geotechnical

engineer’s
portable
handbook
About the International Code Council

The International Code Council (ICC), a membership association dedicated

to building safety, fire prevention, and energy efficiency, develops the codes
and standards used to construct residential and commercial buildings, includ-
ing homes and schools. The mission of ICC is to provide the highest quality
codes, standards, products, and services for all concerned with the safety and
performance of the built environment. Most United States cities, counties, and
states choose the International Codes, building safety codes developed by the
International Code Council. The International Codes also serve as the basis
for construction of federal properties around the world, and as a reference for
many nations outside the United States. The Code Council is also dedicated to
innovation and sustainability, and a Code Council subsidiary, ICC Evaluation
Service, issues Evaluation Reports for innovative products and reports of
Sustainable Attributes Verification and Evaluation (SAVE).

Headquarters: 500 New Jersey Avenue NW, 6th Floor, Washington, DC

20001-2070

District Offices: Birmingham, AL; Chicago, IL; Los Angeles, CA

1-888-422-7233; www.iccsafe.org
geotechnical
engineer’s
portable
handbook
with the 2012 International
Building Code

Robert W. Day

Second Edition

New York    Chicago    San Francisco    Lisbon    London    Madrid

Mexico City    Milan    New Delhi    San Juan    Seoul
Singapore    Sydney    Toronto
Copyright © 2012, 2000 by The McGraw-Hill Companies, Inc. All rights reserved.
Except as permitted under the United States Copyright Act of 1976, no part of this
publication may be reproduced or distributed in any form or by any means, or stored
in a database or retrieval system, without the prior written permission of the publisher.
ISBN: 978-0-07-178972-1
MHID: 0-07-178972-3
The material in this eBook also appears in the print version of this title: ISBN: 978-0-07-178971-4,
MHID: 0-07-178971-5.
All trademarks are trademarks of their respective owners. Rather than put a
trademark symbol after every occurrence of a trademarked name, we use names in an
editorial fashion only, and to the benefit of the trademark owner, with no intention of
infringement of the trademark. Where such designations appear in this book, they have
been printed with initial caps.
McGraw-Hill eBooks are available at special quantity discounts to use as premiums and
sales promotions, or for use in corporate training programs. To contact a representative
please e-mail us at [email protected].
Information contained in this work has been obtained by The McGraw-Hill
Companies, Inc. (“McGraw-Hill”) from sources believed to be reliable. However, neither
McGraw-Hill nor its authors guarantee the accuracy or completeness of any
information published herein, and neither McGraw-Hill nor its authors shall be
responsible for any errors, omissions, or damages arising out of use of this
information. This work is published with the understanding that McGraw-Hill and its
authors are supplying information but are not attempting to render engineering or other
professional services. If such services are required, the assistance of an appropriate
professional should be sought.
TERMS OF USE
This is a copyrighted work and The McGraw-Hill Companies, Inc. (“McGraw-Hill”)
and its licensors reserve all rights in and to the work. Use of this work is subject to
these terms. Except as permitted under the Copyright Act of 1976 and the right to
store and retrieve one copy of the work, you may not decompile, disassemble, reverse
engineer, reproduce, modify, create derivative works based upon, transmit, distribute,
disseminate, sell, publish or sublicense the work or any part of it without
McGraw-Hill’s prior consent. You may use the work for your own noncommercial and
personal use; any other use of the work is strictly prohibited. Your right to use the work
may be terminated if you fail to comply with these terms.
THE WORK IS PROVIDED “AS IS.” McGRAW-HILL AND ITS LICENSORS
MAKE NO GUARANTEES OR WARRANTIES AS TO THE ACCURACY,
ADEQUACY OR COMPLETENESS OF OR RESULTS TO BE OBTAINED
FROM USING THE WORK, INCLUDING ANY INFORMATION THAT CAN BE
ACCESSED THROUGH THE WORK VIA HYPERLINK OR OTHERWISE,
AND EXPRESSLY DISCLAIM ANY WARRANTY, EXPRESS OR IMPLIED,
INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF
MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.
McGraw-Hill and its licensors do not warrant or guarantee that the functions contained
in the work will meet your requirements or that its operation will be uninterrupted or
error free. Neither McGraw-Hill nor its licensors shall be liable to you or anyone
else for any inaccuracy, error or omission, regardless of cause, in the work or for any
damages resulting therefrom. McGraw-Hill has no responsibility for the content of any
information accessed through the work. Under no circumstances shall McGraw-Hill
and/or its licensors be liable for any indirect, incidental, special, punitive, consequential
or similar damages that result from the use of or inability to use the work, even if any
of them has been advised of the possibility of such damages. This limitation of liability
shall apply to any claim or cause whatsoever whether such claim or cause arises in
contract, tort or otherwise.
About the Author

Robert W. Day is a leading geotechnical engineer and the principal engineer

at American Geotechnical in San Diego, California. He is the author of more
than 200 published technical papers and several books, including two editions of
Foundation Engineering Handbook and two editions of Forensic Geotechnical
and Foundation Engineering.
This page intentionally left blank
 CONTENTS

Preface      xv
Acknowledgments      xvii

Part 1    Geotechnical Engineering

Chapter 1.  Introduction 1.3

    1.1.  Definitions   /    1.3
    1.2.  Qualifying Experience   /    1.3
    1.3.  Project Requirements   /    1.4
    1.4.  Proposals and Contracts   /    1.4

