for angle of attack (Equation 10-14)

= length of the abutment projected normal to flow [L]

Ve

= velocity of the flow in the obstructed section [L/T]

= acceleration due to gravity [L/T2]

10.4.4.2 Seawall Scour

A basic rule of thumb for scour at vertical seawalls, based on laboratory testing and field
observation, is that the maximum scour depth is less than or equal to the height of the
unbroken deepwater wave height (Ho) (Ref. 10-38). Reference 10-19 recommends using an
equation (Equation 10-54) based on incident deepwater significant wave height (Hs), deepwater
wave length (Ld), and water depth at the wall (y).

y
=
ys , seawall H s 22.72
Ld

+ 0.25

(10-54)

Equation 10-54 is valid only where -0.011 y/Ld 0.045 and 0.015 Hs/Ld 0.04. For
cases outside of these bounds, Reference 10-19 suggests estimating maximum scour using the
rule of thumb (ys,seawall Ho).
10-48

10.4.4.3 Propeller Induced Scour at Quay Walls

The jet produced by propellers causes scour whether the wash is confined or
unconfined (Figure 10.2-14). Quay walls serve to confine and interfere with the propeller wash
causing an increased depth of scour (Ref. 10-6). The influence of the quay wall depends on the
distance between the wall and the face of the propeller (Xw). As the distance Xw increases, the
scour at the quay wall will decrease. The maximum propeller induced scour at a quay wall can
be found by using Equation 10-55.
0.2

Xw

=
ys ,quaywall S a 1.18
1 + ys , propeller
X

(10-55)

where:
Sa

maximum equilibrium scour depth in the unconfined scour case measured

from the centerline of the propeller shaft [L] = ys,propeller + Hp

ys,propeller = maximum scour for the unconfined case measured from the initial seafloor
elevation (Equation 10-46) [L]
Hp

distance from the propeller shaft to the channel bottom [L]

Xw

distance between the wall and the face of the propeller [L]

Xm

distance from maximum unconfined propeller scour to the propeller

(Equation 10-50) [L]

In the case where a rudder is present, propeller induced scour at quay walls is calculated
according to Equation 10-56. Note: The variables in Equation 10-56 must be in consistent units.

ys ,quaywall ,rudder

0.052
0.581
0.427

Xw
Dp
0.772
4.403
4 C

D p 2.3 10
Fr
=
+
1

( )

o
D
D
D

50 50
p

where:
Dp

propeller diameter [L]

clearance distance between the propeller tip and the seabed [L]

D50

median grain size [L]

Xw

distance between the wall and the face of the propeller [L]

rudder angle [radians]

Fro

densimetric Froude number (Equation 10-49)

10-49

(10-56)

10.4.5 Pipeline and Cable Scour

For clear-water scour under pipelines and cables, under current only, Reference 10-21
suggests using Equation 10-57, as proposed by Reference 10-24.

ys , pipeline,cw =

D pl ks

2 12 D pl

6 D pl
Ln
ks

V

Vc

(10-57)

where:
Dpl

pipe diameter [L]

depth averaged velocity [L/T]

Vc

critical velocity [L/T]

ks

effective bed roughness (ks = 3D90 for clays, from Equation10-21 and Table
10.3-1) [L]

D90

diameter of the bed material of which 90% are smaller [L]

In the case of live-bed scour, a simple equation is proposed by Reference 10-39 that
relates scour under current only to the pipe diameter (Equation 10-58). In Equation 10-58, Dpl is
the pipeline diameter.

ys , pipeline
=
0.6 D pl ( ft ) 0.1D pl ( ft )
,lb ( ft )

(10-58)

In the presence of wave action, scour under pipelines is a function of the pipe diameter
(Dpl), the Keulegan-Carpenter (KC) number (Equation 10-3), and the embedment depth (e)
(Equation 10-59, Ref. 10-40). The embedment depth accounts for partial embedment of the
pipeline due to burial. If the embedment ratio (e/Dpl) is greater than 0.5, no scour occurs, and
Equation 10-59 is invalid.

e
ys , pipeline=
D
KC
0.1
1 1.4
, wave
pl
D pl

e
+
D pl

(10-59)

10.4.6 Scour for Structures Piercing Water Surface

Piers, offshore platforms, and offshore wind turbines are types of marine structures that
pierce the water surface. The method to calculate scour for structures piercing the water
surface is the same as the methods used to calculate pier scour in Section 10.4.1 (Equations 1026 and 10-27). Correction factors must be applied to account for structures that are not piers.

10-50

10.4.7 Scour for Structures Resting on the Seafloor

Sometimes, structures placed on the seafloor do not pierce the water surface. Scour will
still occur in these cases because there is still an obstacle to the flow at the soil-water interface.
For footings or other structures resting on the seafloor (not including pipelines and cables),
calculations for scour can make use of the complex pier scour equation, which includes
contributions from the pier or column, the pile cap, and the pile group (Section 10.4.1.3). For
structures resting on the seafloor with a shallow foundation, the column and pile group
contributions will be omitted from the complex pier scour equation. Pipelines and cables are
other structures resting on the seafloor. Scour for these structures is found differently as in
Section 10.4.5.
10.4.8 Time for Scour Development
The time rate of scour is an important part of scour predictions. The time rate method
describes the relationship between the scour depth and the time during which the water has
been flowing at a given velocity over the soil. If a storm occurs, scour will develop around the
foundation of the structure. If the storm is short, the full amount of scour may not be realized,
and the scour depth is limited to zfinal (Section 10.4.1.2). If the storm is long, the full amount of
scour may be realized, and the maximum depth of scour zmax is reached (Section 10.4.1.2). It is
therefore advantageous to determine the time rate of scour for cases where the soil erodes
slowly.
Clear-water scour will reach equilibrium slower than live-bed scour (Figure 10.2-16).
While clear-water scour will approach a maximum scour value, live-bed scour oscillates as
removal and deposition of the bed material continually occurs. The time rate of scour will also
differ for the type of structure involved. The scour depth is related to time according to Equation
10-60 (Ref. 10-41).

z final (t ) =

(10-60)

t
1
+
zi zmax

where:
zfinal

the final scour depth after time t [L]

initial rate of scour (Figure 10.2-7, Figure 10.4-1) [L/T]

zmax

maximum magnitude of scour [L]

10-51

The initial scour rate can be found using the initial shear stress at the soil-water
interface together with the erosion function. This erosion function can be obtained from a
laboratory test such as the EFA test (Ref. 10-42). Once the shear stress at the bed is calculated,
the initial scour rate can be found on the erosion function (Figure 10.2-7).
For piers, the initial shear stress used in the HEC-18 Clay method is the maximum
hydraulic shear stress exerted by the water on the riverbed (max,pier) around the pier. This can be
calculated according to Equation 10-61 (Ref. 10-13).

1
1

log Re 10

max, pier =
kw ksp ksh ka 0.094 V12

(10-61)

where:
kw

= correction factor for the effect of water depth (Equation 10-62)

ksp

= correction factor for the effect of pier spacing (Equation 10-63)

ksh

= correction factor for the effect of pier shape (Equation 10-64)

ka

= correction factor for the effect of attack angle (Equation 10-65)

= mass density of water [FT2/L4]

V1

= upstream velocity [L/T]

Re

= Reynolds number = V1Bp/

Bp

= pier width [L]

= kinematic viscosity of the water [L2/T]

The correction factors used in Equation 10-61 are given by Equations 10-62 through 1065, as follows:

k w = 1 + 16 e

k sp = 1 + 5e

1.1

y
Bp

(10-62)

Sp
Bp

=
ksh 1.15 + 7 e

ka = 1 + 1.5
90

(10-63)

Lp
Bp

(10-64)

0.57

(10-65)
10-52

where:
y

= water depth [L]

Bp

= pier width [L]

Sp

= pier spacing [L]

Lp

= pier length [L]

= attack angle of the pier [deg]

For contractions, the initial shear stress used in the HEC-18 Clay method is the maximum
hydraulic shear stress exerted by the water on the riverbed (max,contraction) in the contraction. This
can be calculated according to Equation 10-66 (Ref. 10-13).

max,contraction = kc R kc kc y kc Lc w n V Rh
2

1
3

(10-66)

where:
kc-R

= correction factor for the contraction ratio (Equation 10-67)

kc-

= correction factor for the contraction transition angle (Equation 10-68)

kc-y

= correction factor for the contraction water depth (kc-y 1, Ref. 10-13)

kc-Lc = correction factor for the contraction length (Equation 10-69)

w

= unit weight of water [F/L3]

= Mannings roughness coefficient from Table 10.4-2 (T/L1/3)

V1

= upstream velocity [L/T]

Rh

= hydraulic radius = A/P

= cross-sectional area of flow [L2]

= wetted perimeter [L]

The correction factors used in Equation 10-66 are given by Equations 10-67 through 1069, as follows:
1.75

W
0.62 + 0.38 1
k=
cR
Wc

(10-67)

10-53


k c = 1 + 0.9
90

kc Lc

1.5

=
Lc
0.77 + 1.36
W1 Wc

(10-68)

Lc
1.98

W1 Wc

for

kc Lc 0.35

for

kc L < 0.35

(10-69)

where:
W1

= width of the upstream channel [L]

Wc

= width of the contraction [L]

= transition angle [deg]

Lc

= contraction length [L]

The initial scour rate depends on the same factors that affect scour magnitude including
pier shape, angle of attack, bed grain size, water depth, and pier spacing. The scour rate will
decrease with an increase in pier width and flow depth; it will increase with an increase in
contraction and the sharpness of pier corners (Ref. 10-13). The HEC-18 Clay method (SRICOSEFA Method) incorporates time rate of scour development in addition to determining scour
depth. The available program is simple, free, and will calculate scour depth and rate for given
input geometries and flow conditions.

