Foundation Engineering

Budapest University of Technology and Economics
Department of Geotechnics
FOUNDATION ENGINEERING
Dr. Farkas Jzsef

Jzsa Vendel
Dr. Szendefy Jnos
2014. May
Foundation Engineering
CONTENTS
Preface
1
INTRODUCTION ........................................................................................................................................... 5
1.1
The role and function of the foundation...................................................................................... 5
1.2
The properties of the foundations ................................................................................................ 5
GROUND INVESTIGATION...................................................................................................................... 6
2.1
Direct processes............................................................................................................................. 7
2.2
Exploration of the groundwater .................................................................................................17
2.3
The necessary extent of ground investigation ..........................................................................19
SHALLOW FOUNDATIONS ....................................................................................................................22

3.1
Types and structures of shallow foundations ...........................................................................22
3.1.1 Stripe foundations .................................................................................................................22

3.1.2 Pad (point) foundations.........................................................................................................23
3.1.3 Raft slab foundations ............................................................................................................24
3.1.4 Continuous footing (beam grid foundation) .......................................................................25
3.1.5 Slab foundations ....................................................................................................................25
3.1.6 Box foundations ....................................................................................................................26
3.1.7 Shell foundations ...................................................................................................................26
3.2
Steps of shallow foundation design ...........................................................................................26
3.2.1 Taking up the foundation level ............................................................................................26

3.2.2 Areal dimensioning on the bases of load bearing capacity ...............................................27
3.2.3 Calculation of load bearing capacity according to MSZ EN 1997-1:2006.....................29
3.2.4 Vertical dimensioning of shallow foundations ..................................................................30
3.2.5 Dimensioning of raft slab foundations ................................................................................32
3.3
Settlements ...................................................................................................................................33
3.3.1 Components and timescale of settlements..........................................................................33

3.3.2 Settlement calculation ...........................................................................................................34
3.3.3 Approximate calculation of the stresses..............................................................................39
3.3.4 Settlement tolerance of buildings ........................................................................................44
3.3.5 Causes of uneven settlements ..............................................................................................47
3.3.6 Measuring settlements ..........................................................................................................48
3.3.7 Defence against harmful settlements...................................................................................50
2
3.4
Stability of shallow foundation ..................................................................................................56
3.4.1 Slip safety ...............................................................................................................................56

3.4.2 Uplift safety and failure ........................................................................................................59
3.5
Loads on shallow foundations ...................................................................................................61
3.5.1 Dynamic effects.....................................................................................................................61

3.5.2 Effect of opening up underground voids ............................................................................63
3.5.3 Underwashing effect of ground water.................................................................................64
3.5.4 Freezing effect at cold stores ................................................................................................64
3.5.5 Foundation on shrinkage soil ...............................................................................................64
3.5.6 Foundation on collapsible soil .............................................................................................66
3.5.7 Foundation on fill ..................................................................................................................67
3.5.8 Foundation on organic soil ...................................................................................................69
4
DEEP FOUNDATIONS ...............................................................................................................................70

4.1
Pile foundations ...........................................................................................................................70
4.1.1 Classification of piles ............................................................................................................70

4.1.2 Precast piles............................................................................................................................71
4.1.3 Driving of precast piles can happen by ...............................................................................72
4.1.4 Cast-in-place piles .................................................................................................................72
4.1.5 Design method of pile foundations .....................................................................................73
4.1.6 Calculation of expected maximum bearing capacity for the piles ...................................73
4.2
Diaphragm wall foundation .......................................................................................................75
4.3
Cylinder and box caisson foundations ......................................................................................77
CONSTRUCTION OF FOUNDATIONS................................................................................................78
5.1
Retaining structures.....................................................................................................................78
5.1.1 Sloped excavation .................................................................................................................79

5.1.2 Props .......................................................................................................................................79
5.1.3 Sheet pile wall........................................................................................................................83
5.1.4 Anchorage ..............................................................................................................................84
5.1.5 Diaphragm walls ...................................................................................................................88
5.1.6 Soil nailing .............................................................................................................................91
5.2
Dewatering the excavation .........................................................................................................92
5.2.1 Drainage in the open .............................................................................................................92

5.2.2 Water-pumping .....................................................................................................................94
3
Preface
This Foundations note is aimed at helping the International and Hungarian university students
conducting their studies in English at BUTE recalling the pieces of information mentioned at
lectures and getting ready not only for exams but for real technical professional life.
The subject through this note presents a corner stone of geotechnics, showcasing the calculation of
soil load bearing capacities, the preliminary design of shallow foundations, the problems that may
arise during construction and their solutions as well as basic technical correlations and
technological processes.
Because of the wide scope of foundations of buildings and the diversity of the material to cover in
this subject, some questions are often discussed at a very basic, somewhat superficial level.
Therefore, the note is to the point, containing only the essence every civil engineer is supposed to
be well aware of while practicing their profession.
We do hope however, that in spite of all these, the material covered in lectures and included in the
note will be able to make the university students be interested so that later on, as an engineer
throughout their professional career they constantly acquire new knowledge in connection with
geotechnics.
We hereby would like to say thank you to dm Kapcsos who largely contributed to the creation of
this very note with his excellent command of English.
Budapest, May 30. 2014

Dr. Szendefy Jnos
Dr. Farkas Jzsef
Jzsa Vendel
1 INTRODUCTION
1.1 The role and function of the foundation
Every structure transmits its self weight and the imposed loads onto the subsoil therefore the
stability and structural strength is predominantly the function of how successfully this
connection between the structure and the soil has been established. The structure, more
precisely, its foundation generates stresses (Figure 1.) and deformations in the soil. The soil is
compressed, the substructure settles. Uneven settlements create forces, stresses in the
superstructure that may result in cracks, yielding and passing Serviceability Limit State. In
extreme case,-due to overloading, even soil failure can take place in the soil layer below the
foundation. Numerous national and international cases could be mentioned from various
historic eras when the connection between the structure and the soil was not properly designed
(e.g.: Leaning tower of Pisa, Transcona silo, fermentation tanks of Nagykanizsa, etc.). The
foundations are- usually subterranean- load bearing and load transmitting structural members
of buildings that transmit the loads of the whole structure to the soil.
Figure 1.: Stresses generated in the soil layer below the foundation
The function of the foundation: Transmitting the loads to the soil without damage sustained.
There can be shallow and deep foundations moreover we can speak of intermediate solutions
as well. The method of foundation depends on:
- the subsoil;
- the groundwater;
- neighbouring buildings;
- the structure type of the building;
- thermal effects;
- the circumstances of the construction
1.2 The properties of the foundations

When dimensioning foundations, the following limit states shall be taken into examination:
- Loss of general stability
- Soil failure under the foundation, punching, squeezing
- Failure due to slip
- Mutual failure of the superstructure and the subsoil
5
-
Superstructure failure by foundation displacement

Intolerably large settlements (Figure 2.),
Intolerably large uplift, swelling by frost or other reasons
Vibration of unacceptable proportions
Simple, fast (mechanised), economical it shall be.
Settlement
Uneven
settlement
Figure 2.: Settlement of the substructure and its settlement difference
The foundation is a unique part, because:

- difficult to classify;
- is build under the surface level among difficult conditions
- difficult to repair
- a mistake in the foundation endangers the whole building
GROUND INVESTIGATION
Adequate foundation can only be constructed if the parameters of the soil and that of the
groundwater are known on the site. For a geotechnical designer these are as essential input data as the
function, capacity and site coverage of a building is for an architect. While for the structural engineers
the mechanical properties of concrete and steel are given, used as known factors in calculations, the
first step of geotechnical design is getting known the soils of the site and producing mechanical
parameters for them.
On the basis of the aforementioned, it is obvious that without proper soil exploration the
design of a foundation is impossible furthermore; an economical design can only be produced via
profound knowledge of soil properties.
The subsoil and groundwater parameters can be determined by on-site (in-situ) ground
investigation. The ground investigation can be split into two groups on the basis of direct and indirect
processes. In case of direct processes the soil stratification is explored directly, samples are taken from
each layer further examined in laboratories. In contrast, in case of indirect processes soil properties
and stratification is deduced from a know parameter.
The advantage of the direct process is that samples can be taken with which further
examinations in laboratories are possible however, with this method by all means the original
structure of the soil is changed to some extent moreover laboratory tests bring in additional disturbing
factors into the results. The essence of the indirect processes is to get the soils examined in their
original, in-situ state hence the examination can take place having their natural layout and original
stress states. Although, in that case pieces of information regarding soil properties can only be
6
obtained indirectly by using an empirical correlation therefore sometimes the computed results are not
of appropriate accuracy. Nowadays, when indirect processes are more and more widespread and
available methods of soil exploration, I suppose, that the best option is to use the direct and indirect
processes together thus getting the most accurate picture of the examined site at hand.
The direct processes of soil exploration are the followings:
test pit
drillings:
small diameter
large diameter
The indirect processes of soil exploration can be classified as follows:
sounding processes:
standard penetration test (SPT)
dynamic probe test (DPL, DPM, DPH)
cone penetration test (CPT)
vane shear test (VST)
flat plate dilatometer test (DMT)
pressuremeter test (PMT)
geophysical processes
geoelectrics
radioisotope process
georadar
radio frequency processes
cross-hole, down-hole
refraction processes
2.1 Direct processes