Chapter 2.  Field Exploration 2.1

    2.1.  Document Review   /    2.1
    2.2.  Subsurface Exploration   /    2.1
    2.3.  Soil Sampling   /    2.2
    2.4.  Field Testing   /    2.2
    2.5.  Exploratory Logs   /    2.2
    2.6.  Geophysical Techniques   /    2.2
    2.7.  Subsoil Profile   /    2.3

Chapter 3.  Laboratory Testing 3.1

    3.1.  Index Tests   /    3.1
    3.2.  Oedometer Apparatus   /    3.1
    3.3.  Shear Strength   /    3.2
    3.4.  Permeability   /    3.2

vii
viii CONTENTS

    3.5.  Laboratory Compaction Tests   /    3.2

    3.6.  Laboratory Tests for Pavement Design   /    3.2

Chapter 4.  Soil and Rock Classification 4.1

    4.1.  Soil Classification Systems   /    4.1

4.1.1.  Unified Soil Classification System (Uscs)   /    4.1
4.1.2.  Inorganic Soil Classification System Based on
Plasticity (ISBP)   /    4.2
4.1.3.  AASHTO Soil Classification System   /    4.2
4.1.4.  USDA Textural Classification   /    4.2
4.1.5.  Organic Soil Classification   /    4.2
    4.2.  Unusual Soil   /    4.3
    4.3.  Rock Classification   /    4.3

Chapter 5.  Phase Relationships 5.1

    5.1.  Soil Element   /    5.1
    5.2.  Phase Relationships Directly from Laboratory Testing   /    5.2
    5.3.  Indirect Phase Relationships   /    5.2
    5.4.  Example of the Calculation of Phase Relationships   /    5.2

Chapter 6.  Effective Stress and Stress Distribution 6.1

    6.1.  Introduction   /    6.1
    6.2.  Effective Stress, Total Stress, and Pore Water Pressure   /    6.2
    6.3.  Stress Distribution   /    6.2
6.3.1.  One-Dimensional Loading   /    6.2
6.3.2.  2:1 Approximation    /    6.2
6.3.3.  Equations Based on the Theory of Elasticity   /    6.3
6.3.4.  Charts Based on the Theory of Elasticity   /    6.3
    6.4.  Deep Foundations   /    6.3
    6.5.  Mohr Circle   /    6.3

Chapter 7.  Shear Strength 7.1

    7.1.  Introduction   /    7.1
    7.2.  Cohesionless Soil   /    7.2
    7.3.  Cohesive Soil   /    7.2
7.3.1.  Undrained Shear Strength   /    7.2
7.3.2.  Drained Shear Strength   /    7.3
7.3.3.  Drained Residual Shear Strength   /    7.3
7.3.4.  Factors that Affect the Shear Strength of Cohesive Soil   /    7.3
    7.4.  Total Stress and Effective Stress Analyses   /    7.3
 CONTENTS ix

Chapter 8.  Permeability and Seepage 8.1

    8.1.  Introduction   /    8.1
    8.2.  Permeability   /    8.2
    8.3.  Superficial Velocity and Seepage Velocity   /    8.2
    8.4.  Seepage Forces   /    8.2
    8.5.  Two-Dimensional Flow Nets   /    8.2
8.5.1.  Using Flow Nets to Calculate Pore Water Pressures
and Exit Gradients   /    8.3

Chapter 9.  Settlement Analyses 9.1

    9.1.  Introduction   /    9.1
    9.2.  Allowable Settlement   /    9.1
    9.3.  Collapsible Soil   /    9.2
    9.4.  Settlement of Cohesive and Organic Soils   /    9.2
9.4.1.  Immediate Settlement   /    9.2
9.4.2.  Consolidation   /    9.2
9.4.3.  Secondary Compression   /    9.2
    9.5.  Settlement of Cohesionless Soil   /    9.3
    9.6.  Other Common Causes of Settlement   /    9.3

Chapter 10.  Bearing Capacity Analyses 10.1

    10.1.  Introduction   /    10.1
    10.2.  Bearing Capacity for Shallow Foundations   /    10.1
    10.3.  Bearing Capacity for Deep Foundations   /    10.2
    10.4.  Foundations on Rock   /    10.2

Chapter 11.  Pavement and Pipeline Design 11.1

    11.1.  Pavement Design   /    11.1
11.1.1.  California Method of Flexible Pavement Design   /    11.2
    11.2.  Pipeline Design   /    11.2
11.2.1.  Rigid Pipelines and Flexible Pipeline Design   /    11.2

Chapter 12.  Expansive Soil 12.1

    12.1.  Introduction   /    12.1
    12.2.  Laboratory Testing   /    12.1
    12.3.  Swelling of Desiccated Clay   /    12.1
    12.4.  Types of Expansive Soil Movement   /    12.2
    12.5.  Calculating Foundation Heave   /    12.2
    12.6.  Soil Treatment and Foundation Design   /    12.2
    12.7.  Pavements and Flatwork on Expansive Soil   /    12.2
x CONTENTS

    12.8.  Expansive Rock   /    12.3
    12.9.  Soil Suction and Thornthwaite Moisture Index   /    12.3

Chapter 13.  Slope Stability 13.1

    13.1.  Typical Types of Slope Movement   /    13.1

    13.2.  Allowable Lateral Movement   /    13.1
    13.3.  Rockfall   /    13.1
    13.4.  Surficial Slope Stability Analysis   /    13.2
    13.5.  Gross Slope Stability Analysis   /    13.2
    13.6.  Landslide Stability Analysis   /    13.2
    13.7.  Debris Flow   /    13.2
    13.8.  Slope Softening and Creep   /    13.3
    13.9.  Analysis for Earth Dams   /    13.3