10.5 SCOUR COUNTERMEASURES

Countermeasures can be used to reduce or minimize the effects of scour at a structure.
The following sections discuss the various countermeasure approaches, as well scour monitoring
instrumentation.
10.5.1 Countermeasure Design Concepts and Approach
Scour countermeasures can be divided into three main categories: armor, hydraulic
control, and grade control. Armoring works to protect the bed or seafloor soil from erosion. The
flow is not significantly changed by this type of countermeasure. In narrow channels, however,
armor can serve to contract the channel even further leading to increased contraction scour.
Hydraulic control involves altering the flow. This can be accomplished by reducing the flow
velocity or changing the flow path. Grade control is another type of scour countermeasure. It
involves realigning existing beds to reduce scour at the structure. The most commonly used
scour countermeasures are presented in this section.

10-54

10.5.1.1 Riprap
Riprap is the most common type of armoring protection used for scour. It consists of
placing a layer of rock around the structure at the soil-water interface to reduce erosion. The
riprap must be big enough to withstand the flow and any wave forces, but small enough to avoid
loss of the underlying material through void spaces. This loss of material can be circumvented by
placing a sand filter or geosynthetic filter between the bed material and the riprap or by
grouting the riprap. The disadvantage of grouting is that flexibility is sacrificed. Partial grouting
may be a better solution.
It is advantageous to use a well graded riprap because the different sizes will interlock
together producing a more stable solution. This will only work if, during placement of the riprap,
the graded rocks are uniformly distributed. After any increase in flow, such as during a storm, an
inspection should be conducted to ensure the stability of the riprap.
The size of the riprap depends on the structure being protected. For example, riprap
used for pier scour will be different than riprap used for abutment scour. There are several
methods available to size riprap for different types of structures. The U.S. Army Corps of
Engineers published a chapter on riprap protection (Ref. 10-43). NCHRP Report No. 568 also
provides riprap design criteria specifically for bridges (Ref. 10-44). For example, the median
diameter of riprap (D50,riprap) for piers in fresh water can be evaluated according to Equation 1070 using the units indicated.

0.692 ( KV ( ft ) )
D50,riprap ( ft ) =
ft
2 g 2 ( S s 1)
s

(10-70)

where:
K

= coefficient for pier shape (1.5 for round-nose pier, 1.7 for rectangular pier)

= average approach velocity in line with the pier (ft)

= acceleration due to gravity (ft/s2)

Ss

= specific gravity of the riprap ( 2.65)

10.5.1.2 Filters
Filters are made of either granular or geosynthetic materials. They are extremely
important for adequate performance of both armoring and hydraulic control countermeasures.
They prevent erosion of soil through voids in the armoring and relieve hydrostatic pressure
within the soil.
Granular filters are created by placing layers of soil on top of the natural soil before
placing the riprap. Each layer is made of soil coarser than the previous layer with the finest layer
being at the bottom, closest to the natural soil. The largest layer could be as big as riprap
10-55

material. Grading criteria for this type of material is available through the National Engineering
Handbook (Ref. 10-45).
The size of the openings in the geosynthetic filter, also known as filter fabric, is an
important design consideration. If the openings are too large, piping can occur and soil can
migrate. If the openings are too small, hydrostatic pressures can increase leading to instability.
Further guidelines for designing for erosion protection are available through Reference 10-46,
an Army and Air Force Technical Manual on the engineering use of geotextiles.
10.5.1.3 Artificial Seaweed
Artificial seaweed acts as a hydraulic control scour countermeasure. Artificial seaweed
comes as a mat consisting of many buoyant polypropylene fronds. The seaweed fronds work to
lower the current velocity around their location. They also tend to encourage deposition of
sediment rather than erosion. Artificial seaweed is not suitable in areas with intense and
frequent wave action. Otherwise, it is useful for reducing local scour around any offshore
structure, including pipelines.
10.5.1.4 Peripheral Skirt
Peripheral skirts do not prevent scouring; rather, they prevent scour from undermining
the foundation. Skirts are placed vertically around the footing and penetrate the seafloor. As
scour occurs, they prevent the structure from rocking and instability. It is therefore important
that the skirt penetrate below the estimated maximum depth of scour.
10.5.1.5 Articulated Mats
Articulated mats are an armoring countermeasure for permanent scour protection (Ref.
10-47). This type of scour protection is the easiest and most positive method for offshore
structures (Ref. 10-48). Articulated mats are typically made of concrete and come in separate
blocks that are bound together. The blocks can be any size and shape. Some types of blocks are
shaped so that they interlock with other blocks. Other types do not interlock, but are connected
using cables. Commonly, a filter is placed under articulated mats as a backing. Design methods
for articulated mats are available. FHWAs HEC-23 provides design guidelines for an articulated
concrete block system (Ref. 10-49).
10.5.2 Scour Monitoring and Instrumentation
In some cases, the scour countermeasure is simply monitoring the site for potential
scour problems. Visual inspection is not reliable, especially during storms. Instrumentation
installed around the structure and the bed more accurately depicts the scour conditions during
any flow condition. There are two categories of instrumentation available for scour monitoring:
portable instruments and fixed instruments.
10-56

10.5.2.1 Portable Instrumentation

Portable instruments are not fixed to the structure; rather, they are brought to a site
each time a measurement is necessary, such as after a storm event. This type of instrumentation
can be used at different locations at a structure or it can also be moved to a different site
completely.
There are three classifications of portable instruments: physical probing, sonar, and
geophysical (Ref. 10-50). Physical probes, such as sounding poles and sounding weights, extend
the reach of inspectors, allowing them to measure scour depths. The length of the probes is the
limiting factor in their selection. Sonar instruments quantify the scour at a site by sending an
acoustic pulse from a generating transducer to the bed and measuring the elapsed time for the
pulse to travel to the bed and back to the transducer. Geophysical instruments such as
fathometers and ground-penetrating radar use wave propagation and reflection measurements.
Similar to sonar, geophysical instruments transmit a signal into the water which is reflected back
when it reaches a material with different physical properties.
10.5.2.2 Fixed Instrumentation
When frequent measurements are necessary, fixed instruments are employed. They are
either attached to the structure or installed around the structure in the channel bed as
permanent fixtures for scour monitoring. Measurements can be taken daily, weekly, or
continuously for a record of scour over time.
There are four classifications of recommended fixed instruments: sonars, magnetic
sliding collars, float-out devices, and sounding rods (Ref. 10-51). Fixed sonar instruments are the
most commonly used and work in the same manner as their portable instrument counterpart
except that they are mounted directly on the structure. Magnetic sliding collars are devices
attached to the structure that pierce the bed. As scour occurs, the magnetic sliding collar will
slide down the device as much as the soil has been eroded. Float-out devices are initially buried
near the structure in the bed to a predetermined depth. If scour becomes too great, the floatout device will be exposed and will float to the top of the water. Float-outs are typically used to
monitor when a scour critical depth has been reached, not to obtain a scour profile with time.
Sounding rods are rod shaped physical probes with a foot at the end that rests on the bed.
When the soil is eroded, the rod will drop to the new bed elevation. It is important that the
sounding rods do not penetrate the bed under its own weight as this will skew the
measurements.
Other fixed instruments that are currently in use are tilt and vibration sensors and time
domain reflectometers (TDR). Tilt and vibration sensors are installed on the structure and
measure both movement and rotation. While they do not directly measure scour, settlement or
movement of the structure can indicate erosion of the supporting soil. Time domain
reflectometers are embedded in the soil. They measure the time it takes for an electromagnetic
pulse to reach the soil-water interface and reflect back to the surface. The part of the
electromagnetic pulse energy that is not initially reflected back will continue to propagate to
10-57