At direct processes of soil exploration the soil stratification is directly seen and recorded,
samples are taken. By applying this method, the opportunity is there to record the colour and structure
of the soil layers (grainy, smooth, and laminated) alongside with the stratification as well as the
highest and the average groundwater level (GWL).
Figure 3.: Test pit excavation by digger
Figure 4.: Retaining of the test pit
The test pit, in which the tilting of the soil layers is visible by naked eye, their thickness can be
measured precisely and ideal for taking undisturbed sample, is obsolete as a method. Although
nowadays large amount of soil is excavated by machines being more effective than manual digging
previously, the stability of the test pit and the extent in case of a sloped pit raises concerns regarding
costs.
Additional disadvantage being its limited depth, as most excavators can only dig down to 3-5 m of
depth which value is further reduced by the presence of groundwater, below whose level a test pit
cannot be deepened. Do not construct test pits below the designed building. Because of recompaction
issues test pits are to be excavated outside of the contour of the designed building. In recent times, test
pits can only be found at foundation explorations at existing buildings.
Soil mechanical drillings can be done by drilling apparatus of small and large diameter. The
advantage of the small diameter drill is its portability and that it can be operated in areas inaccessible
for vehicles such as cellars and patios. The shipment of this tool is manageable by an average
passenger car which implies a great cost reduction.
Obviously, the classic manual drills have already been replaced by machines of various
manufacturers and brands. In Hungary, the small diameter drilling has been affiliated with the
apparatus manufactured by the firm Borro, therefore it is referred to as Borro-drilling in professional
circles.
Figure 5/a: Small diameter driller by one person
Figure 5/b.: Borro driller (Mdosk Ltd.)
Although the portability of the small drilling tools has its back draws coming mainly from the
limited power (energy output) and downward force exerted by people. The method leads to the
drilling grinding to a halt in case of hard and dense soils consequently in many cases only a limited
depth can be reached. This kind of halt is also frequent in soils having considerably large grain size
diameters. Basically, this method is applicable for drillings between 3 and 8 meters of depth. During
the drilling, a spiral of 63 mm in diameter is utilised and the opportunity is there for taking samples of
moisture content, which enables the soil identification procedures in laboratories. Its scope includes
dwelling houses, industrial facilities of smaller scale, linear structures.
The large diameter drills step over the limitations of small diameter drills, being usually truck
or lorry mounted drilling towers, having the self-weight of the truck as a reaction force and being
capable of exerting larger torque in drilling due to the high performance engines. Several alternative
type of this drilling method is known depending on the desired depth, the expected soil layers and the
method of sample taking. With the help of large diameter drills tens or hundreds of meters of depth
can be reached, the standard drill diameter ranging from 100 to 300 mm. When carrying out large
diameter drillings, undisturbed samples are available usually of 90-160 mm diameter alongside with
moisture content samples.
Advantages can sometimes turn to disadvantages as big machinery means big cost, bigger
crew and less number of accessible places. French and Italian firms are pioneers in manufacturing
medium self-propelled caterpillar drilling machines between large and small diameter. These
machines are capable of drilling large diameter boreholes and taking undisturbed samples from couple
of tens of meters of depth, thus are applicable in case of the majority of engineering structures. Such
smart machine is shown in the picture (Figure 7/b.)
Figure 7/a: Large diameter drilling machine

(Geovil Ltd.)
Figure 7/b.:Joy drilling machines

(Geoszfra Ltd.)
2.2 Indirect processes

The indirect processes perform measurements and present results on the basis of soil
properties or a type of resistance of the soil at hand.
By this, the chance is given to define the soil stratification, to approximate each soil type
(gravel, sand, silt, clay) to measure groundwater level and possible pore water pressure. Beside these,
the shear strength, the horizontal earth pressure the Shear Modulus and the Modulus of Elasticity can
be concluded from measured parameters.
Because of the extent of this very subject, only the main features of these methods will be
presented, the analysis of the measured data is the scope of other subjects.
2.2.1 Sounding
Due to the various soils and soil states around the World the developed and applied sounding
methods can be very different from one another. This diversity is shown in the picture below. Only
the most widespread sounding methods will be discussed in detail.
The Standard Penetration Test,

which may be a transition between the
drilling and the indirect processes is a
method used at drillings. During the drilling
at every meter the process is ceased and with
repeated hammer blows a cylinder is driven
into the soil. The number of hammer blows
assigned to a given depth is recorded while
simultaneously undisturbed samples can be
taken from the inside of the cylinder. The
procedure is presented in short in Figure 8.
Figure 8.: SPT sounding process
10
Dynamic Probing is very similar to SPT sounding, where a special tip of 90 conical shape
and 4,37 cm in diameter located on a bar 3,2 cm in diameter is driven in by a 50 kg rammer dropped
from 50 cm of height. (DPH: Dynamic Probing Heavy) The most popular is the DPH but in the
function of the geometry of the tip of the probe and the kinetic energy of the hammer (weight and
dropping height) there exist Dynamic Probe Light (DPL) and Dynamic Probe Medium (DPM).
During the measurement the number of hammer shocks concerning 10 cm of penetration
depth is recorded and represented. Figure 9/b is depicting a sounding diagram. The resemblance of the
method SPT and DPH is showcased by the fact that the SPT30 hammer shock number regarding 30
cm penetration depth at SPT is equal to the N20 belonging to 20 cm of penetration depth at DPH
according to the literature.
Figure 9/a.: Dynamic probe

(www.tordrilling.co.uk)
Figure 9/b.: DPH sounding diagram
Recently, Cone Penetration Test (CPT) has assumed considerable proportions. The method
was named after the tip of the probe which is a cone of 10 cm2 and 60, driven into the soil at the
quasi-constant speed of 2 cm/s.
Figure 10.: CPT sounding process

11
The counter weight necessary against the pressure is either maintained by the truck or by soil
anchors. Stress during the driving is measured at the probe tip and at the mantle of the cone that are
called tip resistance and mantle friction. The tips of some special tools of this kind are capable of
measuring pore water pressure and most recently emitting seismic waves. The measured data is
transmitted directly to computers.
The method is the
base of pile dimensioning
but more and more
correlations are concluded
regarding
the
shear
strength, the Modulus of
Elasticity or even the
yielding tendency of soils.
Figure 12. summarises the
most important data of
sounding. Figure 11.
shows a general set of data
obtainable after analysis.
Courtesy of Robertson
(Robertson 1986) even the
type of soils can be
identified from sounding
data with relatively high
precision.
Figure 11.: CPT results
12
The Vane Shear Test is a sounding method used at soft cohesive soils and peats. With the help
of the correlations defined for this very method the undrained shear strength of soils can be
conveniently concluded in-situ. At the sounding a four-winged probe tip is rotated in the soil with
which around the mantle the soil is sheared. The force necessary for the rotation (torque) is measured
and recomputed into drained shear strength in the knowledge of the mantle surface area. The method
and the most important data is shown in Figure 12.
Figure 12.: VST process

Flat Dilatometer Test is all about obtaining parameters of the soil regarding horizontal stresses
and deformations. On the side of a blade like probe tip pushed into the undisturbed soil at the bottom
of a borehole, there is an inflatable membrane. The pressure required for the inflation and the
deformation is recorded. The short summary of the method is presented below in Figure 13.
Figure 13.: FDT process

13
The Pressuremeter Test is an indirect process widespread in French-speaking territories. The

method is basically similar to FDT however; here a cylindrical probe is inflated in whole. The
sounding also takes place in a borehole but in some cases self-drilling pressiometers can be found as
well. In the process the necessary pressure and the deformation is measured. The load bearing
capacity of the layered planes can be calculated from the measured data. The process is presented in
Figure 14.
Figure 14.: PST process
14
2.2.2 Geophisical measurements

The geophysical methods measure soil stratification and the properties that of each layer from
the surface or from boreholes. During the measurements, resistance of some kind or signs appearing
due to that are measured, and by the analysis of the received data will only be the result plastic and
displayable.
The analysis of the measurements is done on the basis complex physical correlations to which
the knowledge of geophysical properties of soils and bedrocks are indispensible. Civil engineers in
general only use the dataset of results computed by geophysicist.
Of the geophysical methods, only the mechanisms of the below listed ones and their ways to
extract data from them shall be summed up shortly:
Geophysical processes
geoelectrics
georadar
cross-hole, down-hole
refraction seismic survey
The geoelectrics, which is a direct circuit measurement method works on the principal of
Ohms Law. Various soil types have different measurable electrical resistances thus individual layers
can very well be told apart. Having measured the current and the electrical resistance between a pair
of anode and cathode, the distance between the poles can be enlarged and so the depth of
examination. Nowadays, the aforementioned obsolete method of pole distance enlargement is
replaced by the so called multielectrode measurement method. In the multielectrode method, as it
name indicates, tens or even hundreds of metal bars are driven into the soil some electrified by a
control unit while some serve as medium through which current is measured simultaneously. By this
procedure data is gathered at exceptionally large number of sampling points. Depending on the
distribution, tens of meters of penetration can be achieved. It is practical to apply this method over a
large area as soil stratification mapping or 2,5-3D display determination of horizontal places of layer
borders is easy and fast.
Figure 15/a depicts the work principal while Figure 15/b. showcases an on-site measurement.
Figure 15/c. shows the visualization of the processed data.
15/b.: Multielectrodes on site
Figure 15/a.: Method of geoelectrics
15
Figure 15/c.: Soilsection by mulitelectrode

Engineering georadar technology (GPR) is a measurement performed with different
frequencies. During the measurement a receiver measures the waves emitted by the transmitter and
reflected by the various soil layers. The method is somewhat limited possessing a ~3 m penetration
depth capability though this threshold can be examined with comparatively high definition of display.
The method is mainly used for mapping voids, loose zones and washed out spaces.
The theory of the measurement is shown in Figure 16/a while Figure 16/b depicts ~1m thick
layer and a 3m deep public utility manhole.
Figure 16/a.: Method of GPR
Figure 16/b.: Fill and manhole in GPR results

The cross-hole and down-hole methods determine the shear wave propagation velocity. As EC8 took
effect in Hungary a bigger emphasis was laid on structure dimensioning against earthquakes. The
reaction spectra used at dimensioning were the function of soil properties with special regards to shear
wave propagation velocity. This can only be known on-site via cross-hole or down-hole
measurements. In case of both methods, waves are generated on one spot and measured on another.
16
At down-hole method, a hole is at service into which the waves are transmitted and measured
reflected. At cross- hole method, two or more parallel holes, one next to the other are there, hence the
wave generation at the same depth is measured in the neighbouring hole. A diagram visualising the
processed results and the principal of the method at hand can be seen in Figure 17.
Refraction seismic survey measures surface wave propagation. In surface wave propagation
measurement, waves are generated on the surface by hammer blows or explosions and their
propagation is observed by geophones connected in line placed on the surface. The measurement
enables the separation of layers thus the propagation velocity in individual layers can be traced back.
2.2 Exploration of the groundwater