Chapter 14.  Geotechnical Earthquake Engineering 14.1

    14.1.  Introduction   /    14.1
    14.2.  Fault Rupture   /    14.1
    14.3.  Earthquake Magnitude and Intensity   /    14.2
    14.4.  Peak Ground Acceleration   /    14.2
    14.5.  Shear Strength for Geotechnical Earthquake Engineering   /    14.2
    14.6.  Liquefaction   /    14.3
    14.7.  Bearing Capacity for Geotechnical Earthquake Engineering   /    14.3
    14.8.  Earthquake-Induced Settlement   /    14.3
    14.9.  Geotechnical Earthquake Engineering for Slope Stability   /    14.4
  14.10.  Geotechnical Earthquake Engineering for Retaining Walls   /    14.4
  14.11.  Foundation Alternatives to Mitigate Earthquake Effects   /    14.4

Chapter 15.  Erosion Analyses 15.1

    15.1.  Introduction   /    15.1
    15.2.  Universal Soil Loss Equation   /    15.1
    15.3.  Design and Construction   /    15.1

Chapter 16.  Retaining Walls 16.1

    16.1.  Introduction   /    16.1
    16.2.  Retaining Wall Analyses   /    16.1
    16.3.  Design and Construction of Retain­ing Walls   /    16.1
    16.4.  Restrained Retaining Walls   /    16.2
    16.5.  Mechanically Stabilized Earth Retaining Walls   /    16.2
    16.6.  Sheet Pile Walls   /    16.2
    16.7.  Temporary Retaining Walls   /    16.3
    16.8.  Pier Walls   /    16.3
 CONTENTS xi

Chapter 17.  Deterioration 17.1

    17.1.  Introduction   /    17.1
    17.2.  Sulfate Attack of Concrete   /    17.1
    17.3.  Pavement Deterioration   /    17.2
    17.4.  Frost   /    17.2
    17.5.  Timber Decay of Foundations   /    17.2
    17.6.  Shrinkage Cracking of Concrete   /    17.2

Chapter 18.  Foundations 18.1

    18.1.  Introduction   /    18.1
    18.2.  Shallow Foundations   /    18.1
    18.3.  Deep Foundations   /    18.1

Part 2    Construction
Chapter 19.  Grading and Other Site Improvement
Methods 19.3

    19.1.  Introduction   /    19.3
    19.2.  Grading Specifications   /    19.3
    19.3.  Compaction Fundamentals   /    19.4
    19.4.  Site Improvement Methods   /    19.4
19.4.1.  Soil Replacement   /    19.4
19.4.2.  Water Removal   /    19.4
19.4.3.  Site Strengthening   /    19.5
19.4.4.  Grouting   /    19.5
19.4.5.  Thermal   /    19.5
19.4.6.  Summary   /    19.5
    19.5.  Observational Method   /    19.6

Chapter 20.  Groundwater and Percolation Tests 20.1

    20.1.  Introduction   /    20.1
    20.2.  Groundwater   /    20.1
20.2.1.  Groundwater Control   /    20.2
20.2.2.  Pavements   /    20.3
20.2.3.  Slopes    /    20.3
    20.3.  Moisture Migration through Floor Slabs and
Basement Walls   /    20.4
    20.4.  Percolation Tests for Sewage Disposal System   /    20.4
    20.5.  Surface Drainage and Pipe Breaks   /    20.5
xii CONTENTS

Chapter 21.  Excavation, Underpinning, and

Field Load Tests 21.1

    21.1.  Introduction   /    21.1
    21.2.  Excavations   /    21.1
21.2.1.  Footing Excavations   /    21.2
21.2.2.  Excavation of Piers   /    21.2
21.2.3.  Open Excavations   /    21.2
21.2.4.  Braced Excavations   /    21.2
21.2.5.  Tunnels   /    21.2
    21.3.  Underpinning   /    21.3
    21.4.  Field Load Tests   /    21.3

Chapter 22.  Geosynthetics 22.1

    22.1.  Introduction   /    22.1
    22.2.  Geogrids   /    22.1
    22.3.  Geotextiles   /    22.1
    22.4.  Geomembranes   /    22.2
    22.5.  Geonets and Geocomposites   /    22.2
    22.6.  Geosynthetic Clay Liners   /    22.2

Chapter 23.  Instrumentation 23.1

    23.1.  Introduction   /    23.1
    23.2.  Commonly Used Monitoring Devices   /    23.1

Part 3    2012 International Building Code

Chapter 24.  International Building Code
Regulations for Soils 24.3

    24.1.  Introduction   /    24.3
    24.2.  Soils Investigation   /    24.3
    24.3.  Excavation, Grading, and Fill   /    24.4
    24.4.  Presumptive Load-Bearing Values   /    24.4
    24.5.  Expansive Soils   /    24.4

Chapter 25.  International Building Code

Regulations for Foundations 25.1

    25.1.  Introduction   /    25.1
    25.2.  General Regulations for Footings and Foundations   /    25.1
    25.3.  Retaining Walls   /    25.2
    25.4.  Geotechnical Earthquake Engineering   /    25.2
 CONTENTS xiii

Appendix A.  Glossary A.1

    Glossary 1.  Engineering Geology and Subsurface Exploration Terminology   /    A.4

    Glossary 2.  Laboratory Testing Terminology   /    A.10
    Glossary 3.  Terminology for Engineering Analysis and Computations   /    A.15
    Glossary 4.  Construction and Grading Terminology   /    A.22
    Glossary 5.  Terminology for Sewage Disposal and Percolation Tests   /    A.30
    Glossary 6.  Geotechnical Earthquake Engineering Terminology   /    A.32