either the boundary between soil layers or to the end of the reflectometer. The difference in
time between the two pulses can then be equated to distance. If the time between pulses
changes, the soil elevation has changed.
10.5.2.3 Selecting Instrumentation
The plan of action should incorporate which type of instrument should be used, the
number of instruments that should be placed, the frequency of data collection, and the accuracy
needed. Determining which instrumentation is appropriate for a given site depends on the soil,
the water, and the obstacle. There are also limitations within each type of instrument that must
be evaluated before selection. Ultimately, engineering judgment will play a role in the
instrumentation selection.
There are advantages and disadvantages for each instrument. The first decision is
whether the instruments will be portable or fixed (Table 10.5-1). Sometimes, having both types
of instruments for a site is most advantageous. If portable instrumentation is chosen, then the
type of portable instrument should be selected (Table 10.5-2). Similarly, if fixed instrumentation
is chosen, then the type of fixed instrument should be selected (Table 10.5-3). There are a
number of instruments available within each type of portable or fixed instruments. Careful
review of the advantages and disadvantages of each instrument should be made for each site.
Table 10.5-1. Portable versus fixed instrumentation (Ref. 10-50).

Instrument

Advantages

Disadvantages

Portable

Point measurement or complete

mapping, use at many bridges

Labor intensive, special platforms

often required

Fixed

Continuous monitoring, low operational

cost, easy to use

Maximum scour not at instrument

location, maintenance/loss of
equipment

Table 10.5-2. Portable instrumentation summary (Ref. 10-50).

Instrument

Best Application

Advantages

Limitations

Physical Probes

Small bridges and

channels (up to reach of
probe)

Simple technology

Accuracy, high flow

application

Sonar

Larger bridges and

channels (beyond reach
of physical probes)

Point data or
complete mapping,
accurate

High flow application

Geophysical

Fresh water and soils

other than dense, moist
clays

Forensic evaluation

Specialized training
required, labor
intensive, costly

10-58

Table 10.5-3. Fixed instrumentation summary (Refs. 10-51 and 10-50).

Instrument

Best
Application

Advantages

Limitations

Can track both scour and

deposition, continuous
measurement

Debris, high sediment or

air entrapment

Fine-bed
channels

Simple, mechanical device

Can only monitor

maximum scour depth
No deposition recorded,
debris

Dry river beds,

new
construction,
before placing
riprap

Lower cost, easy to install

Battery life No
continuous
measurements

Coarse-bed
channels

Simple, mechanical device

Must ensure no
penetration under its
own weight or from
vibrations due to flowing
water

Tilt and
Vibration
Sensors

Any structure

Measure movement and

rotation of structure

False scour readings due

to structural movement
not related to soil

Time Domain
Reflectometry
(TDR)

Any condition

Allows processes affecting

sediment to be correlated to
scour

Debris, organic material

Sonar

Coastal regions

Magnetic
Sliding Collar

Float-out
Devices

Sounding Rods

10-59

10.6 EXAMPLE PROBLEMS

10.6.1 Problem 1 General Scour
10.6.1.1 Problem Statement
The amount of general scour at a site is important in understanding the seasonal
fluctuations of the seafloor. At a particular site, the average monthly significant wave height
( H s ) is estimated at 3 feet. Find the amount of general scour.

10.6.1.2 Problem Solution

Problem 10.6-1
ANALYTICAL PROCEDURES

COMPUTATIONS

37. From Equation 10-17, the annual extreme

wave height (He) is approximated as:

He (4.5)(3 ft) = 13.5 ft

He =
H s + 5.6 d 4.5 H s
38. The maximum general scour at this site
can now be estimated according to
Equation 10-16 as:

ygs = (1.15)(13.5 ft) 4.1 = 11.425 ft

=
ygs 1.15 H e 4.1
SUMMARY
The amount of general scour at this site is 11.43 ft.

10-60

10.6.2 Problem 2 Pier Scour Example

10.6.2.1 Problem Statement
A square pier, with sides 10 feet in length, is located in 100 ft of deep water with an
approaching velocity of 10 ft/s (angle of attack = 0), as shown in Figure 10.6-1. The upstream
channel width is 150 feet, and the bed condition is plane. The water temperature is 20oC.
The pier is located in water with waves only. The waves have a wave length of 500 feet,
a wave period of 15 seconds, and a wave height of 3 feet. Also, EFA testing was conducted on a
clay sample from the site. The results of this testing include the erosion function shown in Figure
10.6-2.
Based on the site data given above, find:
(a) The simple pier scour in coarse-grained soils.
(b) The simple pier scour in fine-grained soils.
(c) The depth of scour for simple pier scour in fine-grained soils after the first 24 hour
storm.
(d) The wave-induced pier scour.

Figure 10.6-1. Pier scour example.

Figure 10.6-2. Time rate of pier scour example.

10-61

10.6.2.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of pier scour.
Problem 10.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

Part (a): Computation of simple pier scour in coarse-grained soils

1. Assume that the bed soil is a sand with a
D50 of 0.02 ft and a D95 of 0.071 ft. Since
the soil is coarse-grained, the HEC-18 Sand
method should be used.
2. Before calculating the local pier scour
using Equation 10-26, the correction
factors Ksh, Ka, Kb, Kar, and Kws must be
determined.

D95 = 0.071 ft

Ksh = 1.1 (from Table 10.2-4)

Ka = 1.0 (from Equation 10-6 for = 0o)
Kb = 1.1 (from Table 10.2-5)
Kar = 0.5 (from Equation 10-7)

Because D50 is greater than 0.0066 ft and

D95 is greater than 0.067 ft, Kar must be
calculated according to Equation 10-7,
shown below:
0.053

V1 0.645 50 (11.17 ) y11 / 6 D501 / 3

B

K ar = 0.4

0.053
D95

1/ 6 1/ 3
1/ 6 1/ 3

(11.17 ) y1 D50 0.645 (11.17 ) y1 D50

Bp

D50 = 0.02 ft

0.15

0.4

3. Kws is the wide pier in shallow water

correction factor; it is only applied when
certain conditions are met, including if
y/Bp < 0.8. Since y/Bp,= 10, Kws is not
applied (Kws equal to unity).

Kws = 1.0
=
Fr1

The Froude number (Fr1) for local pier

scour is found by using Equation 10-9.

Fr =

V
gy

10-62

V1
=
gy1

10
= 0.18
(32.2)(100)

Problem 10.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

4. The local pier scour using HEC-18 Sand can

now be found by using Equation 10-26.

y s , pier

y
= 2 B p K sh K a K b K ar K ws 1
B
p

0.35

Fr1

100
ys , pier = 2(10)(1.1)(1.0)(1.1)(0.5)(1.0)
10
ys , pier = 12.96 ft

0.35

( 0.18)

0.43

0.43

Part (b): Computation of simple pier scour in fine-grained soils

5. Now assume that the bed soil is clay. Since
the soil is fine-grained, the HEC-18 Clay
method should be used to estimate pier
scour (Equation 10-27).
Before calculating the local pier scour
using Equation 10-27, the correction
factors Kw, Ksp, and Ksh must be
determined.

According to Section 10.2.3.1.2, scour for piers

located in deep water (y/Bp >1.62) is
independent of the water depth, therefore,
Kw = 1
Also, in this example, there is only a single
pier. Pier spacing is therefore not a concern.
Ksp = 1
Ksh = 1.1 (from Table 10.2-4)

6. The Reynolds number Re must then be

calculated. Then the maximum local depth
of pier scour using HEC-18 Clay is found
using Equation 10-27.

At 20oC (68oF), 1.08x10-5 ft2/s

Re' =

(10)(10)
= 9259259
1.08 10 5

y s , pier = (5.91 10 4 )(1.0)(1.0)(1.1)(9259259)

0.635

VB
Re' =
v

y s , pier = 17.25 ft

y s , pier = (5.91 10 4 ) K w K sp K sh (Re')

0.635

Part (c): Computation of the time rate of scour for simple pier scour in fine-grained soils
7. The pier scour value found in part (b) is the
max scour depth for fine-grained soil.
However, in fine-grained soils, the final
scour that occurs after a single storm can
be much less if the soil erodes very slowly.
Part (c) will explore how to find this final
scour value after a 24 hour storm.
10-63

Problem 10.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

8. Before calculating the amount of scour

resulting from the 24 hour storm
(Equation 10-60), first compute the
correction factors kw (Equation 10-62) and
ksh (Equation 10-64).
No correction for pier spacing (ksp) and
angle of attack (ka) are needed in this
problem as there is only one pier and the
angle of attack is 0.

k w = 1 + 16e

k sh = 1.15 + 7e

100
10

k sh = 1.15 + 7e

= 1.0
10
10

= 1.28

In this example, there is only a single pier. Pier

spacing is, therefore, not a concern, and:
ksp = 1
Likewise, because the angle Ka = 1.0
(from Equation 10-6 for = 0o)

y
Bp

k w = 1 + 16e

Lp
Bp

9. Knowing these correction factors, the

=
max, pier (1.0)(1.0)(1.28)(1.0)
maximum shear stress around the pier

1
1
0.094(1.94)(10) 2

(max,pier) is calculated as shown below.
log ( 9259259 ) 10
Note that the mass density of the water
max, pier = 1.02 psf
and the viscosity of the water will change
depending on temperature and salt
concentration in the water.