In case of a soil exploration procedure the groundwater patterns shall be examined as well
with great deal of caution since the behaviour of the groundwater can be critical in numerous
cases regarding design and construction.
Free surface (aqua freatica) groundwater: Watertight layer at the bottom in close-to-surface
pervious soil.
Pressure groundwater: Watertight layers on either side. Its identification is of utmost
importance as at the extraction of the construction pit it may cause hydraulic soil failure. The
water leaks into the borehole. The level of the infiltrating water is rising for a while, for
minutes or for a couple of hours-then stays at rest.
The water table depth is the level at which the infiltration is observed first and the at rest
groundwater level is the one to which level the infiltrating water is rising. (Figure 18.)
17
Figure 3.: Denotations of groundwater levels on the borehole log
According to Eurocode 7, the Design Groundwater Level (GWLd) is equal to the value
of the Characteristic Groundwater Level (GWLk), which is the estimated maximum GWL
raised by 0,5 m.
0,5 ,
The water level expected during construction is called Construction Groundwater Level.
The permanent structures should be designed for the GWLd, but at the temporary structures
(e.g. sheetpile wall) can be used the construction GWL.
The chemical composition of the soil shall be defined as well.(SO4, pH, Cl).
In general-if the suitability of a dewatering system cannot be justified and its operation
maintained. The design groundwater level value can be taken as the highest level ever
recorded which may very well be identical to the surface level. The groundwater types (Figure
19.)
- 1) Free surface;
- 2) Pressure groundwater;
- 3) Lower groundwater
floor;
- 4) Water dome;
- 5) Floating groundwater;
- 6) Pseudo groundwater.
Figure 4.: Groundwater types
18
The groundwater level plays an important role in the following cases:

- Taking up the foundation level (above construction groundwater level)
- Excavation dewatering;
- Effect of the fluctuation of the water level on geophysical properties (strength,
compressibility)
- Danger of uplift;
- Backwater effect (swelling)(e.g.: Metro tunnel, underground garage);
- Interference in hydraulic ecology:
water withdrawal,
groundwater table sinking,
piping,
deforestation,
mining activity,
establishment of fishpond, reservoirs,
channelling.
2.3 The necessary extent of ground investigation

This extent is defined by the importance, the value, the sensitivity to settlement, and the
size of the building as well as subsoil properties. The exploration plan is to be constructed on
the bases of the aforementioned. The more complicated the building is, the worse the subsoil
conditions are, the more detailed the exploration should be.
The facility and the ground investigation can be:
- point like (e.g.: monument);
- linear (road, pipeline);
- areal (industrial site).
The explorations shall be designed under the foundation level down to such a depth where the
soil compression is negligible in terms of the stresses caused by the building and the
stratification of the soil.
To the design of the explorations the standard EN 1997-2:2007 ANNEX
B assigns the following directives:
1. For high-rise structures and civil engineering projects, the larger
values of the following conditions should be applied
za6m
za3,0bf
19
2. For raft foundation and structures with
foundation elements whose effect in
strata are superimposed on each other:
za1,5bB
where bB is the smaller side of the structure.
several
deeper
3. For piles the following three

conditions should be met:
za1,0bg
za5m
za3,0Df
where
Df is the pile base diameter
bg is the smaller side of the rectangle
circumscribing the group of piles forming the
foundation at the level of the pile base
4. For small tunnels and caverns:

bAB<za<2,0bAB
where bAB is the width of excavation.
5. For trenches and pipelines, the larger value of:

za2,0m below the invert level
za1,5bAB
where bAB is the width of excavation.
20
6. For excavations where the piezometric surface and the groundwater tables are below
the excavation base, the larger value of the following conditions should be met:
za0,4h
za(t+2,0)m
where
t is the embedded length of the support,.
h is the excavation depth.
7. For excavations where the piezometric surface and the groundwater tables are above
the excavation base, the larger value of the following conditions should be met:
za(1,0H+2,0)m
za(t+2,0)m
where
t is the embedded length of the support,.
H is the height of the groundwater level above the excavation base.
General remark: Up to soil layer of good strength and adequate thickness shall be drilled.
Construction on bomb- site: The foundation level of the neighbouring buildings is to be
defined as well.
Floor- attachment: area and foundation level depth defined with open ditch exploration. The
product is the soil exploration report.
The recommended spacing of the investigations can be found at the Table 1.
Table 1.
Type of building
High rise buildings, industrial facilities
Buildings of big area
Linear structures (road, railroad, canals, pipelines, causeways,
retaining walls)
Special structures (e.g.: bridge, chimney, machine base)
Dams, barrages
21
Layout of ground investigation

points
Grid of 15-40 m
Max grid of 60 m
Grid of 20-200m
2-6 explorations per substructure
25-75 m at the critical sections
3 SHALLOW FOUNDATIONS
The foundations transmit the load of the building onto the soil. If the foundation is directly
part of the whole structure, for instance placed right under the wall (as an extention), then we
are speaking about shallow foundation. Should the load bearing soil layer be situated lower
below, pile foundation or diaphragma wall (deep foundation) is necessary to be installed as
load transferring structural element.
Deepened shallow foundation: if the foundation is placed deeper than the necessary minimal
level of foundation by structural admissibility. For instance, a building having a cellar is
usually assigned with a foundation depth of 2,5-3,0 m.
Shallow foundation can be applied if:
- Near surface soil layer of adequate load bearing capacity and thickness there is;
- The layer close to surface has no big strength but deeper down the layers have no
better properties either hence the load of the building can be distributed over a
large area (slab foundation);
- The load bearing capacity of the subsoil is small but the structure imposed on it is
not sensitive to building settlements and by applying near surface shallow
foundation the costly water table sinking and deep foundations can be avoided.
Deep foundation is to be designed only in case if the shallow foundation is not feasible
technically or could only be constructed with higher costs.
3.1 Types and structures of shallow foundations

3.1.1 Stripe foundations
Stripe foundations are built to continuously support the walls. In exceptional cases, their
bottom width can be identical to that of the wall but given that the load bearing capacity of the
soil is lower than that of the construction materials, they generally reach out sideways in
cantilever-like manner under the walls.
Stripe foundations can be made of: brickwork, rubble (ashlar), floating concrete, rammed
concrete and reinforced concrete.
The rammed concrete stripe foundation (in formwork or between soil walls) is presented in
Figure 21.
Figure 5.: Concrete stripe foundation
22
Concrete
Concrete
Stone (rubble)
Floating concrete
Brickwork
Reinforced concrete
Figure 6.: Types of stripe foundations classified according to their materials
3.1.2 Pad (point) foundations

Pads are placed under columns at framed structures. Their cross section is usually quadratic or
A/B = 1-3.5. Their choice of material and method of construction is similar to that of the
stripe foundations. Due to increased loads they are made of concrete or reinforced concrete.
Most frequently pad foundations contain a reinforcing steel mesh (Figure 23).
Figure 7.: Structure of pad foundations
At the prefabricated (precast) columns of industrial facilities the following versions are in use.
Figure 25. The chalice foundation seen at part a) is comparatively common. The steel or
reinforced concrete columns are placed into the chalice of the prefabricated pad then
concreted in.
23
Brickwork
Stone (rubble)
Concrete
Reinforced Concrete
Figure 8.: Types of pad foundations classified according to their materials
Chalice foundation
Joint of the steel column
Figure 9.: Application of prefabricated columns
The connection of the steel column (pillar) and the concrete pad is shown at part b) the screw
connection is meant to transmit tensile stresses.
3.1.3 Raft slab foundations

Because of weaker soil conditions or mechanical reasons pillars are placed on a- usually
heavily reinforced- stripe like beam. (Figure 14.) It is made of reinforced concrete and
provides the building with longitudinal structural rigidity.
Widening used in
case of higher
pillar spacing
Figure 10.: Raft slab foundation
Special version of it being the ring foundation. (high rise buildings).

24
3.1.4 Continuous footing (beam grid foundation)

System of intersecting raft slabs. (Figure 27.)
Figure 11.: Beam grid foundation
Constructed if the soil is weaker or enhanced rigidity is necessary in two directions. The
material being reinforced concrete.
3.1.5 Slab foundations

The slab foundations are transitive reinforced concrete structures under the whole building
(Figure 28.), that support walls and pillars alike.
Flat Slab
Upper chord ribbed slab
Lower chord ribbed slab

Mushroom-like slab
structure
Figure 12.: Slab foundations
Their construction only takes place if the loads of the building can only be transmitted over
the whole surface area otherwise the specific load would exceed the load bearing capacity of
the soil. Originating from their relatively small thickness, slabs are quite flexible in general. If
there are reinforcing bars inside the slab at the places of ribs but the thickness of the slab is the
same as the height of the ribs then the structure at hand is a concealed slab. Strength-wise the
convex vault in the bottom is more favourable though more complicated to make. At fully
cellared building if insulation against water pressure is needed as well, the slabs are
economical choices.
25
3.1.6 Box foundations

Dwelling houses assembled of prefabricated house elements are only capable of sustaining
minor deformations without major damage suffered. Therefore in that case, the slab
foundations with the cellar walls and slabs built on them form one monolithic structure.
(Figure 29.)
Figure 13.: Box foundation
3.1.7 Shell foundations

A shell foundation is a special- material saving but labor- intensive, slab foundation. These are
mathematically very well described surfaces of single or double curvature that negotiate only
normal force but not bending moments.
3.2
Steps of shallow foundation design
Before the design of the foundation the plans of the building are to be examined from
structural and static point of view:
- How about rigidity and settlement sensitivity?
- The soil exploration and examination data possessed is of adequate kind?
The design is a question of technical and financial aspects.
3.2.1 Taking up the foundation level