Appendix B.  Examples of Grading Specifications and

Foundation Engineering Report B.1

    Part B1. Example of Grading Specifications   /    B.1

    Part B2. Example of a Foundation Engineering Report   /    B.24

Appendix C.  Percolation Test Procedures C.1

Appendix D.  Conversion Factors D.1

Appendix E.  Example Problems and Solutions E.1

Appendix F.  References F.1

Index follows Appendix F

This page intentionally left blank
 PREFACE

This book is a reference geotechnical handbook for the engineer, student,

or contractor. The unique feature of the Geotechnical Engineer’s Portable
Handbook is that it provides quick access to important geotechnical and foun-
dation information. The goal of the book is to reduce the task of searching
through numerous geotechnical and foundation engineering publications in
order to find the desired information.
The book should be primarily used for reference. The book contains easy-
to-use tables and charts that enable the geotechnical engineer, student, and
contractor to quickly locate the desired reference material.
The book is divided into three separate parts. Part 1 (Chaps. 1 to 18)
provides information concerning geotechnical engineering, including field
exploration guidelines, laboratory testing procedures, soil and rock classi-
fication, basic phase relationships, stress distribution tables and charts, and
pavement and pipeline design charts. Also included is information on all
types of geotechnical analyses including settlement, bearing capacity, expan-
sive soil, slope stability, earthquake, erosion, and deterioration analyses. The
first part also covers retaining walls and building foundations.
Part 2 (Chaps. 19 to 23) provides information for construction-related aspects
of geotechnical and foundation engineering. Topics covered include grading, in­-
strumentation, excavation, underpinning, groundwater control, and geosynthetics.
This second edition includes new material such as Part 3 (Chaps. 24
and 25) dealing with the geotechnical regulations from the 2012 International
Building Code. Chapter 14, now titled Geotechnical Earthquake Engineering,
has been completely rewritten, and new material has been added to most
chapters. Hundreds of new problems and solutions are now included in App. E.
The appendixes also include a glossary, typical grading specifications, an
example of percolation test procedures, conversion factors, and references.
The book presents the practical aspects of geotechnical and foundation engi-
neering in an easy-to-use format. It provides frequently used equations, charts,
professional guidelines, common laboratory procedures, and a glossary. It is a por-
table, compact, and indispensable ready-reference source for the field and office.

Robert W. Day

xv
This page intentionally left blank
 acknowledgments

I am grateful for the contributions of the many people who helped make
this book. Special thanks are due Larry Hager, senior editor at McGraw-Hill.
It was his idea to create a geotechnical portable handbook that could be used
as a source of reference material.
Special thanks are also due the International Code Council (ICC), which
sponsored this work. The continued support of Mark Johnson at ICC is greatly
appreciated, as well as the efforts of Sandra Hyde and Hamid Naderi at ICC,
who reviewed and commented on Chaps. 24 and 25. I would also like to thank
Maurice Power, principal engineer at AMEC, for his help with the IBC regula-
tions regarding the maximum considered earthquake peak ground acceleration.
Specific parts of the book are derived from my Geotechnical and
Foundation Engineering: Design and Construction (McGraw-Hill). I would
like to thank Professor Charles C. Ladd, at the Massachusetts Institute of
Technology, who reviewed that material and offered many helpful sugges-
tions during its initial preparation for publication.
Numerous practicing engineers reviewed portions of the text and pro-
vided valuable assistance during its initial development. In particular, I am
indebted to Robert Brown, Tom Marsh, Rick Walsh, and Scott Thoeny.
Thanks also to Dennis Poland, Ralph Jeffery, and Todd Page for their help
with the geologic aspects of the book, and Rick Dorrah and Eric Noether
for drafting the figures for the book.
I would also like to thank Professor Timothy Stark, at the University of
Illinois, who performed the ring shear tests, provided a discussion of the test
procedures, and prepared the ring shear test plots. Thanks also to Kean Tan,
who performed the triaxial compression tests and prepared the shear strength
data plots. I am also indebted to Gregory Axten, president of American
Geotechnical, who provided valuable support during the review and prepara-
tion of the book, and to Carl Bonura, for the many conversations we have had
over the years about his unique experience in engineering geology.
Tables and figures taken from other sources are acknowledged where
they occur in the text. Finally, I wish to thank Stephen Smith, Pamela
Pelton, and others on the McGraw-Hill editorial staff, and the editorial staff at
Neuetype, who made this second edition possible and refined my rough draft
into this finished product.

xvii
This page intentionally left blank
P l
A l
R l
T l
1

GEOTECHNICAL
ENGINEERING
This page intentionally left blank
 CHAPTER 1
INTRODUCTION

Chapter 1 contains basic geotechnical information, such as definitions, qual­

ifying experience, project requirements, and information on proposals and
contracts.

1.1 DEFINITIONS

Table 1.1 presents definitions of geotechnical engineering and foundation

engineering. Foundations are commonly divided into two categories: shal­
low and deep foundations. Table 1.2 presents a list of common types of
foundations. Additional terms and definitions are presented in the Glossary
(App. A).

1.2 QUALIFYING EXPERIENCE

Table 1.3 indicates those items that are considered to be qualifying experi­
ence for geotechnical engineers. Table 1.3 also lists the five basic aspects
of geo­technical engineering and the typical types of analyses performed by
geotechnical engineers. Table 1.4 presents a summary of the fields of exper­
tise for the engineering geologist and geotechnical engineer, with the last
column indicating the areas of overlapping expertise. The individual areas of
responsibility of the engineering geologist and the geotechnical engineer are
summarized in Table 1.5.