1
1
max, pier =
kw ksp ksh ka 0.094 V12

log Re 10
10. Since the maximum hydraulic shear stress
around the pier has been calculated (1.02
psf), the initial scour rate (i) can be found
using the erosion function (Figure 10.6-2)
and is equal to 0.017 ft/hr.

i = .017 ft/hr

10-64

Problem 10.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

11. The maximum scour at the site was

calculated as 17.25 ft in the previous
example (Sect. 10.6.2.2) using HEC-18
Clay. The first storm event for the pier
lasted 24 hours. The amount of scour
resulting from this storm can be found
using Equation 10-60, shown below, where
z(t) is the scour depth as a function of
time, zmax is the maximum scour depth
(ys,pier), and i is the initial scour rate (found
from Figure 10.6-2).

z (t ) =

z (t ) =

24

1
24
+
0.017 17.25
z (24hrs ) = 0.4 ft

t
t
1
+
zi zmax
Part (d): Computation of the wave-induced pier scour

12. First, it must be determined whether the

pier is located in shallow water,
transitional water, or deepwater. The pier
is located in a water depth (d) of 100 feet.
This is less than L/2, which is equal to 250
feet. It is larger than L/20, however, so the
pier is located in transitional water. The
maximum orbital velocity at the bed
(Vorb,bm) can then found using Table 10.2-3.

Vorb ,bm

Vorb ,bm

Vorb ,bm

(z + d )
cosh 2
H gT
L

=
cos w
2 L
d
cosh 2
L

10-65

(100 + 100)
cosh 2

3 (32.2)(15)
500

=
cos(0)
2 500
100
cosh 2

500
ft
= 0.76
s

Problem 10.6-2
ANALYTICAL PROCEDURES

COMPUTATIONS

13. The Keulegan-Carpenter number (KC)

(0.76)(15)
=
KC = 1.14
must now be found (Equation 10-3).
10

KC =

Vorb ,bmT
Bp

Since KC is less than 6, waves will not impact

the local pier scour (Ref. 10-33). It can be
considered negligible (ys,pier,wave = 0).
SUMMARY

a. The simple pier scour for the case of coarse-grained soils is 12.96 ft.
b. The simple pier scour for the case of fine-grained soils is 17.25 ft.
c. The scour depth at the pier is 0.4 ft after the first 24 hour storm. This is a significant
difference from the maximum scour possible at the site. Subsequent storms and other
events will further the scour at the pier. In fine-grained soil, the final scour depth after a
series of storms or a velocity hydrograph can be found using the SRICOS-EFA Method.
d. The wave-induced pier scour is 0 ft (no scour).

10-66

10.6.3 Problem 3 Contraction Scour Example

10.6.3.1 Problem Statement
A contracted channel has an upstream channel width (W1) of 100 feet and a contracted
channel width (Wc) of 75 feet as shown in Figure 10.6-3. The length of contraction (Lc) is 20 feet.
The transition angle for the contraction is 90 and the approach velocity is 10 ft/s. The upstream
water depth (y1) and the water depth in the contracted section (yo) are both 25 feet, prior to any
scour. The discharge (Q) is 25,000 ft3/s through the channel. The water temperature is 20oC.
Also EFA testing was conducted on a soil sample at the site. The results of this test
include the erosion function shown in Figure 10.6-4.
Based on the site data given above, find:
(a) The contraction scour in coarse-grained soils.
(b) The contraction scour in fine-grained soils.
(c) The depth of contraction scour in fine-grained soils after the first 24 hour storm.

Figure 10.6-3. Contraction scour example.

Figure 10.6-4. Time rate of contraction scour example.

10-67

10.6.3.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of pier scour.
Problem 10.6-3
ANALYTICAL PROCEDURES

COMPUTATIONS

Part (a): Computation of contraction scour in coarse-grained soils

1. Assume that the soil is coarse grained
with a D50 of 0.03 feet. To use the HEC-18
Sand method in this case, a distinction
must be made as to whether clear-water
scour or live-bed scour will develop.

D50 = 0.02 ft

2. The critical velocity (Vc) is determined by

Equation 10-12, shown below.

Vc = 11.17(25)1 6 (0.03)1 3
Vc = 5.94 ft / s

Vc = 11.17 y D
16
1

13
50

The approach velocity (10 ft/s) is greater than

the critical velocity (5.94 ft/s), therefore, livebed scour will result.

3. Find the fall velocity of the bed material

() according to Figure 10.4-4 using the
known value of D50 , and the shear
velocity in the upstream section (V*) from
Equation 10-42.
1

V * = ( gy1S1 ) 2

= 1.4 ft/s.
From Table 10.4-2, n = 0.02 s/m1/3 for sand
Note: Since Mannings equation (Equation 1043) already incorporates the constant 1.49, use
the n values given in Table 10.4-2 with the
units of s/m1/3. The 1.49 will automatically
convert the units of n to s/ft1/3.

The slope of the energy grade line (S1) is

found using Mannings equation
0.45(10) 2 (0.02) 2
(Equation 10-43), which is shown =
below.
S1 =
0.000423
4
2

V1 =

(25)(100) 3
2(25) + (100)

1.49 Rh ,1 3 S1 2

n
0.45V12 n 2 0.45V12 n 2
0.45V12 n 2
=
S1
=
=
4
4
4
A1 3
y1W1 3
Rh3,1

P1
2 y1 + W1

10-68

Problem 10.6-3
ANALYTICAL PROCEDURES

COMPUTATIONS

1
ft
4. Now that S1 has been found, the shear
=
V * [ (32.2)(25)(0.000423)
=
]2 0.58
s
velocity can be calculated (Equation 1042).
V*/ = .58/1.4 = .41
1

V * = ( gy1S1 ) 2

Find V*/
For V*/ = 0.41,

5. Find the value of k1 from Table 10.4-1,

using the computed value of V*/.

k1 = .59

6. Using Equation 10-41, the local live-bed

6 100 0.59
(25)
=
y
(1) 7
s , contraction ,lb
25
contraction scour can be calculated.
75

ys , contraction ,lb = 4.62 ft

6
k1

Q2
W1

=
ys , contraction ,lb y1 yo
Q1 Wc

Part (b): Computation of contraction scour in fine-grained soils

7. Now assume the soil is a fine-grained clay.
Find the critical shear stress (c) using
Figure 10.6-4.
Also find the correction factors for
transition angle (K) and contraction
length (KL) and Mannings coefficient (n)
based on the guidance for HEC-18 Clay
method (Section 10.4.2.2).

From Figure 10.6-4,

c = 1.0 psf
Based on the guidance in Section 10.4.2.2,
K = 1
KL = 1
From Table 10.4-2 for clay,
n = 0.023 s/m1/3

From Table 10.4-2, Mannings roughness

(n) is equal to 0.023 for clay. Remember
that in English units, n must be divided by
a factor of 1.49 (n/1.49) to keep units
consistent. In SI units, n is divided by a
factor of 1 (n/1 = n).

Note: Remember that in English units, n must

be divided by a factor of 1.49 (n/1.49) to keep
units consistent. In SI units, n is divided by a
factor of 1 (n/1 = n).

10-69

Problem 10.6-3
ANALYTICAL PROCEDURES

COMPUTATIONS

8. The local contraction scour can now be

calculated according to Equation
10-44, as ys ,contraction
=
shown below.
ys , contraction

2
1.38 V1 W1 c

Wc
=
ys , contraction K K L1.90 y1
1
gy1

gny13

1.0 2
1.38 (10) 100

75

1.94

(1)(1)(1.9)(25)
1
(32.2)(25)
0.023
3

(32.2)
(25)

1.49

= 7.34 ft

Part (c): Computation of the depth of contraction scour in fine-grained

soils after the first 24 hour storm
9. The maximum hydraulic shear stress in
the contraction zone (max,contraction) must
first be calculated in order to find the
initial scour rate (Equation 10-66).