Foundation level: The lower, supported surface of the shallow foundation.
Foundation depth: The vertical distance measured between the ground surface and the
foundation level.
The foundation system used is predominantly the function of the foundation level. While
designing, always the structurally necessary, minimal depth foundation shall be taken into
account first.
Requirements:
- the foundation level shall be below the frost line (freezing depth);
- should be on a load bearing soil just limitedly compressible;
- if possible, shall be above ground water level to avoid costs of dewatering and
insulation;
- should be located at the depth demanded by the structure (cellar, underground
garage, etc.);
- in case of variable-volume subsoils, the foundation level shall be above the drying
up level;
- shall fit into the built environment.
26
Frost line (freezing depth): the largest thickness of the soil layer cooled below 0 in the
winter. Under national circumstances the frost line:
- in granular soil: 0.8 m;
- Over 500 m above the Baltic Seal Level: 0.9 m;
- in cohesive soil: 1.0 m;
- in case of foundation on solid bedrock: 0.5 m.
On flat terrain
On sloped terrain
In case of stripe foundation
In case of pad foundation
Brick stripe foundation
Monolith concrete stripe

foundation
On flat terrain in case of partially cellared building

In case of slab foundation
In case of pad foundation
In case of stripe foundation
Concrete fill-in
Figure 14.: Taking up the foundation level at shallow foundations
3.2.2 Areal dimensioning on the bases of load bearing capacity

The horizontal extensions of the shallow foundations (length, width) are determined by the
design value of the load bearing capacity of the soil and the expected settlements. In practice,
firstly the dimensions are determined by load bearing requirements, and then in terms of the
aforementioned, the allowable settlements are checked.
a) Load bearing capacity of shallow foundations
The load transmitted to the soil from a foundation of given position and size can be
determined:
- by loading test;
- by experiences acquired from the cases of neighbouring buildings;
- theoretically from formulae (codes);
- by data from sounding (half empirical method).
At theoretical determination, at first the mechanism of soil failure shall be made clear.
27
b) The mechanism of soil failure

If an ever growing load is imposed on a foundation, the soil below the foundation is getting
compressed more and more. Initially, the settlement is directly (linearly) proportional to the
force, the load.(Figure 31)
Time
s
e
tt
l
m
e
n
t
Load
s
e
tt
l
m
e
n
t
Elastic
zone
Intermediate
zone
Plastic
zone
Elastic impact
Plastic zones
Slip surface
Figure 15.: The mechanism of the soil failure
Later on, the penetration increases dramatically (vertical and horizontal grain particle
displacement takes place as well), and a well defined slip surface- soil failure takes form as
the loaded area loses its support. The failure does not always happen the way it was
mentioned. There is:
- general shear failure;
- local shear failure;
- impact (drilling-in).
c) Computation of the failure load
As a substructure we consider a stripe foundation with a vertical centric concentrated force on
it and a small foundation depth (t < 2b). This time, with regards to the soil mass above the
terrain being either backfill or loose surface layer; the shear strength of the soil above the
foundation level is modified in favour of safety.
Terzaghis failure stress formula is written in the following general form:

where: Nb, Nt s Nc bearing capacity coefficients, their value is the function of friction
angles computable and presentable in graphs and curves (Figure Figure 16.)
28
Figure 16.: The value of load bearing capacity coefficients in the function of the friction angle
3.2.3 Calculation of load bearing capacity according to MSZ EN 1997-1:2006

The characteristic value of soil failure resistance (Rk) under drained conditions can be
calculated with the help of the following correlation:

0.5
under undrained circumstances:

where:
A Effective area (A = B L);
B Effective base width (smaller horizontal dimension);
L Effective base length (bigger horizontal dimension);
Effective specific weight (density) of soil under the foundation level;
c Effective cohesion of the soil under the foundation level;
cu Undrained shear strength of soil under the foundation level;
q The smaller effective stress on the surface area;
N, Nc, Nq Bearing capacity coefficients;
i, ic, iq Inclined load factors;
s, sc, sq Shape factors
b, bc, bq Inclination of base
Note: The computation of the factors may differ from drained to undrained conditions.
In case of stripe foundations, a complex quadratic, in case of pad foundations a third order
equation provides the necessary base width (B).
29
Lateral dimensioning of substructures

The design value of the vertical load coming from the self weight of the building is
compared to the design load bearing capacity of the soil. The load bearing capacity is
adequate if:
Ed < Rd
where
Ed The design value of loads
Rd The design value of resistance (soil failure resistance)

3.2.4 Vertical dimensioning of shallow foundations

Having determined the base width, the next step is the calculation of foundation height. This
can be comprehended as the mechanical dimensioning of the whole structure. To this, the
stress distribution along the foundation level shall be known. The standard load of the shallow
foundations is the bending moment generated by the loads of the superstructure and the
support reaction forces of the soil. Shear forces may arise as well (at pillars there is the danger
of punching).
a) Distribution of base stresses
The base stress is the stress generated at the foundation level, in other words, the specific
value of resistance of the soil counteracting the loads of the facility.
The resultant of the base stresses shall be in equilibrium with the loads. i.e.:
- The resultant of the base stresses = external load;
- The moment acting on the foundation: M = 0.
Factors influencing the distribution:
- Features of the substructure (structural rigidity, shape, width), the structural
rigidity of the building, foundation depth;
- Soil properties (granular or cohesive);
- Measure of loading, distribution pattern, line and point of effect
At rigid substructure the location of the resultant is important.
At flexible substructure the distribution of the load is important (Figure Figure 17.).
Rigid
Flexible
Figure 17.: Base stress distribution at rigid and flexible foundations
30
Rigid foundations
Rigid foundations are such that their plane does not deform even under load. These concrete
slabs almost identical in width and height are rigid.
At cohesive soils, according to (Figure Figure 18. (b)) a saddle like base stress body is likely
(with small sideways deviation).
In dry, granular soils (e.g.: sand), grains under the substructure can be displaced sideways
(Figure l. c.), in which case the stress under the edges (in case of t = 0) can be reduced to zero.
The stress distribution will be parabolic. The effects of foundation depth increment are
depicted in Figure d.
Foundation depth
Granular soil
Cohesive soil
Granular soil
Figure 18.: Base stress distribution under a rigid substructure
In practice, simplifications, approximations are made in general and the work is done by the
base stress distribution shown in Figure Figure 19. The base stress distribution does not
influence the load bearing capacity of the soil since the failure takes place inside the soil mass.
Figure 19.: Base Stress distribution under stripe foundations (simplified) in case of different
eccentricities (e)
31
Flexible foundations
Base stress distributions are shown in Figure Figure 20.In a sense the base stress distribution
is the mirror image of the load distribution.
Figure 20.: Base stress distribution in case of flexible substructures
b) Determination of the height of stripe and pad foundations on the bases of

construction rules
The k cantilever length is calculated applying the construction rule and bearing in mind the
geometry of the load bearing wall or pillar above the substructure (Figure Figure 21.). The
quotients of necessary cantilever lengths concerning various soil types and substructure
heights is summarised in Table 3. Based on that, the necessary h height can be calculated
back.
Table 1.
Soil Type (Load Bearing Capacity)

Dense grainy soil (>=36)
Hard cohesive (Cu>=75kPa)
Grainy soils
Plastic cohesive (Cu>=40kPa)
Small capacity
k:h
1:2
1:1,5
1:1
Figure 21.
3.2.5 Dimensioning of raft slab foundations

The crosswise dimensioning is identical to that of the stripe foundations.
Longitudinally however, raft slabs are more flexible and base stresses consequently are
modified in terms of that. In other words, in longitudinal direction raft slabs are to be
dimensioned on the bases of the principals regarding beams on flexible supports.
32
3.3 Settlements
The settlements- as described before- are vertical displacements of buildings, foundations
related to an initial reference point in time and in space. The proper design of the foundation
includes the proof that the deformation sustained by the subsoil is of not that great of a
magnitude to react harmfully on the building.
Causes of settlements:
- static loads;
- dynamic loads and effects;
- effect of water present in the soil (fluctuation of GWL, groundwater flow, slump,
swelling, drying, pipe leakage);
- under-washing (the void creating effect of groundwater), mine, cellar, tunnel;
- landslide (near surface soil mass movement);
- chemical transformations (swelling, dissolving);
- Thermal effects (frost, cold stores, furnaces).
Only the magnitude of the expected settlements induced by static loads can be calculated with
relative precision. In the followings they will be dealt with.
3.3.1 Components and timescale of settlements

Under a quickly imposed static load the
settlement of the foundation is as follows: (Figure 38.)
Part a) presents the case of loads and stresses in
saturated soil. At loading, the pore water pressure rises
(u) and by tc amount of time later, it swings back to
pore water pressure free state.
In part b) the sk Primary compression can be seen.
This is the result of the shape changing of a loaded soil
mass without change in volume (particles pushed
aside). Significant in case of closed, large slab
foundations (e.g.: silos)
In sketch c) Consolidation (sc) is lasting from t = 0
until tc. The reason of it is the loss (push out) of the
water found in the voids, resulting in a volume loss.
The part d) phenomenon, the slow, creep-like growing
procedure is the Secondary compression (sm). This
type of compression is most common at overloaded,
soft, fat clays (high plasticity), and organic soils. (To
be omitted in Hungary.)
The sum of these three components in the function of
time yields the respective settlement as shown at part
e)

Figure 22.: Components and timescale
of settlements
33
The largest part of settlements is caused by consolidation therefore the timescale of sc is

important. The lower the permeability and bigger the compressibility of the soil, the lower the
process of consolidation is. The compaction of sand takes place quick while the settlement of
buildings built on clay can take a longer period.(Figure Figure 23.).
Time
s
e
tt
l
m
e
n
t
Granular soil
Normal consolidation
curves
Cohesive soil
Figure 23.: Consolidation curve
3.3.2 Settlement calculation