1.3
1.4 Chapter one

1.3 PROJECT REQUIREMENTS

Table 1.6 indicates typical types of projects that involve geotechnical

engineers and Table 1.7 lists the general requirements for geotechnical and
foundation projects.

1.4 PROPOSALS AND CONTRACTS

Often the first steps in a project are to plan the work, prepare a cost estimate,
and provide a proposal that is acceptable to the client. Table 1.8 presents an
example of a schedule of fees, Table 1.9 provides an example of a cost esti­
mating sheet, and Table 1.10 summarizes those items that should be included
in the contract between the geotechnical engineer and the client.

TABLE 1.1 Definitions

Term Definition
(1) (2)
Geotechnical In a broad sense, the definition of a geotechnical engineer is an individual who per-
  engineering   forms an engineering evaluation of earth materials. This typically includes soil,
rock, and groundwater and their interaction with earth retention systems, struc­
tural foundations, and other civil engineering works. Geotechnical engineering
is a subdiscipline of civil engineering and requires a knowledge of basic engi­
neering principles, such as statics, dynamics, fluid mechanics, and the behavior
of engineering materials. An understanding of construction techniques and the
performance of civil engineering works influenced by earth materials is also
required. Geotechnical engineering is often divided into two categories: soil
mechanics and rock mechanics.
 Soil mechanics: The majority of geotechnical engineering deals with soil
  mechanics and, in practice, the term “soils engineer” is synonymous with “geo­
technical engineer.” Soil has many different meanings, depending on the field of
study. For example, in agronomy (application of science to farming) soil is defined
as a surface deposit that contains mineral matter that originated from the original
weathering of rock and also contains organic matter that has accumula­ted through
the decomposition of plants and animals. To an agronomist, soil is that material
that has been sufficiently altered and supplied with nutrients that it can support
the growth of plant roots. But to a geotechnical engineer, soil has a much broader
meaning and can include not only agronomic material, but also broken-up frag­
ments of rock, volcanic ash, alluvium, aeolian sand, glacial material, and any other
residual or transported product of rock weathering. Difficulties naturally arise
because there is not a distinct dividing line between rock and soil. For example,
to a geologist a given material may be classified as a formational rock because it
belongs to a definite geologic environment, but to a geotechnical engineer it may
be sufficiently weathered or friable that it should be classified as a soil.
 introduction 1.5

TABLE 1.1 Definitions (Continued)

Term Definition
(1) (2)
Geotechnical Rock mechanics: To the geotechnical engineer, rock is a relatively solid mass that
  engineering   has permanent and strong bonds between the minerals. Rocks can be classified
  (Continued)   as being either sedimentary, igneous, or metamorphic. There are significant
differences in the behavior of soil versus rock, and there is not much overlap
between soil mechanics and rock mechanics.
Foundation A foundation is defined as that part of the structure that supports the weight of
  engineering   the structure and transmits the load to underlying soil or rock. Some engineers
consider foundation engineering to be a part of geotechnical engineering (e.g.,
Cernica 1995a), while others consider it to be a separate field of study (e.g., Holtz
and Kovacs 1981). In general, foundation engineering applies the knowledge of
geology, soil mechanics, rock mechanics, and structural engineering to the design
and construction of foundations for buildings and other structures. The most basic
aspect of foundation engineering deals with the selection of the type of founda­
tion, such as using a shallow or deep foundation system. Another important
aspect of foundation engineering involves the development of design parameters,
such as the bearing capacity of the foundation. Foundation engineering could also
include the actual foundation design, such as determining the type and spacing of
steel reinforcement in concrete footings.
Engineering An engineering geologist is defined as an individual who applies geologic data,
  geologist   principles, and interpretation so that geologic factors affecting planning,
design, construction, and maintenance of civil engineering works are properly
recognized and utilized (Geologist and Geophysicist Act 1986).
Note: See App. A for additional terms and definitions.
1.6 Chapter one

TABLE 1.2 Common Types of Foundations

Category Common types Comments

(1) (2) (3)

Shallow Spread footings Spread footings are often square in

  foundations    (also called plan view, are of uniform reinforced
  pad footings)   concrete thickness, and are used to
support a single column load located
directly in the center of the footing.
Strip footings Strip footings are often used for load-
  (also called   bearing walls. They are usually long,
  wall footings)   reinforced concrete members of uni­
form width and shallow depth.
Combined footings Reinforced-concrete combined foot-
  ings are often rectangular or trape­
zoidal in plan view, and carry more
than one column load.
Conventional A continuous reinforced-concrete
  slab-on-grade   foundation consisting of bearing wall
  footings and a slab-on-grade. Concrete
  reinforcement often consists of steel
  rebar in the footings and wire mesh in
  the concrete slab.
Posttensioned A continuous posttensioned
  slab-on-grade   concrete foundation. The postten­
sioning effect is created by tension­
ing steel tendons or cables embedded
within the concrete. Common post­
tensioned foundations are the ribbed
foundation, California slab, and PTI
foundation.
Raised wood floor Perimeter footings that support
  wood beams and a floor system.
Interior support is provided by pad or
strip footings. There is a crawl space
below the wood floor.
Mat foundation A large and thick reinforced-concrete
  foundation, often of uniform thick­
ness, that is continuous and supports
the entire structure. A mat foundation
is considered to be a shallow founda­
tion if it is constructed at or near
ground surface.
 introduction 1.7