1.75

100
0.62 + 0.38
kc R =

75
1.5

To do so, find the values of the correction

factors for the contraction ratio (kc-R),
transition angle (kc-), and contraction
length (kc-Lc) using Equations 10-67, 10-68,
and 10-69, respectively. The depth of the
water has a negligible influence, so the
correction for water depth, kc-y = 1.

90
1 + 0.9
kc =
90

0.023
2 (25)(100)
(10)

1.49
2(25) + (100)
2

max,contraction = (1.25)(1.9)(1)(1)(62.4)
max,contraction = 1.38 psf

1.75

kc = 1 + 0.9
90

1.5

kc Lc

kc L < 0.35

for

max,contraction = kc R kc kc y kc Lc n 2V 2 Rh 3
yW
= kc R kc kc y kc Lc n V 1 1
2 y1 + W1
2

1.9
=

20
20
0.77 + 1.36
0.59 0.35
kc Lc =
1.98
=
100 75
100 75
kc Lc = 1

W
0.62 + 0.38 1
k=
cR
Wc

1 for kc Lc 0.35

2
=
Lc
Lc
1.98

0.77 + 1.36
W1 Wc
W1 Wc

1.25
=

1
3

10-70

1
3

Problem 10.6-3
ANALYTICAL PROCEDURES

COMPUTATIONS

10. Since the maximum hydraulic shear stress

in the contraction has been calculated
(1.38 psf), the initial scour rate (i) can be
found using the erosion function (Figure
10.6-4).
The maximum scour at the site was
calculated as 7.34 feet in the previous
example (Sect. 10.6.3.2) using HEC-18
Clay. The storm event lasted 24 hours.
The amount of scour resulting from this
storm can be found using Equation 10-60,
shown below, where z(t) is the scour
depth as a function of time, zmax is the
maximum scour depth (ys,contraction), and i
is the initial scour rate (found from Figure
10.6-4).

z (t ) =

From Figure 10.6-4, for max,contraction = 1.38 psf,

i = 0.016 ft/hr

z (t ) =

24

1
24
+
0.016 7.34
z (24hrs ) = 0.36 ft

t
t
1
+
zi zmax
SUMMARY

a. The contraction scour in coarse-grained soil is 4.62 ft.

b. The contraction scour in fine-grained soil is 7.34 ft.
c. The scour depth in the contraction zone is 0.36 ft after the first 24 hour storm. This is a
significant difference from the maximum scour possible at the site. Subsequent storms and
other events will further the scour at the pier. In fine-grained soil, the final scour depth after
a series of storms or a velocity hydrograph can be found using the SRICOS-EFA Method.

10-71

10.6.4 Problem 4 Abutment Scour in Coarse-Grained Soils Example

10.6.4.1 Problem Statement
A concrete wing wall abutment has a projected abutment length of 5 feet for both the
right abutment (labeled R on Figure 10.6-5) and the left abutment (labeled L on Figure 10.6-5).
The average flow depth and upstream water depth are 15 ft. The left abutment is aligned at a
60o angle pointing downstream. The right abutment is aligned at a 120o angle pointing
upstream. The velocity of the flow in the obstructed section is 10 ft/s. Calculate the scour depth
at both the right and left abutments.

Figure 10.6-5. Abutment scour example.

10.6.4.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of abutment scour.
Problem 10.6-4
ANALYTICAL PROCEDURES

COMPUTATIONS

1. According to Section 10.4.4.1, there are

two methods available to calculate the
depth of abutment scour.

For both abutments,

L/y1 = 5/15 = 1/3 < 25

If the ratio of projected abutment length

(L) to the upstream flow depth (y1) is
greater than 25 (L/y1 > 25), then the HIRE
abutment scour equation is used. If L/y1
< 25, the Froehlich abutment scour
equation is used.

The Froehlich abutment scour equation will be

applied (Equation 10-53).

Compute L/y1.

10-72

Problem 10.6-4
ANALYTICAL PROCEDURES

COMPUTATIONS

2. Since the abutment is a wing wall

abutment, a shape factor (Ks) must be
applied.

From Table 10.2-6,

Ks = 0.82
From Equation 10-14,

The angle of attack also impacts local

scour. To account for the alignment, a
correction factor (K) must also be
applied (Equation 10-14). For the left
abutment, the angle of abutment
alignment () is 60. For the right
abutment, the angle of abutment
alignment is 120.

0.13

60o
=
0.95
K , L =
o
90
0.13

120o
=
1.04
K , R =
o
90

0.61
3. Now, the local abutment scour can be

ys , abutment , L
10
5

2.27(0.75)(0.95)
+1
calculated according to=
the Froehlich
1

ya
15
2
(32.2*15)
equation (Equation 10-53). For the left
1.33(15)
y
=
s , abutment , L
abutment:

ys , abutment , L = 19.95 ft

ys , abutment , L
L ' Ve
= 2.27 K s K
1
ya
ya ( gya ) 2

0.61

+1

4. For the right abutment:

ys , abutment , R
2.27 K s K
=
ya

ys , abutment , R
10
5

2.27(0.82)(1.04)
=
1
0.61

ya
15

(32.2*15) 2
L ' Ve
1.40
=
=
ya 1.40(15)
+ 1 ys , abutment
,R

ya ( gya ) 2

0.61

+1

ys , abutment , R = 21 ft

SUMMARY
The right abutment experiences more scour than the left abutment in this equation. This is
because the right abutment is angled upstream. The left abutment has a slight shielding effect
since it is angled downstream.
1. ys,abutment,L = 19.95 ft
2. ys,abutment,R = 21 ft

10-73

10.6.5 Problem 5 Seawall Scour in Coarse-Grained Soils Example

10.6.5.1 Problem Statement
A vertical seawall is placed along the shoreline, as shown in Figure 10.6-6. The water
level is 5 feet at the location of the wall. The deepwater significant wave height (Hs), unbroken
wave height (Ho), and wave length (Ld) are 4 feet, 2 feet, and 250 feet, respectively. Find the
maximum seawall scour.

Figure 10.6-6. Seawall scour example.

10.6.5.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of seawall scour.
Problem 10.6-5
ANALYTICAL PROCEDURES

COMPUTATIONS

1. As a rule of thumb, the maximum seawall

scour is less than or equal to the
unbroken deepwater wave height, Ho.
Equation 10-54 can be used to more
accurately estimate the maximum scour
as long as -0.011 y/Ld 0.045 and 0.015
Hs/Ld 0.04.

y
=
ys , seawall H s 22.72
Ld

From the problem statement,

Hs =4 ft, Ho = 2 ft, and Ld = 250 ft
y/Ld = 5/250 = 0.02
Hs/Ld = 4/250 = .016
Equation 10-54 is valid since y/Ld and Hs/Ld
fall within the constraints.

+ 0.25
5

=
ys , seawall 4 22.72
+ 0.25
250

ys , seawall = 3.36 ft
SUMMARY
The maximum seawall scour is 3.36 ft.
10-74

10.6.6 Problem 6 Pipeline Scour Example

10.6.6.1 Problem Statement
A 2.5 foot diameter pipeline is laid along the seafloor which is at a depth (d) of 100 feet,
as shown in Figure 10.6-7. Under its own weight, it embeds 0.5 feet. The pipeline experiences
wave action with the waves having a wave length (L) of 500 feet, a wave period (T) of 10
seconds, and a wave height (H) of 5 feet. Find the maximum pipeline scour.

Figure 10.6-7. Pipeline scour example.

10.6.6.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of pipeline scour.
Problem 10.6-6
ANALYTICAL PROCEDURES
1.

COMPUTATIONS

The pipeline is located in a water depth

(d) of 100 feet. This is less than L/2,
which is equal to 250 feet. It is larger than
L/20, however, so the pipe is therefore
located in transitional water. The
maximum orbital velocity at the bed
(Vorb,bm) can be found using Table 10.2-3.

Vorb ,bm

Vorb ,bm

5 (32.2)(10)
=
2 500

Vorb ,bm = 0.85

(z + d )
cosh 2
H gT
L

=
cos w
2 L
d
cosh 2
L

10-75

ft
s

(100 + 100)
cosh 2

500

cos(0)
100
cosh 2

500

Problem 10.6-6
ANALYTICAL PROCEDURES

COMPUTATIONS

2. The embedment ratio (e/Dpl) is less than

0.5, so scour will occur. Since the pipeline
is in the presence of wave action, the
maximum depth of scour is calculated
according to Equation 10-59.