The first task of the settlement calculation is to determine the standard loads from the
viewpoint of settlements. The permanent load (usually the self weight/dead load) shall be
calculated precisely with detailed computations then the possible additional loads, their time
of action, their probability and their frequencies of reoccurring should be analysed. The
standard value of mobile loads regarding settlements depends on the permeability of the
subsoil, the time of action (e.g.: wind load) and the type of the building (dwelling house,
industrial facility, bridge, silo etc.) The substructure, the foundation, the pillar of a bridge etc.
is just a preload they do not exert effect on the superstructure later installed. Dynamic
multiplication factor is not used generally at cohesive soils. The loads are to be taken into
consideration without safety factors. Having fixed the load states, the stresses in the soli are to
be determined.
a) Stress distribution in the soil mass under the foundation
Influenced by:
- the quality of the soil;
- the magnitude of the load;
- the size, shape and other properties of the substructure
Assumptions (simplifications):
- since stresses only reach a certain quotient of the failure stress, the soil is
considered elastic with Hookes law being valid: = Es
- the soil is homogeneous and isotropic;
-
the Es and is constant principal of superposition
Stress computing methods from theoretical bases are capable of computing with:
- concentrated (point) load;
- linear (distributed) load;
- lane load;
- closed areal load.
34
is valid.
b) Case of concentrated force

Loads transmitted over a rather small area are similar to this. This case can be used at
block foundations calculating the excess stress under neighbouring foundations. According
to Boussinesq (Figure Figure 24.) at any point B of the elastic surface of a soil, the stress
generated by a point- like vertical concentrated force F is:
3
2

cos
In fact, the stress components have similar, more or less complicated formula as well
sx, sy, txy,
Figure 24.: Case of concentrated force
c) Case of linear load

The behaviour of a rail laid on the ground (crane track) is approaching the most this,
again theoretical case. Applicable at approximate calculations of excess stresses appearing
under neighbouring stripe foundations.
Figure 25.: Case of linear load
35
d) Case of lane load

This type is common under stripe foundations of walls. Naturally, the biggest vertical stress is
at the axis of symmetry of the lane.
sin
cos
Mitchells deduction regarding stresses under the stripe foundations of walls may be seen in
Figure Figure 26.
Figure 26.: Case of lane load
At the offset from p lane load over dx width-area:
magnitude of force is acting whose only feature in the figure is the final result. Again, of
course the greatest vertical stress is at the axis of symmetry of the lane. (Figure Figure 27. ).
The angles appearing in the formula are meant to be unit less.
Figure 27. : Case of lane load
36
e) Case of closed areal load

This case is the most frequent in engineering practice (block, slab foundation). One of the
simplest cases: Stress determination z of uniformly loaded (p), slab of r radius measured in
the centre. Deduction here is done by starting out of Boussinesqs correlations of point-like
loading (Figure Figure 28.).
1
Figure 28.: Determination of stresses under a disc (Frhlich).
Steinbrenner was the first to derive interrelations on right- angled rectangular

substructures. Direct utilisation of the results of his complicated derivation would be
problematic therefore a graph is used to determine the vertical stresses fast (Figure Figure
29.).
Figure 29.: Calculation of vertical stresses with the help of the graph
First of all, L/B and z/B ratios are calculated, where z is the depth under the foundation level
of the examined points (at which points stresses are looked for). The value of z/B is taken on
the vertical axis then progress is to be made horizontally towards the corresponding L/B
37
curve. The point of intersection is projected to the horizontal axis where a z / p ratio can be
read from which in the knowledge of p base stress, z is computable. With the help of the
graph, the stresses under the corner points are obtainable as well.
At settlement calculation the vertical stresses (average stresses) generated in the line of the so
called characteristic point is used. Hence graphs were constructed in order to acquire the
stress generated under the characteristic point of the right angled rectangular foundations as
well (Kany) (Table Table 2.), which can be seen here in a tabular form. (B = the smaller base
width).
Table 2.: Stress determination under the characteristic point
B/L
z/B
0
0,05
0,1
0,2
0,3
0,4
0,5
0,6
0,8
1
1,5
2
3
4
5
6
7
8
9
10
12
14
16
18
20
0
1,000
0,990
0,945
0,826
0,739
0,677
0,630
0,590
0,524
0,467
0,360
0,288
0,203
0,155
0,125
0,113
0,100
0,088
0,075
0,063
0,056
0,050
0,044
0,038
0,032
0,2
1,000
0,990
0,944
0,824
0,730
0,660
0,603
0,553
0,469
0,399
0,278
0,206
0,128
0,088
0,065
0,056
0,047
0,039
0,030
0,021
0,018
0,015
0,012
0,009
0,006
0,4
1,000
0,989
0,941
0,804
0,689
0,601
0,532
0,477
0,392
0,329
0,226
0,163
0,095
0,060
0,041
0,035
0,029
0,023
0,017
0,011
0,009
0,007
0,006
0,004
0,003
38
0,6
1,000
0,988
0,932
0,770
0,637
0,544
0,477
0,425
0,348
0,290
0,193
0,134
0,072
0,044
0,029
0,024
0,020
0,016
0,012
0,008
0,006
0,005
0,004
0,003
0,002
0,8
1,000
0,985
0,918
0,731
0,593
0,502
0,438
0,389
0,316
0,260
0,166
0,111
0,057
0,034
0,023
0,020
0,016
0,013
0,009
0,006
0,005
0,004
0,003
0,002
0,001
1
1,000
0,981
0,898
0,694
0,557
0,470
0,409
0,362
0,289
0,234
0,144
0,094
0,047
0,028
0,018
0,015
0,013
0,010
0,008
0,005
0,004
0,003
0,002
0,001
0,001
3.3.3 Approximate calculation of the stresses

The aforementioned methods of calculation were somewhat complicated inspiring the
practical engineers to come up with simpler, more convenient methods of stress calculation
especially in connection with stripe foundations.
a) Closed region bounded by straight lines
The sidelines z = 0 enclose an angle with the vertical and there is no limit in depth. Between
the sidelines at any z depth uniformly z stress is generated (Figure Figure 30.).
Stress reduction
Figure 30.: Stress body (diagram) bounded by straight lines
On the bases of vertical equilibrium statement:
2 tg
2 tg
By convention = , tg = 0.5 is assumed, but in the national practice = 30 , or = 45 is
more widespread.
b) Jkys Limiting Depth Theory
Figure 31.: Jky approximate method
Stress is dissipated linearly

39
2
2
up to the limiting depth (below which no stress from the surface load is generated)
Therefore at stripe foundation:
m0 = 2 B, (L )
at square pillars:
m0 = B, (L = B)
Between the verticals of the edges of the substructure (based on the principal of similar
triangles):
that is:
The distance from the vertical statement of equilibrium:

1
2
2
Having substituted z back:
c) Determination of settlements
Basic correlations
Vertical specific deformation of the medium according to the elasticity of materials:
1
It it is not the E Modulus of Elasticity but

1
1
1 2
the compression modulus directly obtained from compression curves is what the calculation is
done with, then the effect of sx, sy stresses has already been taken into account as well thus
the formula at hand is:
1
40
d) Calculation in practice
Out of the three components of settlements caused by static loads, as mentioned before the
Secondary compression is neglected under normal circumstances (sm 0). The traditional
settlement calculation does not disentangle Primary compression from initial consolidation
as these two are calculated together exclusively via laboratory compression tests. At normally
consolidated materials calculated traditionally, 60-95% is consolidation (sc), while the rest
being Primary compression (sk).
Steps of the traditional settlement calculation:
- Taking up the foundation depth, taking up the area, calculation of average base
stress, sketching soil stratification;
- Fixing the standard load combination from the viewpoint of settlements;
- Determining the vertical self weight stresses with regards to GWL.
- Determining the off-load of the layers under the foundation caused by the
excavation (cellar or footing pit);
- Calculating the distribution of the vertical normal stress in the function of depth in
the axis of the substructure (under the foundation level);
- Defining the compressibility of each layer (perhaps as the sum of sub results of
layers laminated);
- Obtaining the total settlement as the sum of individual ones
The compressibility of each layer can be calculated either by compression curves or making a
good use of the compression modulus.
1. Calculation with compression curves
The essence of this method of calculation is depicted in Figure Figure 32.
Figure 32.: Settlement calculation
41
In terms of soil layers under the foundation level (1, 2, i. n.) the self weight stress diagram can
be drawn ( hi i ) as well as the diagram of stress dissipation ( z ) keeping in mind the offloading ( z 0 = p t0 ) . To the horizontal axis of the compression curve of the examined ith soil layer, the self weight stress acting in the midline of the layer is projected ( g1 , g2 , gn ) ,
taking into consideration the fact that the layer was not unloaded prior to the construction, by
that. As a continuation of gi the average stress (z1 ,z2 ,zn ) generated by the building at the
midline of the layer (in case of lamination, the sub layer) is surveyed.
Readings are made on the vertical axis showing the increment of load induced specific
deformation (1, 2, n), according which the compression of the layer:
si = hi i.
The settlement of the foundation:

2. Calculation with compression modulus

Summarised in Figure 37.
Stripe foundation
Figure 33.: Settlement calculation
As seen before:
1
This calculation is to be carried out with every layer (or/and sub layer) then summed up with
regards to compression moduli (Es):
42