TABLE 1.2 Common Types of Foundations (Continued)

Category Common types Comments

(1) (2) (3)

Deep Driven piles Driven piles are slender members,

  foundations   made of wood, steel, or precast con­
crete, that are driven into place by
pile-driving equipment.
Other types There are many other types of
  of piles   piles, such as bored piles, cast-in-
place piles, and composite piles.
Piers Similar to cast-in-place piles, piers are
  often of large diameter and contain
reinforced concrete. Pier and grade
beam support is often used for foun­
dation support on expansive soil.
Caissons Large piers are sometimes referred to
  as caissons. A caisson can also be a
watertight underground structure within
which construction work is carried on.
Mat or raft If a mat or raft foundation is
  foundation   constructed below ground surface
or if the mat or raft foundation is
supported by piles or piers, then it
should be considered to be a deep
foundation system.
Floating A special foundation type where the
  foundation   weight of the structure is balanced
by the removal of soil and construc­
tion of an underground basement.
Basement-type A common foundation for houses and
  foundation   other buildings in frost-prone areas.
The foundation consists of perimeter
footings and basement walls that sup­
port a wood floor system. The base­
ment floor is usually a concrete slab.

Note: Classification of foundations as shallow or deep in this table is based on the depth of the
soil or rock support of the foundation.
1.8 Chapter one

TABLE 1.3 Qualifying Experience for Geotechnical Engineers

Qualifying experience Typical items

(1) (2)

Development of Communication with other design consultants to

  programs of   determine their geotechnical input needs.
  geotechnical investigation Performance of literature searches and site history
  analyses related to surface and subsurface conditions.
Formulation or engineering evaluation of field
  exploration and laboratory testing programs to
accomplish the scope of the investigation.
Preparation or engineering evaluation of proposals.
Geotechnical field and Direction and/or modification of field exploration
  laboratory studies   programs, as required, upon evaluation of the condi­
tions being encountered.
Classification and evaluation of subsurface conditions.
Understanding the purposes for and being qualified to
  perform routine field and laboratory tests for soil
strength, bearing capacity, expansion properties, con­
solidation, soil collapse potential, erosion potential,
compaction characteristics, material acceptability
for use in fill, pavement support qualities, freeze-
thaw properties, grain size, permeability/percolation
properties, groundwater conditions, and soil dynamic
properties.
Analysis of geotechnical Analysis of field and laboratory data.
  data and engineering Performance of computations using test results
  computations   and available data regarding bearing capacity; foun­
dation type, depth, and dimensions; allowable soil
bearing pressures; potential settlement; slope stabil­
ity; retaining systems; soil treatment; dewatering
and drainage; floor support; pavement design; site
preparation; fill construction; liquefaction potential;
ground response to seismic forces; groundwater
problems and seepage; and underpinning.
Performance or Performance or supervision of geotechnical testing
  engineering evaluation   and observation of site grading.
  of construction Analysis, design, and evaluation of instrumenta-
  tion programs to evaluate or monitor various phe­
nomena in the field, such as settlement, slope creep,
pore water pressures, and groundwater variations.
Preparation or Preparation of plans, logs, and test results.
  engineering evaluation of Documentation testing and observation.
  geotechnical reports Preparation of written reports which present findings,
  conclusions, and recommendations of the investigation.
Preparation of specifications and guidelines.

Note: Adapted from the California Plain Language Pamphlet of the Professional Engineers
Act and Board Rules, 1995.
 TABLE 1.4 Fields of Expertise

Topic Engineering geologist Geotechnical engineer Overlapping areas of expertise

(1) (2) (3) (4)

Project Development of geologic Design Planning investigations

  planning   parameters Material analysis Urban planning
Geologic feasibility Economics Environmental factors

Mapping Geologic mapping Topographic survey Soil mapping

Aerial photography Surveying Site selections
Air photo interpretation
Landforms
Subsurface configurations

Exploration Geologic aspects (fault Engineering aspects Conducting field exploration

  studies, etc.) Planning, observation, etc.
1.9

Selecting samples for testing

Describing and explaining
  site conditions

Engineering Soil and rock hardness Engineering applications Minimal overlapping of

  geophysics Mechanical properties   expertise
Depth determinations

Classification Rock description Soil testing Soil description

  and physical Soil description (Modified Earth materials
  properties   Wentworth system) Soil classification (USCS)

Earthquakes Location of faults Response of soil and rock Seismicity

Evaluation of active and   materials to seismic Seismic considerations
  inactive faults   activity Earthquake probability
Historic record of Seismic design of
  earthquakes   structures
 TABLE 1.4 Fields of Expertise (Continued)

Topic Engineering geologist Geotechnical engineer Overlapping areas of expertise

(1) (2) (3) (4)

Rock Rock mechanics Rock testing In situ studies

  mechanics Description of rock Stability analysis Regional or local studies
Rock structure, Stress distribution
  performance, and
  configuration
Slope Interpretative Engineering aspects of Stability analyses
  stability Geologic analyses and   slope stability analysis Grading in mountainous
  geometrics   and testing   terrain
Spatial relationship
Surface Geologic aspects during Design of drainage Volume of runoff
1.10

  waters   design   systems Stream description

Coastal and river Silting and erosion potential
  engineering Source of material and flow
Hydrology Sedimentary processes
Groundwater Occurrence Mathematical treatment of Hydrology
Structural controls   well systems
Direction of movement Development concepts
Drainage Underflow studies Regulation of supply Well design, specific yield
Storage computation Economic factors Field permeability
Soil characteristics Lab permeability Transmissibility

Note: Adapted from Fields of Expertise, undated.

 introduction 1.11

TABLE 1.5 Areas of Responsibility

Responsibilities of Responsibilities of
the engineering geologist the geotechnical engineer
(1) (2)
Description of the geologic environment Directing and coordinating the team efforts
pertaining to the engineering project.   where engineering is a predominant factor.