0.1(2.5)
y=
s , pipeline , wave
ys , pipeline, wave = 0.53 ft

e e
ys , pipeline=
0.1D pl KC 1 1.4
+
, wave

D pl D pl

V T
e e
= 0.1D pl orb ,m 1 1.4
+
D pl
D pl D pl

SUMMARY
The maximum depth of pipeline scour is 0.53 ft.

10-76

(0.85)(10)
2.5

0.5 0.5
1 1.4 2.5 + 2.5

10.6.7 Problem 7 Propeller Induced Scour Example

10.6.7.1 Problem Statement
A vessels propeller has a diameter (Dp) of 8 feet and an initial centerline velocity (Vo) of
15 ft/s, as shown in Figure 10.6-8. The propeller has a clearance distance to the seabed (C) of 15
feet. The seabed soil (D50 = 0.005 ft) and the seawater have mass densities of 3.6 slugs/ft3 and 2
slugs/ft3, respectively. The ships propellers remain in motion at this one site for 1 hour. Find the
scour due to the propeller.

Figure 10.6-8. Propeller scour example.

10.6.7.2 Problem Solution

The analytical and computational procedures for the problem's solution are shown
below. They follow the methods presented in this chapter for computation of propeller induced
scour.
Problem 10.6-7
ANALYTICAL PROCEDURES

COMPUTATIONS

1. Equation 10-46 can be used to compute

the propeller induced scour, as long as the
seabed depth below the propeller (C) is in
the range of 0.5 to 2.5 times the propeller
diameter (Dp).

0.5(8 ft) = 4 ft
2.5 (8 ft) = 20 ft
YES, C is between 4 and 20 feet, so Equation
10-46 can be applied.

Is 0.5Dp < C < 2.5Dp?

10-77

Problem 10.6-7
ANALYTICAL PROCEDURES

COMPUTATIONS

2. Before calculating the propeller induced

=
Fro
scour, the densimetric Froude number
(Fro) must first be found (Equation 10-49).
Then, both and need to be estimated
(Equations 10-47 and 10-48).

Vo

Fro =

=Fr

0.48

0.94

8
15
0.53
7.4
=
(41.8)
=

0.005
0.005

gD50

0.53
0

15
= 41.8
3.6 2
(32.2)(0.005)

Dp

D50

0.48

= (7.4) 6.38= 2.8 106

D50

0.94

= 6.38

3. The propeller induced scour is then found

according to Equation 10-46. Since the
amount of time the propeller is moving is
known (t = 3,600s), scour can be directly
calculated. If the time was unknown and a
maximum asymptotic value is wanted, try
different time intervals until the
calculated scour for one time step is
within a chosen accuracy value from the
previous time step.

=
ys , propeller 0.128(2.8 106 ) [ ln(3600) ]

7.4

ys , propeller = 2.05 ft

ys , propeller=
( ft ) 0.128 {ln [t (sec) ]}

SUMMARY
The maximum depth of propeller induced scour is 2.05 ft.

10-78

10.6.8 Problem 8 Footing Scour with Skirt Countermeasure Example

10.6.8.1 Problem Statement
A 50 foot square footing is going to be placed on the seafloor normal to the direction of
flow. The footing extends 5 feet above the plane bed seafloor (D50 = 0.006 ft, D84 = 0.05 ft, and
D95 = 0.065 ft) with no embedment. The water depth at this location is 100 ft and the current is
moving at 5 ft/s. There is no wave action. Find the depth to which a skirt must be placed around
the perimeter of the footing to avoid the footing being undermined by scour (Figure 10.6-9).

Figure 10.6-9. Footing scour example.

10.6.8.2 Problem Solution

Peripheral skirts must be placed below the estimated scour depth to ensure foundation
stability. The method used to calculate footing scour is the same as that for pilecap/footing
scour for a complex pier (Section 10.4.1.3), except there is no pier scour and no pile group scour.
Problem 10.6-8
ANALYTICAL PROCEDURES

COMPUTATIONS

1. The footing scour can be estimated using

Equation 10-32. But first, any necessary
correction factors must be found.

For square footing, Table 10.2-4 gives: Ksh = 1.1

For flow normal to the footing: Ka = 1.0

The correction factors for pier nose shape

(Ksh), angle of attack (Ka), bed condition
(Kb), armoring (Kar), and wide pier in
shallow water (Kws) are found according
to the guidelines in Section 10.2.3.1.1.

For a plane bed, Table 10.2-5 gives: Kb = 1.1

Since D50 < 0.0066 ft there is no correction for
armoring: Kar = 1.0
The water depth > 0.8 (footing width), so the
footing is not considered wide in shallow
water: Kws = 1.0

10-79

Problem 10.6-8
ANALYTICAL PROCEDURES

COMPUTATIONS

2. Second, the Froude number for this case

5
Ln 10.93
+ 1

(Frf, Equation 10-9) must be calculated

ft

0.05
=
V f 5=

3.50
using the average velocity of flow (Vf) at
s
Ln 10.93 100 + 1

0.05
the exposed footing (Equation 10-33).

Frf =

Vf
gy f

=
Frf

yf

Ln 10.93 + 1
ks

V f = V2

y2
Ln 10.93 + 1
ks


3. Finally, the footing scour can be estimated
using Equation 10-32.

ys , footing

B
= 2 y f K sh K a K b K ar K ws pc
y
f

0.65

3.50
= 0.28
(32.2)(5)

50
ys , footing = 2(5)(1.1)(1.0)(1.1)(1.0)(1.0)
5
ys , footing = 31.27 ft

0.65

( 0.28)

0.43

Frf0.43

SUMMARY
The skirt must be placed to a depth of at least 31.27 ft around the footing. If riprap or other
scour countermeasures are also used at this site, the scour depth, and thus the skirt depth, will
be decreased.

10-80

10.7 REFERENCES
10-1.

Karrock.
Hjulstrms Diagram. Wikipedia: The Free Encyclopedia Website.
http://en.wikipedia.org/wiki/File:Hjulstrms_diagram_en.PNG (October 25, 2009).

10-2.

Briaud, J.-L., 2008, Case Histories in Soil and Rock Erosion: Woodrow Wilson Bridge,
Brazos River Meander, Normandy Cliffs, and New Orleans Levees, 9th Ralph B. Peck
Lecture, Journal of Geotechnical and Geoenvironmental Engineering, ASCE.

10-3.

Cao, Y., Wang, J., Briaud, J.-L., Chen, H.C., Li, Y., Nurtjahyo, P., 2002, Erosion Function
Apparatus Overview and Discussion of Influence Factors on Cohesive Soil Erosion Rate in
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Texas A&M University, Dpt. Of Civil Engineering, College Station, TX, 2002

10-4.

Martin, J.L., McCutcheon, S.C., 1999, Hydrodynamics and Transport for Water Quality
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10-5.

Demerbilek, Z., Vincent, L., 2006, Water Wave Mechanics, Coastal Engineering Manual,
Part 2, Chapter 1, Engineer Manual 1110-2-1100, U.S. Army Corps of Engineers,
Washington, DC.

10-6.

Sumer, B.M., Fredse, J., 2002, The Mechanics of Scour in the Marine Environment,
World Scientific, Advanced Series on Ocean Engineering, Vol. 17, River Edge, NJ.

10-7.

Dey, S., Sumer, B.M., Fredse, J., 2006, Control of Scour at Vertical Circular Piles under
Waves and Current, Journal of Hydraulic Engineering, ASCE, March 2006.

10-8.

Thoresen, C.A., 2003, Port Designers Handbook: Recommendations and Guidelines,

Thomas Telford, Ltd., London, UK.

10-9.

Tsinker, G.P., 1995, Marine Structures Engineering: Specialized Applications, Chapman &
Hall, New York, NY.