If the dissipation of stress is considered linear based on Jkys theory (Figure l. right hand
side), then the approximate value of the settlement is obtained easily:
.
2
e) Limiting depth
It is exclusively the Theory of Jky that delineates the depth, below which (excess) stress from
the surface load is not generated under the foundation level (m0). Practically speaking, that
means that only with that depth shall settlement calculations be carried out. In practical cases
anyway it is advisable to draw a line of depth to which extent the load creates soil
deformation. The codes of most countries regard the depth m0 the limiting depth, where:

thus the load generated stress is equal to the n quotient of geostatic pressure (self weight
stress). In the national practice, n = 5 calculating (0,2 hi i ). In Germany and in the USA
n=10 value is in use. If the width of the base is B > 10 m (slab foundation), then experiences
show that:
m0 = B B / 2
Taking up a limiting depth is justifiable (cohesive granular soils).
f) Taking collapse into consideration
It has already been learnt in the subject soil mechanics that soils having macro pores and loose
structure (loess, loose sand, fill) sustain settlements exceptionally fast slump (collapse) under
load, or wetting. With the compression curve constructed by the Oedometer slump test, the
excess settlement under the foundation level may be calculated (Figure Figure 34.).
sr = r h,
where h is the thickness of the slumping layer
This incremental settlement value shall be added to the settlement value calculated from static
loads.
Soaking
Figure 34.: Settlement from collapse
43
3.3.4 Settlement tolerance of buildings

Having calculated the settlements, received data is to be examined if it is of allowable
magnitude for the building at hand. The settlement in absolute sense (elevation-wise) may
cause trouble at, for instance, the sewage system and other public work connections, or
adjacent buildings. Uneven settlements may result in warpage, curl, tilting or deflection of any
kind and the excess load coming from all of them (moment, shearing).
The settlement tolerance of the building depends on:
- the structure;
- the dimensions;
- the function.
Structurally: The statically indeterminate structures- multi supported beams, frame girders,
arc girders etc.- are more sensitive to settlements. Buildings made of prefabricated housing
block are also sensible because of the corrosion protection of the steel joints. In terms of
dimensions those buildings having a centre of gravity high (water towers, smokestacks) are
the most endangered and sensitive.
By function, those facilities are sensitive whose un-cracked state is a precondition of safe
operation (tanks, pools, nuclear power plant).
Under the term of EN 1997-1 Threshold limits for deformations and displacements of load
bearing structures, annex H:
Components of substructure displacements to consider: settlement, settlement difference (or
relative settlement), rotation, tilting, relative deflection, relative rotation, horizontal
displacement and amplitude of vibration. For the concepts of the various substructure
displacements and deformations, see Figure H1. ( Figure 35.).
It is highly unlikely that the maximum allowable relative rotation of open frame structures,
filled in frame structures and load bearing or continuous brick walls is the same, nevertheless
these values, by all likelihood, may be found in the regime between 1/2000 and 1/300 in order
to avoid reaching Serviceability Limit State. The 1/500 maximal relative rotation is a value
most building can tolerate. The relative rotation value that is probable to reach the Ultimate
Limit State is approximately of 1/150 magnitude.
These proportions refer the trough-like displacements as shown in Figure Figure 35. In case of
opposite, crest-like displacements (i.e: edges settle more than the plain between them) it is advisable to
allow only the half of the values mentioned before.
In case of general load bearing structures on individual foundations, total settlements smaller
or equal to 50 mm are tolerable (at granular soils, at cohesive soils the limit is 71 mm).
Settlements exceeding that are only allowable if the relative rotations stay within the tolerable
threshold and if the total settlement causes no problem at public utility connections in load
bearing parts or does not involve leaning etc. The settlement differences are usually of the
magnitude of one third or one half of the calculated total settlements (due to loads and the
44
variance in soil properties).

These settlement restricting principals refer to ordinary, general structures. They are not to be
applied at buildings being extraordinary or having a significantly uneven loading.
Settlement
Settlement difference
Rotation
Angular displacement
Relative deflection
Deflection ratio
Leaning
Relative rotation
(angular distortion)
Figure 35.: EN 1997 appendix H1. Substructure displacement concepts
In the table of national annex NA1. (see table Table 3.) all the limit values shall be perceived
as the as the ratio of settlement differences between the critical points of a building and the
distance between these point, according to the following:
- relative rotation is to be calculated from the settlement difference between two
arbitrary,
- tilting is computable from the settlement difference of two terminal points of a
rigid building,
- the relative deflection is calculated by connecting an internal point with a terminal
one. The excess settlements of points with regards to the line set out by the above;
over the distance is the relative deflection.
- the relative inflexion is comprehended similarly to relative deflection if the internal
point remains above the line connecting the terminal points (edges).
According to Hungarian practice, the R curvature radius created by uneven settlements of
ordinary buildings is related to the L length and H height: R / (L H) as follows:
- no cracking expected even without partial defense if R / (L H) > 0,25,
- partial defense (e.g.: lower crown)prevents cracking if R / (L H) > 0,06,
- crack though appear, cause no mortal peril if R / (L H) > 0,04,
- cracks cause no mortal peril in case of partial defence R / (L H) > 0,01.
The R radius is to be determined as a circle set out by three structurally significant points.
45
Table 3. EN 1997-1 NA21.

Settlement tolerances of buildings
Deformation limit value
Structural and foundational characteristic of the building
Nature of deformation
If the consolidation is
Fast
Buildings with
load bearing
framework
Buildings
without load
bearing
framework
Statically indeterminate reinforced

concrete or steel frameworks
Statically indeterminate reinforced
concrete or steel frameworks with brick
filled-in terminal pillar rows
Statically determinate frame structures
Reinforced concrete prefabricated large

housing block or brick wall with steel core
or reinforcement
High centroid rigid buildings or buildings with rigid foundation

Longitudinally
Crane tracks
(rail)
Transversely
0,0007
0,001
0,005
Relative rotation
Prefabricated large housing block or

unreinforced brick wall without frame
structure
Single-storey industrial buildings or similar structures
0,002
Relative rotation
Relative rotation
Slow
Relative deflection
0,0007
0,001
Relative inflexion
0,00035
0,0005
Relative deflection
0,001
0,0013
Relative inflexion
0,0005
0,0006
Relative deflection
Relative inflexion
Tilting
Relative rotation
Relative rotation
0,001
0,0005
0,01 L/H
0,004
0,004
Informative values of allowable settlements of building:

- load bearing brick walls: 8-10 cm;
- brick wall with rc. crown: 10-15 cm;
- rc. and steel framed buildings: 10 cm;
- buildings on slab foundation: 20-30 cm;
- high centroid buildings (smokestack, silo): 20-30 cm;
- pillar framed, 1-2 storey industrial buildings:
- 6 m- of pillar spacing: 6-8 cm;
- 12 m-of pillar spacing: 9-12 cm.
Generally, settlement differences cause trouble. At buildings standing on cohesive soil (clay)
approximately one and a half time bigger settlement differences are allowable than on
granular soil (construction materials tolerate better slow consolidation).
46
3.3.5 Causes of uneven settlements

As mentioned before, the majority of building damage is due to uneven settlements. The
classification of causes is shown in Figure Figure 36.
Soft clay
Sand
Uneven soil
stratification
Hard clay
Gravel
Uneven loading
Different foundation
method
Piles
Stress superposition
Opportunity for soil

sideways movement
enhanced
Deep
excavation
Equilibrium state of an
existing building
disrupted
Figure 36.: Uneven settlement causes
The cracks, towards the larger

settlement (more precisely towards the
part situated lower after the motion)
elevate. Naturally, harmful settlements
may not be only caused by static loads
but other effects such as water, dynamic
loads, shrinkage etc. First cracks appear
at the weakest spots of the walls of the
houses (doorways, windows, between
corner points). Doors, windows get stuck,
glasses cracked. Figure Figure 37.
47
Figure 37.: Cracks from uneven settlements
Hairline cracks are spoken about if the crack width is smaller than 0,1 mm. With rendering
(plastering) cracks of 5-15 mm may be repaired. Although above 25 mm crack width
restoration or reconstruction is necessary.
3.3.6 Measuring settlements

The settlements of significant buildings shall be measured from the start of the construction.
Measurement: generally by levelling (with levelling rods and surveyors levels of 0,1 mm
accuracy).
May be used for measuring settlement differences:
- footing (Figure l. Figure 38.);
- window sill of the facade;
- slabs;
- dependent corridors;
- line of windows;
- sidewalk.
Line of settlements
Figure 38.:Result of measuring the footing of the building
For long term measurements, benchmarks can be built into the walls and pillars. (Figure
Figure 39.)
Wall plain
Levelling rod position
Gypsum
Figure 39.: Surveying benchmark in the wall
48
In the Figure 56. typical settlement curves can be seen. In the settlements of building (a)
standing on granular soil (sand), overwhelmingly take place during construction. In case of
cohesive subsoil (clay), settlements are significant having finished construction as well (b). In
case (c), the curve converges to a diagonal tangent, the slow deformation leads to failure.
Final (constant) load
Load
t time
Sand subsoil
Settlement
Clay subsoil
Figure 40.: Typical settlement curves
A common task of engineering practice is to define if the cracked building is moving

(momentarily) during site visit. In this case, a gypsum patch shall be rendered over the crack
(Figure l. Figure 41./a), and if cracked after a few days then the settlement is still taking place.
It is advisable to render the gypsum over the crack and push a thin glass on it. If the crack
widens both the gypsum and the glass will be broken (Figure l. Figure 41./b.). By this way,
only the fact of the motion may be concluded, its magnitude and direction may not.
With the method seen in figure (c) even the vector of the displacement can be determined. In
the vicinity of the crack three gypsum patches are placed in which noticeable crosses are
carved. Distances x and z are measured with 0.1 mm accuracy. By regular examinations it can
be defined if the crack width increases moreover, the displacement vector can be constructed
with which the nature and cause of the motion is revealed.
49
Figure 41.: Settlement measurement with gypsum patch
3.3.7 Defence against harmful settlements

If the calculated (expected) settlements or settlement differences are not allowable for the
building then defence shall be built. The types of it:
a) Applying smaller base stress
A foundation of far larger area than what the soil bearing capacity would require is
constructed. Under a wider surface, smaller stresses are generated. In many cases, results fall
short of expectations as settlements are not mitigated by the magnitude the designer thought.
Partly because the wider substructure meant bigger self weight but mainly because stresses
causing compression propagate deeper as well.
b) Deepening the foundation level
This option is taken into consideration if there is a good bearing capacity soil layer not too
deep and the preliminary settlement calculations yield larger values than allowable at the
foundation level taken up in the near surface compressible layer (Figure Figure 42.).
Soft
Clay
Gravel
Figure 42.: Taking up a lower foundation level
This method is economical if the underground premises may be utilised.