Description of earth materials, such as Controlling the project in terms of time and
  their distribution and general physical and   money requirements and degree of safety
  chemical characteristics.   desired.

Deduction of the history of pertinent Deciding on optimum procedures.

  events affecting the earth materials.

Forecast of future events and conditions Making final judgments on economy and
  that may develop.   safety matters.

Recommendation of materials for Engineering testing and analysis.

  representative sampling and testing.

Recommendation of ways of handling Developing designs consistent with data

  and treating various earth materials   and recommendations of team members.
  and processes.

Recommending or providing criteria for Reviewing and evaluating data, conclusions,

  excavation (particularly angle of cut slopes)   and recommendations of the team members.
  in materials where engineering testing is
  inappropriate or where geologic elements
  control stability.

Inspection during construction to Inspection during construction to assure

  confirm conditions.   compliance.
Note: Adapted from Fields of Expertise, undated.
1.12 Chapter one

TABLE 1.6 Types of Projects that Involve Geotechnical Engineers

Type of project Discussion

(1) (2)
Single-family Because of urban sprawl, the most numerous types of structures being
  dwellings and   built are single-family dwellings or condominiums and their associated
  condominiums   roads and utilities. Especially for large housing tracts, the geotechnical
engineer will usually have significant involvement with the project. Such
projects are often divided into two basic categories: flatland and hillside. A
more rigorous geotechnical and geologic investigation is often required for
a hillside than a flatland site. A common feature of single-family dwellings
and low-rise condominiums is the use of lightweight construction, such
as wood framing or even aluminum framing. Usually footing widths and
depths of single-family dwellings are governed by minimum building code
requirements, rather than the loads applied to the foundation.
Commercial The most common types of commercial projects are office buildings,
  and industrial   including skyscrapers, that are either built specific­ally for the use of the
  sites   client or rented out to various tenants. Common types of office buildings are
steel-framed, reinforced-concrete, combined reinforced-concrete and steel
buildings, and tilt-up concrete exterior panel buildings. Industrial sites can
contain a variety of projects such as factories and refineries. Commercial
and industrial projects frequently have a variety of loading and performance
criteria that require special geotech­nical investigation and foundation design.
Other projects There are many other types of private sector projects besides dwellings, com-
  in the private   mercial and industrial sites. Examples include the construction of small pri-
  sector   vate dams, power plants, and energy transmission facilities, and transportation
projects, such as privately owned roads.
Public works This category of projects is very broad and includes all types of projects
  projects   built with public money. Examples include levees and dams, harbors, air­
ports, stadiums, and publicly owned buildings. This category also includes
public transportation facilities, such as roads, highways, train beds, high­
way overpasses, bridges, and tunnels. Military projects are also included
in this category, such as armories, waterway projects, military housing
projects, and other military base facilities.
Essential Essential facilities are defined as those structures or buildings that must be safe
  facilities   and usable for emergency purposes after an earthquake or other natural dis­
aster in order to preserve the health and safety of the general public. Typical
examples of essential facilities are as follows (Uniform Building Code
1997): hospitals and other medical facilities having surgery or emergency
treatment areas, fire and police stations, municipal government disaster
operations, and communication centers deemed to be vital in emergencies.
 introduction 1.13

TABLE 1.7 General Requirements for Foundation Engineering Projects

General requirement Discussion

(1) (2)
Topography Knowledge of the general topography of the site as it affects founda-
  tion design and construction, e.g., surface configuration; adjacent
property; the presence of watercourses, ponds, hedges, trees, rock
outcrops, etc.; and the available access for construction vehicles
and materials.
Utilities The location of buried utilities such as electric power and telephone
  cables, water mains, and sewers.
Geology The general geology of the area with particular reference to the main
  geologic formations underlying the site and the possibility of sub­
sidence from mineral extraction or other causes.
Site history The previous history and use of the site including information on any
  defects or failures of existing or former buildings attributable to
foundation conditions.
Special features Any special features such as the possibility of earthquakes and cli-
  mate factors such as flooding, seasonal swelling and shrinkage,
permafrost, or soil erosion.
Available materials The availability and quality of local construction materials such as
  concrete aggregates, building and road stone, and water for con­
struction purposes.
Marine structures For maritime or river structures, information on tidal ranges and river
  levels, velocity of tidal and river currents, and other hydrographic
and meteorological data.
Subsurface A detailed record of the soil and rock strata and groundwater condi-
  tions within the zones affected by foundation bearing pressures and
construction operations, or of any deeper strata affecting the site
conditions in any way.
Laboratory testing Results of laboratory tests on soil and rock samples appropriate to
  the particular foundation design or construction problems.
Chemical analysis Results of chemical analyses on soil or groundwater to determine
  possible deleterious effects of foundation structures.

Source: Tomlinson 1986.