10-10. Blaaw, H.G., van de Kaa, E.J., 1978, Erosion of Bottom and Banks Caused by the Screw
Race of Maneuvering Ships, Publication No. 202, Delft Hydraulics Laboratory, Delft, The
Netherlands, presented at the 7th International Harbor Congress, Antwerp, May 22-26.
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Walls, Journal of Waterway, Port, Coastal, and Ocean Engineering, Vol. 125, Issue 4, pp.
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Engineering Circular No. 18, Report No. FHWA NHI 01-001 HEC-18, May 2001.
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in Cohesive Soils, NCHRP Report 516, Washington, DC.
10-81

10-14. Wang, J., 2004, The SRICOS-EFA Method for Complex Pier and Contraction Scour, Ph.D.
Dissertation, Texas A&M University, College Station, TX, May 2004.
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Highlands Ranch, CO.
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Environment.
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Part 5, Springer India, October 2004.
10-18. Arcement, JR., G.J., Schneider, V.R., 1984, Guide for Selecting Mannings Roughness
Coefficients for Natural Channels and Flood Plains, United States Geological Survey
Water-supply Paper 2339, Metric Version, USGS.
10-19. Fowler, J.E., 1992, Scour Problems and Methods for Prediction of Maximum Scour at
Vertical Seawalls, Coastal Engineering Research Center, Vicksburg, MS.
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Submarine Pipeline, Journal of Waterway, Port, Coastal, and Ocean Engineering. Vol.
131, Issue 5, pp. 193-202, September/October 2005.
10-21. Burcharth, H.F., Hughes, S.A., 2006, Fundamentals of Design Part 3, Coastal
Engineering Manual, Part 6, Chapter 5, Engineer Manual 1110-2-1100, U.S. Army Corps
of Engineers, Washington, DC.
10-22. Sumer, B.M., Truelsen, C., Sichmann, T., Frese, J., 2001, Onset of Scour Below
Pipelines and Self-burial, Coastal Engineering, Vol. 42, issue 4, pp. 313-335, April 2001.
10-23. Liang, D., Cheng, L., Li, F., 2005, Numerical Modeling of Flow and Scour Below a
Pipeline in Currents: Part II. Scour simulation, Coastal Engineering, Elsevier, Vol. 52, pp.
43-62.
10-24. Hoffmans, G.J.C.M., Verheij, H.J., 1997, Scour Manual, A.A. Balkema Publishers,
Netherlands.
10-25. Hosseini, D., Hakimzadeh, H., Ghiassi, R., 2004, Scour Below Submarine Pipeline due to
Currents, Proceedings of 2nd International Conference on Scour and Erosion, Meritus
Mandarin, Singapore, November 14-17, 2004.
10-26. Nordin, C.F., Richardson, E.V., 1967, The Use of Stochastic Models in Studies of Alluvial
Channel Processes, Proceedings of the 12th IAHR Conference, Vol. 2, pp. 96-102, Ft.
Collins, CO.

10-82

10-27. Shore Protection Manual, 1977, US Army Engineer Waterways Experiment Station,
Coastal Engineering Research Centre, US Government Printing Office, Washington, DC.
10-28. Dewall, A.E., Christenson, J.A., 1979, Guidelines for Predicting Maximum Nearshore
Sand Level Changes on Unobstructed Beaches, Army Coastal Engineering Research
Center, Unpublished Report, Fort Belvoir, VA.
10-29. Reeve, D., Chadwick, A., 2004, Coastal Engineering: Processes, Theory and Design, Taylor
& Francis.
10-30. Yen, B.C.,ed., 1992, Channel Flow Resistance: Centennial of Mannings Formula, Water
Resources Publications, LLC, Highlands Range, CO.
10-31. Fredse, J., Deigaard, R., 1992, Mechanics of Coastal Sediment Transport, Singapore:
World Scientific.
10-32. Le Roux, J.P., 2003, Wave Friction Factor as Related to the Shields Parameter for Steady
Currents, Sedimentary Geology, Vol. 155, Issues 1-2, pp. 37-43, January 2003.
10-33. McConnell, K., Allsop, W., Cruickshank, I., 2004, Piers, Jetties and Related Structures
Exposed to Waves: Guidelines for Hydraulic Loadings, Thomas Telford.
10-34. Brunner, G.W., 2002, HEC-RAS River Analysis System Hydraulic Reference Manual,
Version 3.1, Report No. CPD-69, U.S. Army Corps of Engineers, Institute for Water
Resources, Hydrologic Engineering Research Center, Davis, CA 95616.
10-35. Akan, A.O., 2006, Open Channel Hydraulics, Butterworth-Heinemann/Elsevier.
10-36. Caltrans (California Department of Transportation), 2006, Highway Design Manual,
Chapter 860.
10-37. Hamill, G.A., McGarvey, J.A., 1997, The Influence of a Ships Rudder on the Scouring
Action of a Propeller Wash, Proceedings of the 7th International Offshore and Polar
Engineering Conference (ISOPE), Vol. IV, pp. 754-757, May 25-30, 1997, Honolulu, HI.
10-38. Shore Protection Manual, 1984, 4th ed., 2 Vols, US Army Engineer Waterways
Experiment Station, Coastal Engineering Research Centre, US Government Printing
Office, Washington, DC.
10-39. Sumer, B.M., Fredse, J., 1992, A Review of Wave/Current-Induced Scour Around
Pipelines, Proceedings of the 23rd International Coastal Engineering Conference, Vol. 3,
ASCE, pp. 2839-2852.
10-40. Klomb, W.H.G., Tonda, P.L., 1995, Pipeline Cover Stability, Proceedings of the 5th
International Conference on Offshore Mechanics and Arctic Engineering, American
Society of Mechanical Engineering, Vol. 2, pp. 15-22.
10-83

10-41. Briaud J.-L., Ting F. C. K., Chen H. C., Gudavalli R., Perugu S., Wei G., 1999, SRICOS:
Prediction of Scour Rate in Cohesive Soils at Bridge Piers, Journal of Geotechnical and
Geoenvironmental Engineering, Vol. 125, No.4, pp. 237-246, ASCE, Reston, Virginia.
10-42. Briaud J.-L., Ting F., Chen H.C., Cao Y., Han S.-W., Kwak K., 2001, Erosion Function
Apparatus for Scour Rate Predictions, Journal of Geotechnical and Geoenvironmental
Engineering, Vol. 127, No.2, pp. 105-113, Feb. 2001, ASCE, Reston, Virginia.
10-43. USACE (U.S. Army Corps of Engineers), 1994, Engineering and Design Hydraulic Design
of Flood Control Channels, EM 1110-2-1601.
10-44. Lagasse, P.F., Clopper, P.E., Zevenbergen, L.W., Ruff, J.F., 2006, Riprap Design Criteria,
Recommended Specifications, and Quality Control, NCHRP Report 568, Washington, DC.
10-45. USDA (United States Department of Agriculture), 1994, Gradation Design of Sand and
Gravel Filters, National Engineering Handbook, Ch. 26, Part 633.
10-46. Army and Air Force Technical Manual, 1995, Engineering Use of Geotextiles, Joint
Departments of the Army and Air Force, Army TM 5-818-8, Air Force AFJMAN 32-1030.
10-47. Anderson, D.W., 2003, Use of Articulating Concrete Block Revetment Systems for
Stream Restoration and Stabilization Projects, Proceedings of the 2003 ASABE Annual
International Meeting, Las Vegas, NV, July 27-30, 2003.
10-48. Gerwick, Jr., B.C., 2000, Construction of Marine and Offshore Structures, Second Edition,
CRC Press, Francis & Taylor Group.
10-49. Lagasse, P.F., Zevenbergen, L.W., Schall, J.D., Clopper, P.E., 2001, Bridge Scour and
Stream Instability Countermeasures: Experience, Selection, and Design Guidance,
Second Edition, Hydraulic Engineering Circular No. 23, Report No. FHWA NHI 01-003
HEC-23, March 2001.
10-50. Lagasse, P.F., Schall, J.D., Richardson, E.V., 2001, Stream Stability at Highway Structures,
Third Edition, Hydraulic Engineering Circular No. 20, Report No. FHWA NHI 01-002 HEC20, March 2001.
10-51. Hunt, B., (2008), Practices for Monitoring Scour Critical Bridges, NCHRP Project 20-5,
Topic 36-02, Transportation Research Board, Washington, D.C.

10-84

10.8 SYMBOLS
A

Cross-sectional area of flow [L2]

Wave semi-orbital length [L]

Wave semi-orbital width [L]

Bp

Width/Diameter of pier [L]

Bp

Width of pier normal to the flow [L]

Bpc

Width of pile cap [L]

B*pc

Equivalent full depth solid pier width for pile cap [L]

B*pg

Equivalent full depth solid pier width for pile group [L]

Bproj

Projected width of pile group [L]

Clearance distance between the propeller tip and the seabed [L]

C1

Coefficient for maximum velocity at the bed due to a propeller

CD

Drag coefficient

C.G.