It has dual effect:
- foundation level is put on a load bearing layer;
50
-
weight of excavated soil mass increased
Total load
Figure 43.: Role of the excess soil excavation
The fact that the excavated excess soil mass significantly reduces settlements can be made a
good use of in designing practice. In Figure 58/a. a section of a two-storey-cellared building
can be seen. In part b. of the figure the depicted consolidation curve shows that the settlement
of the building only started when during construction a certain load level was reached.
In this way, an almost perfectly settlement free foundation can be constructed. Namely, if the
mass of the soil excavated from the place of the cellar is greater than that of the building to be
placed in then the resultant of the effective stresses on the subsoil is negative, hence the
building motionless.
c) Soil replacement
The highly compressible original soil below foundation level is excavated in part or in whole
and a replacement soil is put in its place (more favourable properties, sandy gravel or sand
usually) with proper compaction (Figure Figure 44.), and with geogrid, geoweb, geotextile or
composite separating layer if possible.
Compressible
Soft
Clay
Well
compacted
granular
soil
Figure 44.: Settlement mitigation with soil replacement
Soil replacement may only be done above GWL otherwise the compaction is impossible to be
performed.
d) Restraining sideways movement
In case of loose granular and soft cohesive soils with near surface foundation level, the
sideways movement of soil particles (dodging) from under the foundation may cause
51
considerable settlements.
Prevention:
- surrounding the whole foundation with steel sheet piles;
- impose surface load on surfaces about to bulge due to sideways movement.
Sheet piling is especially effective if the piles can be driven into deeper, solid soil layers and
thus a cantilever like behaviour is maintained.
e) Soil stabilisation
The artificial physical property enhancement of sub-foundation soil layers prone to settle. This
method is when certain substances are put (injected) into the voids of the soil but it is also soil
stabilisation when properties are changed for the better by compaction.
1. Mechanical stabilisation
Deep compaction is used for enhancing stability and reducing compressibility of loose
granular soils and fills. At vibroflotation also widely used in Hungary, a vibration generating
cylinder of 38 cm diameter is proceeding downwards in the soil due to its self weight. Its
motion is also helped by water grouting. In the vicinity of the hole, now created, the soil is
compacted. After that, alongside with the gradual pullout of the vibrator, gravel, grit, mine
tailings and sand is poured into the hole and is compacted by the upward proceeding vibrator
(Figure l. Figure 45.).
Extension
pipe
Slump cone
Replacement mat.
Vibrator
Compacted zone
Figure 45.: Vibroflotation1
Geodraines, more and more frequently used around the World facilitate the faster
consolidation of cohesive soils. The wick drain like a large sewing machine- grouts or
drives a rigid bar into the soil and simultaneously a polyethylene stripe (geodrain) covered in a
filtration paper (textile). After the removal of the rigid bar, the geodrains remain in (Figure l.
Figure 46.).
http://www.youtube.com/watch?v=0SR8BMbOpAg
52
Figure 46.: Geodrain placement2
(The geodrain stripes wrapped up on a bobbin similar to that of the sewing machine are then
cut on the surface.) In most cases, the ribbed plastic drain stripes collect the water of the
cohesive subsoil. With this method, the quick pore water pressure alleviation or permanent
elimination of cohesive soils and building settlement acceleration is obtainable. It is widely
used at motorway embankments where with preloading the desired settlement can be even
more speeded up (Figure Figure 47.).
Time
Settlement
Preloading
s
e
tt
l
m
e
n
t
Without drain
With drain, without preloading
Drain+Preload
Construction phase
Figure 47.: Mutual application of drain and preload
2. Soil stabilisation with injection

The injection materials are grouted through drilled or driven pipes into the soil under pressure.
The injecting material can be:
- laitance;
- soluble glass (Sodium silicate based),
- Acrilymid,
- Lignosulphite - Lignosulphate,
- Fenoplast;
- Aminoplast;
- other substance
Cement grouting:
The perforated grouting pipes are placed 50-100 cm distance from one another transmitting
2
http://www.youtube.com/watch?v=WP-4_5gMb14
53
the laitance or cement + sand mortar downwards at 7-10 atm. of pressure. The voids of the
soil to be stabilised shall be bigger than the maximal grain size of the cement, therefore only
sand coarser than 0,8-1 mm or hollow, fragmented cohesive soil can be injected with it.
Injection is to be done from bottom to top as the pipe is pulled up (Figure Figure 48.).
Curtain
Upper
sealing
Places of
injection
pipes
Sealing stopple
Figure 48.: Cement grouting3
5. Mass stabilisation
During mass stabilisation a special propeller mixer is mixing up the soil and a cementing
material of some kind. The mixing head is mountable on rotatable-frame hydraulic excavators
at the bottom which the propeller mixer is revolving about an axis. To the propeller mixer,
various blades can be installed in the function of the soil type. The cementing material is
coming from self propelled silos attached to the excavator. The adequate mixing quantity of
the cementing material is controlled and supervised via a control panel installed in the drivers
cabin which provides informative figures on the quantity stored in the silo and the actual
pressure. The propeller mixer is 1,5 m wide and 0,95 m in diameter hence at a time it is
capable of turning over ~1,2 m2. During the mix, propeller mixer is moved up and down with
cementing material continuously arriving with high pressure through the mixer. Mixing heads
can be of 3-5 m which can be further extended by 2 m with an adjustable length extension
measuring the total of 7 m in stabilised depth now. With mass stabilisation an average of 0,50,8 m3 of soil can be mixed up, turned over per minute.
The weight of the mixing head and the propeller mixer can be 5 tons that is to be pushed into
the soil consequently base machinery of 25-40 tons is necessary in order to safely operate.
The stabilisation procedure is to be started always from a stable area so that other machines
can operate and move free not bothered by the stabilisation done in front of the mixer. The
stabilised area does not immediately assume its terminal stability thus if necessary, geotextile,
geogrid or granular material is to be applied to enable the movement of the machine chain.
http://www.youtube.com/watch?v=NW64sttpqHI&list=PL5D8CA86E166BDB26
54
Figure 49.: Technology of deep (mass) stabilisation4
This technology in general is used for stabilising large areas; in the literature sometimes the
stabilisation of a couple of thousand of m2 is mentioned. The manufacturer basically
recommends the following opportunities of utilisation:
- under streets, motorways, railways,
- parking spaces sport facilities open air storage areas,
- under the foundation of dwelling house districts, industrial buildings, bridges,
- under industrial floors, industrial sites,
- at ports, under swimming pools,
- dams, slope refurbishment and stabilisation,
- at laying public works,
- in order to reduce earth pressure,
- in order to create isolating layers,
- in order to prevent liquefaction,
- at stabilising contaminated soils, or sewage sludge.
f) Application of preload
The settlement of the building is mitigated so that the majority of the compression of the
subsoil is forced to take place due to loaded surface prior to construction. The situation is
going to be somewhat similar to the behaviour of layers undergone some geological precompaction and thus became over compacted. After the preloading, a much smaller specific
compaction value shall be expected due to the superstructures weight on the foundation.
g) Application of a proper structure
Choosing the proper structural rigidity:
- either the structure should be so rigid structurally to withstand uneven settlement
stresses without damage;
- or the structure should be so flexible to follow the uneven settlement deformations
without damage.
To settlement suspicious areas statically determinate structures are to be designed.
Material: timber, brick, steel structure which is not too sensitive
4
www.allu.net
Czap Z., Dr. Szendefy J.: Mlyebb rtegek, nagy vastagsg talajtmegek stabilizcis lehetsgnek bemutatsa
szennyvziszap tmegstabilizlsval, Geotechnika 2013 Konferencia, Rckeve
55
Long, non-uniformly loaded building parts are to be separated by dilatation gap (necessary
because of Thermal expansion as well). At largely settling buildings, proper connection of
public utilities is to be resolved (oval orifices, flexible pipes).
8. Correct order of construction
Parts sensitive to settlement are to be built as late as possible.
Antagonistic tendencies:
- mechanisation, tool utilisation, prefabrication all promote the acceleration of
construction,
- increment in pore water pressure dictate the slowdown of construction pace.
At structures with large live loads (silos, tanks) the loading can be controlled. The settlement
of bridgeheads can be controlled by the construction time of the backfill.
9. Designing deep foundations
A large part of the designers opt for deep foundations (pile, diaphragm wall) if the
calculations regarding the originally planned shallow foundation yield larger settlement or
settlement differences than expected. These types of foundations shall be discussed in depth in
the followings.
3.4 Stability of shallow foundation

At the design procedure of shallow foundations it has already been mentioned that the very
last calculation like step is the stability check. In other words, the theory to prove here is that
the facility is safe against:
- slip;
- tilting;
- uplift.
Should the examinations result unfavourable outcomes the defence shall be established
(reinforcement)
3.4.1 Slip safety

Resistance against slip and eccentricity check
If the force is not perpendicular to the foundation level; the danger of the also GEO type slip
failure must be checked. The following inequality shall hold:

where
-
Hd is the design value of the horizontal force acting on the foundation level, in
56
which the design value of any force coming from the active earth pressure and
acting on the foundation level is to be included.
Rd is the design value of the shear resistance restraining slip on the foundation
level, which is to be determined for short term undrained and long term drained
conditions according to principals later described.
Rp;d is the design value of the resistance against the earth pressure on the side
of the substructure.
The values of Rd and Rp;d shall be in sync with the magnitude of the displacements of the
examined limit states, thus in case of large displacements the behaviour of the exceeded shear
resistance is going to be representative. At the value of Rp;d it should be considered that for
instance, from the sidewall of the substructure, erosion or human intervention can remove the
soil or it can be detached by itself in case of the seasonal moisture content fluctuation of clay
soils.
The design value of Rd according to EN 1997-1 can be calculated by soil property or soil
resistance partial factors. The Hungarian national annex follows the DA-2* design method
which prefers the latter and gives the partial factor to mind (Table Table 4.).
Table 4.: MSZ EN 1997-1 table NA3, NA4, NA5, NA6, NA8, and NA9.
Partial factors of resistances (R) in case of various geotechnical structures