1.14 Chapter one

TABLE 1.8 Example of a Schedule of Fees

Professional and staff hourly rates

 Principal geotechnical engineer or principal engineering geologist $/h
Chief geotechnical engineer or chief engineering geologist $/h
Senior geotechnical engineer or senior engineering geologist $/h
 Project engineer or project geologist $/h
Staff engineer or staff geologist $/h
Associate engineer or associate geologist $/h
Compaction testing technician $/h
Drafting or CAD services $/h
 Office services $/h
Subsurface exploration, compaction testing, and monitoring
Drill rig rental costs (24-in.-diameter bucket auger boring) $/h
Drill rig rental costs (solid- or hollow-stem auger) $/h
Drill rig rental costs (rotary coring) $/h
Drill rig rental costs (air track) $/h
Bulldozer for construction of drill rig access roads $/h
Test pit excavation costs $/h
Trench excavation costs (backhoe) $/h
Mobile laboratory equipment for field compaction $/h
Inclinometer pipe and materials $/ft
 Piezometer pipe and materials $/ft
Laboratory testing
Moisture content (ASTM D 2216) $/test
Wet density $/test
Atterberg limits (ASTM D 4318) liquid/plastic $/test
 Particle size analysis (ASTM D 422) $/test
Specific gravity—soils (ASTM D 854) $/test
Specific gravity—oversize particles (ASTM C 127) $/test
Sand equivalent (ASTM D 2419) $/test
Collapse test (ASTM D 5333) $/test
Swell test (ASTM D 4546) $/test
 Expansion index (UBC Std. 18-2) $/test
Modified Proctor compaction test (ASTM D 1557) $/test
R-value (ASTM D 2844) $/test
 Unconfined compression (ASTM D 2166) $/test
Direct shear test (ASTM D 3080) $/test
Triaxial compression test (ASTM D 4767) $/test
Consolidation test (ASTM D 2435) $/test
 Hydraulic conductivity (permeability, ASTM D 2434 or D 5084) $/test
Special handling, storage, and/or disposal Hourly rates
 Outside laboratory Cost 1 20%
 introduction 1.15

TABLE 1.9 Example of a Cost Estimating Sheet

Category Description Hours Rate Cost

(1) (2) (3) (4) (5)

Proposal Planning and preparation of proposal

Field In-house and agency research
  exploration Review client’s or other engineers’
  documents
Subsurface exploration (drilling,
  test pits, trenches)
Engineering geologist work (mapping,
  aerial photos, etc.)
Preparation of logs and field paperwork
Preparation of soil profile
Laboratory Soil classification tests (particle size,
  testing   Atterberg limits)
Moisture content and wet density
  determinations
Settlement potential (consolidation,
  collapse tests)
Expansion potential (expansion index,
  swell tests)
Shear strength (direct shear, triaxial, etc.)
Erosion and deterioration potential
Compaction tests (Modified or
  Standard Proctor)
Miscellaneous (specific gravity, sand
  equivalent, R-value)
Analysis of data Laboratory data reduction and analysis
  and engineering Engineering calculations (settlement, bearing
  computations   capacity, expansive soil, slope stability,
seismic analysis, etc.)
Development of design parameters for
  foundations, retaining walls, effect of
groundwater, etc.
Computer analyses (slope stability, etc.)
Design of geotechnical elements
  (foundations, etc.)
Engineering geology analyses
  and recommendations
Compaction Compaction testing (technician)
  testing and other Observations during grading by engineer
  construction   and geologist
  services Sampling and testing during
  grading operations
Other construction services
1.16 Chapter one

TABLE 1.9 Example of a Cost Estimating Sheet (Continued)

Category Description Hours Rate Cost

(1) (2) (3) (4) (5)

Report Report writing, editing, and review

  preparation Preparation of laboratory and field data
Drafting and graphics for report
Word processing and report production
Blueprinting and production of plans
Subcontract Subcontract expenses for drill rig rental
  expenses Subcontract expenses for test pits
  and trenches
Expenses for monitoring equipment
Other subcontract expenses
Total estimate 5 $  Price quoted 5 $                
 introduction 1.17

TABLE 1.10 Typical Items Included in the Contract between the Geotechnical
Engineer and the Client

Typical items Discussion

(1) (2)
Contract title and The contract should contain a title and introductory wording indicat-
  introductory wording   ing that the document is the contract between the geotechnical
engineer and the client.
Project and The section of the contract where the project name and address and
  client information client’s name and address are inserted.
Type of services The section of the contract where a brief summary of the scope of
  services is inserted.
Cost of services The section of the contract where the cost estimate or not-to-exceed
  dollar amount is inserted.
Signature page A final section of the contract which states that both the geotechni-
  cal engineer and client have read the contract and agree to all the
terms and conditions. Spaces should be provided for both the geo­
technical engineer and the client to sign and date the contract.
Extras The contract should indicate that work requested by responsible par-
  ties outside the scope will be billed as “extras” on a time-and-
expense basis under purview of this proposal, unless another pro­
posal is specifically requested.
Safety A statement indicating that the geotechnical engineer will not be
  responsible for the general safety on the job or the work of other
contractors and third parties.
Termination and The contract could indicate the procedure to terminate or modify the
  modification of   agreement, such as requiring that any termination or modification
  agreement of the agreement must be in writing and signed by all parties.
Retainers and Prompt payment for engineering services is always desirable. It may
  payments   be appropriate to state that payments are due within 30 days upon
receipt of the invoice for engineering services. An interest charge
for payments beyond the due date could also be listed.
Limitation The contract could include a limitation of liability clause. Geo-
­  of liability   technical engineering is often described as a risky profession, and
these clauses are inserted in order to reduce the potential liability of
the geotechnical engineer.
Note: It is always best to have an attorney prepare or review the contract. Other items which
could be included in the contract include statements concerning the ownership of documents, dis­
claimer of warranties, the contract jurisdiction, and the time limit for the signing of the contract.