Center of gravity

Diameter of structure [L]

Do

Diameter of initial centerline propeller velocity [L]

D50

Mean grain size [L]

D50,riprap

Median diameter of riprap [L]

D84

Diameter of soil of which 84% of the particles are smaller [L]

D90

Diameter of soil of which 90% of the particles are smaller [L]

D95

Diameter of soil of which 95% of the particles are smaller [L]

Dm

Diameter of the smallest non-transportable particle in the bed material [L]

Dp

Propeller diameter [L]

Dpl

Pipeline/Cable diameter [L]

Dxs

Diameter of soil of which xs% of the particles are smaller [L]

Water depth [L]

Change in shear strain [L/L]

dt

Change in time [T]

dVx

Change in horizontal velocity [L/T]

dx

Change in horizontal displacement [L]

10-85

dz

Change in vertical direction [L]

Embedment depth of pipeline/cable [L]

Coefficient for initial centerline propeller velocity

Fr

Froude number

Fro

Densimetric Froude number

Fr1

Upstream Froude number

Fr2

Adjusted Froude number for pile cap

Fr3

Adjusted Froude number for pile group

Frf

Froude number for footing

Pile cap overhang [L]

fci

Forces at contacts between soil particles [F]

fei

Electrical forces between soil particles [F]

fw

Wave friction factor

Acceleration due to gravity [L/T2]

Wave height [L]

Ho

Unbroken deepwater wave height [L]

He

Annual extreme wave height [L]

Hp

Distance from the center of the propeller shaft to channel bottom [L]

Hs

Average monthly significant wave height [L]

Hs

Significant wave height [L]

ho,pc

Actual pile cap height [L]

ho,pg

Actual pile group height [L]

h1

Height of the pier stem above the bed [L]

h2

Adjusted pile cap height [L]

h3

Adjusted pile cap height [L]

Coefficient for pier shape for riprap

Ka

Attack angle correction factor (Figure 10.2-23)

Kar

Bed armoring correction factor

Kb

Bed condition correction factor (Table 10.2-5)

Kh,pier

Complex pier scour correction factor

10-86

Kh,pg

Pile group height correction factor

KL

Contraction length correction factor

Km

Number of aligned rows correction factor for a pile group

Abutment alignment correction factor

Ks

Abutment shape correction factor (Table 10.2-6, Figure 10.2-24)

Ksh

Pier shape correction factor (Table 10.2-4)

Ksp

Pier spacing correction factor

Ksp,pg

Pile spacing correction factor for a pile group

Transition angle correction factor

K/Xmax

Transition angle correction factor for location of maximum scour

Kw

Shallow water correction factor

Kws

Wide pier in shallow water correction factor

KC

Keulegan-Carpenter number

k1

Exponent for live-bed contraction scour (Table 10.4-1)

ka

Shear stress correction factor for attack angle

kc-

Shear stress correction factor for contraction transition angle

kc-Lc

Shear stress correction for contraction length

kc-R

Shear stress correction factor for contraction ratio

kc-y

Shear stress correction factor for contraction water depth

ks

Nikuradse equivalent bed roughness [L]

ksh

Shear stress correction factor for pier shape

ksp

Shear stress correction factor for pier spacing

kw

Shear stress correction factor for water depth

Wave length [L]

Length of the abutment projected normal to flow [L]

Lc

Length of contraction [L]

Ld

Deepwater wave length [L]

Lp

Length of pier [L]

Lo

Deep water wave length [L]

mp

Number of rows in the pile group

10-87

Design life [T]

Mannings roughness coefficient (Table 10.4-2) [T/L1/3]

np

Number of piers

ns

Soil porosity

Wetted perimeter [L]

Pd

Engine power [LF/T]

PI

Plasticity index

Flow rate/Discharge (ft3/s)

Q1

Flow rate in the upstream channel [L3/T]

Q2

Flow rate in the contracted channel [L3/T]

Rh

Hydraulic radius [L]

Re

Reynolds number

Slope of energy grade line [L/L]

S1

Slope of energy grade line upstream in main channel [L/L]

Sa

Maximum equilibrium scour depth for unconfined propeller scour [L]

Sp

Pile spacing [L]

Ss

Specific gravity

su

Undrained shear strength [F/L2]

Wave period [T]

Tr

Return period [T]

Time [T]

tpc

Thickness of the pile cap exposed to flow [L]

uw

Water pressure around soil particle [F/L2]

Average water velocity [L/T]

V*

Shear velocity upstream [L/T]

Vo

Initial centerline propeller velocity [L/T]

V1

Average upstream velocity/Approach velocity [L/T]

V2

Adjusted flow velocity for pile cap [L/T]

V3

Adjusted flow velocity for pile group [L/T]

Vb

Average current velocity near the bed [L/T]

10-88

Vb,max

Maximum velocity at the bed due to a propeller [L/T]

Vc

Critical velocity [L/T]

Ve

Velocity of the flow in the obstructed section for abutment scour [L/T]

Vf

Average velocity in the flow zone below the top of the pile cap/footing [L/T]

Vm

Maximum velocity [L/T]

Vorb

Horizontal orbital velocity of wave [L/T]

Vorb,bm

Maximum orbital velocity at the bed [L/T]

Vorb,bm,c

Critical maximum orbital velocity at the bed [L/T]

Vorb,v

Vertical orbital velocity of wave [L/T]

Vpl

Undisturbed flow velocity at the top of the pipeline (ft/s)

Vpl,c

Critical undisturbed flow velocity at the top of the pipeline (ft/s)

Vx

Horizontal water velocity [L/T]

Vy

Vertical water velocity [L/T]

Weight of soil particle [F]

W1

Width of upstream channel [L]

Wc

Width of contraction [L]

Wp

Width of channel without piers [L]

Water content

Horizontal location of maximum velocity behind the propeller [L]

Xm

Distance of the maximum unconfined scour from the propeller [L]

Xmax

Location of maximum contraction scour depth as measured from the beginning

of the contracted section [L]

Xmax()

Location of maximum scour for a transition angle [L]

Xmax(90o)

Location of maximum scour for no contraction [L]

Xw

Distance of the quay wall from the face of the propeller [L]

Water depth [L]

yo

Initial water depth for the existing bed depth [L]

y1

Average upstream water depth [L]

y2

Adjusted flow depth for pile cap [L]

y3

Adjusted flow depth for pile group [L]

10-89

ya

Average depth of flow on the floodplain [L]

yf

Distance from the bed to the top of the footing [L]

ygs

Maximum general scour [L]

ypier

Pier scour depth [L]

ys,abutment

Maximum abutment scour depth [L]

ys,contraction

Maximum contraction scour depth [L]

ys,contraction,cw

Maximum clear-water contraction scour depth [L]

ys,contraction,lb

Maximum live-bed contraction scour depth [L]

ys,c,uniform

Uniform contraction scour depth [L]

ys,pier

Maximum pier scour depth [L]

ys,pier,wave

Maximum wave-induced pier scour depth [L]

ys,pilecap

Maximum pile cap scour depth [L]

ys,pilegroup

Maximum pile group scour depth [L]

ys,pipeline,cw

Maximum clear-water pipeline scour depth [L]

ys,pipeline,lb

Maximum live-bed pipeline scour depth [L]

ys,pipeline,wave

Maximum wave-induced pipeline scour depth [L]

ys,propeller

Propeller induced scour depth [L]

ys,quaywall

Maximum propeller induced scour depth at quay wall [L]

ys,quaywall,rudder

Maximum rudder and propeller induced scour depth at quay wall [L]

ys,rudder

Rudder and propeller induced scour depth [L]

ys,seawall

Maximum seawall scour depth [L]

Erosion rate [L/T]

Measure of depth [L]

zo

Hydraulic roughness length [L]

zfinal

The final depth of scour after a storm event [L]

Initial rate of scour [L/T]

zmax

Maximum magnitude of scour [L]

Proportionality constant for Nikuradse bed roughness (Table 10.3-1)

Propeller scour coefficient

Shear strain [L/L]

10-90

Specific weight of the soil grains [F/L3]

Specific weight of water [F/L3]

Attack angle [rad]

Difference between the soil density and the water density [FT2/L4]

Turbulent fluctuation of the net uplift normal stress [F/L2]

Turbulent fluctuation of the hydraulic shear stress [F/L2]

Change in time [T]

Rudder angle [rad]

Transition angle [deg]

Angle of velocity particle around its orbit [rad]

Dynamic viscosity of water [FT/L2]

Kinematic viscosity of water [L2/T]

Mass density of water [FT2/L4]

Soil density [FT2/L4]

Standard deviation of the monthly average significant wave heights [L]

Shear stress [F/L2]

Bed shear stress [F/L2]

bc

Bed shear stress under current only [F/L2]

bcw,m

Mean bed shear stress due to both currents and waves [F/L2]

bcw,max

Maximum bed shear stress due to both currents and waves [F/L2]

bw

Bed shear stress under waves only [F/L2]

Critical shear stress [F/L2]

max,contraction

Maximum hydraulic shear stress at a contraction [F/L2]

max,pier

Maximum hydraulic shear stress at a pier [F/L2]

Angle between direction of wave propagation and direction of the current [rad]

Angle of slope [rad]

Angle of abutment alignment [deg]

Propeller scour coefficient

Fall velocity of bed material) [L/T]

10-91