Value group
Geotechnical structure
Sign
Type of resistance
R2
R1
1,4
1,0
R;v
Soil failure resistance
Shallow foundation
1,1
1,0
R;h
Slip resistance
1,1
1,0
B
Base resistance
Shaft resistance of pile in
1,1
1,0
S
compression
Driven
Combined/total resistance of pile
1,1
1,0
t
in compression
Pile
Bored
CFA
Shift resistance of pile in tension
s,t
1,25
1,1
Base resistance
compression
in compression
Base resistance
1,2
1,0
1,1
1,0
1,2
1,0
s,t
B
1,25
1,2
1,1
1,0
57
compression
in compression
Prestressed
anchor
Temporary
Permanent
Retaining structures
Stability of slope and nay other
structure
Pull out resistance

Soil failure resistance
Slip resistance
Soil resistance
Soil resistance, in view of general
stability check
1,1
1,0
1,15
1,0
s,t
a,t
a,p
R;v
R;h
R;e
1,25
1,1
1,1
1,4
1,1
1,4
1,1
1,0
1,0
1,0
1,0
1,0
R;e
1,0
Drained conditions shear resistance

where
-
Vk is the characteristic value of the vertical force acting on the substructure in

which only those temporary loads can be included that surely act together with Hd,
is the characteristic value of the friction angle between the substructure and
the subsoil that can be taken up from the friction angle of the critical state of the
subsoil cv;k: In case of monolithic structures it is the same, in case smooth,
prefabricated substructure it is two third of the original.
, is the partial factor belonging to failure
In the calculation, effective cohesion c under the term of EN 1997-1 is usually ok to be
omitted.
Undrained conditions shear resistance

where
-
Ac is the compression area,

cu;k The characteristic value of the undrained shear resistance on the foundation
level.
It may happen, that void is formed between the foundation and the subsoil, (water or air can
get to the foundation level surface) therefore the following restriction shall be checked:

0,4
(That means that larger shear resistance (strength) shall not be expected than the forty
percentage of the vertical load on the foundation.)
The aforementioned requirement can only be ignored if the suction of the soil prevents
the formation of such voids even there where the positive base stress cannot be maintained.
58
Large, horizontal forces not only can cause slip but if work high enough eccentricity as
well. The code even emphasises that safety measures shall be introduced if the eccentricity of
the load transmitted through the foundation level; exceeds 0,6 times the radius in case of
circular foundations and 1/3 of the width of the foundation in case of right angled rectangular
foundations.
Such safety measures can be:
- Recalculating the design values of the loads under the term of EN 1997-1 2.4.2.;
- Designing the edges of the substructure with regards to construction accuracy.
Unless extreme construction precision is expected, overdesigning by 0,1 m is
advisable.
Figure 50.: The critical point from the perspective of tilting
The precondition of the necessity of safety measures means that half of the foundation level is
not working. In case of the application of DA-2* design method, the eccentricity shall be
obtained via the characteristic values of the loads unmodified by partial factors. With this
approach the above criterion is rather not strict. In Hungarian practice, so far this demand
was met and applied on the extreme value of loads. These limits were set for the extreme
values while for the base value of the loads the only requirement was that the whole
foundation level shall work (eccentricity was limited in B/6 )(Figure Figure 50.). Because
of all these, safety measures having been listed are especially justifiable; from which the first
is to be comprehended as the examination of the magnitude and position of horizontal effects.
3.4.2 Uplift safety and failure

Strange as it may seem, it can just happen that at high GWL the buoyant force is larger than
the sum of the permanent loads on a near surface, light but large volume structure (e.g.:
underground tank, underpass, underground garage).
In order to reach the desired level of safety the following solutions can be considered:
- The base slab of the structure extends over the sidewalls (Figure Figure 51./a);
- anchorage with piles, diaphragma wall, soil anchors, (Figure Figure 50./b);
- water table lowering at high GWL or flood level of close rivers decreasing the
water pressure by drainage;
- temporary inundation of the structure (e.g: lowermost level of underground garage)
If piles or soil anchors are used against uplift failure then the related chapters of the code is to
59
be kept in mind.
Design GWL
Design GWL
Figure 51.: Defence against uplift
The stability of a structure or a low permeability soil layer against uplift shall be
checked by comparing the permanent stabilising effects (self weight, friction on sidewalls)
with the sum of the permanent and temporary water and other load related destabilising
effects. Figure Figure 52.shows such cases where checking for uplift is a must.
Safety against uplift
;
must be checked with the above inequality applying the partial factors shown there. In this, the
design value of the of the vertical component of the stabilising force (Gstb;d) is for example the
weight of the structure and the soli layers, while the design value of the resistance (Rd) is for
instance, any (Td) friction force and the sum of all anchor forces (P). The latter can be
regarded as stabilising permanent vertical effect (Gstb;d). The resultant of the vertical
component of the design value of the destabilising permanent and temporary loads (Vdst;d) is
the permanent and varying parts of ground water pressure and the sum of all the other forces
pointing upwards. In simple cases, it is allowable to substitute the forces in the above
correlation with the total stress and pore water pressure.
a ) Uplift of embedded hollow structure

1 (Ground) water level
2 Pervious surface
b ) Uplift of light embankment during flood

2 Pervious surface
3) Light embankment material
60
c ) Uplift of the bottom of the excavation

4 Original terrain surface
5 Sand
6 Clay
7 Gravel
d ) Construction of slab foundation under water

2 Pervious surface
5 Sand
6 Sand
8 Injected sand

5 Sand
9 Soil anchors
e ) Structure anchored against uplift
Figure 52.: EN 1997-1 10.1 depiction: Examples for situations threatening with uplift
3.5
Loads on shallow foundations
3.5.1 Dynamic effects

Mainly the industrial facilities bear other than static loads, namely dynamic loads suddenly or
permanently variable in time. This effect is transferred to the foundation and the subsoil. for
instance, machine bases can be perceived as dynamically loaded foundations.
Dynamic loads affecting buildings:
- explosion;
- pile driving;
- traffic;
- earthquake,
- wind load; etc.
The fine grained soils especially if saturated are sensitive (coarse and cohesive soils are less).
Vibrations in one hand can cause direct damage in buildings; on the other hand there can be
damage due to the compaction of the soil.
61
Earthquakes
In 85% of the cases, the cause is tectonic (sudden rupture of the solid crust, puckering of the
fault); the rest 15% being volcanic.
Richter, an American seismologist measured the energy released (magnitude: M). The MSK-64
scale uses 12 grades to characterise the intensity (strength) of the earthquake. The respective grades are
denoted by roman numbers.
In the early 1990-s the European Seismological Commission (ESC) used up the principals laid by the
MSK-64 scale to work out the European Macroseizmological Scale (EMS).
Now the EMS 1998 determines the intensity on the bases of three factors:
a) Effect on human body;
b) Effect on object and nature;
c) Building damage.
Figure 53.: Soil acceleration map of Hungary
In all three correlations there is the resonance factor (), thus a simple grade contains the measure of
shaking. 12 grades of intensity were also determined by the Centre of European Geodynamics and
Seismology (CEGS) (e.g.: I. Not perceivable; V. Strongly observable; XII. Totally destructive).
The design of facilities for extraordinary seismic loads shall be carried out under the term of EC8 for
earthquakes reoccurring with 10 % probability within 50 years. (Figure Figure 53.) shows the seismic
activity of Hungary region by region with their respective aGR horizontal soil acceleration values. The
MSZ EN 1998-1:2008 (EC 8) classifies seven soil class by seismic behaviour, which can be seen in
Table Table 5.
Table 5.: Subsoil classes under the term of EC8
Subsoil
class
Parameters
NSPT
vs,30 [m/s]
[blow/30cm
]
Description of the soil class
62
Cu
[kPa]
S1
S2
Solid bedrock or geological formation

with rock-like behaviour, above which a
maximum of 5 m weaker covering layer can
be found
Extremely compacted sand- gravel- or
hard clay at least with the thickness of 10 m
with mechanical characteristics gradually
increasing moving downwards.
Compacted or medium compacted
sand- gravel- or rigid layer of clay tens or
hundreds of meters in thickness
Loose or medium compacted soil
lacking cohesion (with some soft cohesive
layers or with no at all) or predominantly soft,
high plasticity cohesive soil.
Surface sedimentary layer which is
according to vs value is of class C or D and of
the thickness between 5 and 20 m. Under that
there is rigid material having larger shear wave
velocity than 800 m/s.
Layers of soft clay or silt or a layer of
at least 10 m thickness containing thick layers
of high plasticity clay/silt (Pl>40) with high
water content.
Soils sensitive to liquefaction or other
soil types cannot be classified in either class AE or class S1
>800
360-800
>50
>250
180-360
15-50
70250
<180
<15
<70
<100
(cautionary
value)
10-20
3.5.2 Effect of opening up underground voids

It means direct danger of settlement if artificial void (tunnel, mine, cellar) is to be constructed
below existing surface buildings (Figure Figure 54.). Creating such an opening changes the
original stress states; soil masses above and next to the void get displaced in the direction of
the hole created. The deeper the void is and the more load bearing the soil is, the smaller that
settlement and longer the timescale will be. Important to note: retaining and dewatering the
void is an action the sooner done the better. The magnitude of the settlements can be
approximate calculated by the soil mass got pushed into the void.
63
Rip surface
Figure 54.: Formation of settlement trough above the void
3.5.3 Underwashing effect of ground water

In cases of buildings on granular soil close to flowing water bodies a strong stream is created
at sudden decrement in water level and the higher GWL, in the direction of the river which
whirls the soil particles. Voids are formed under the structure.
3.5.4 Freezing effect at cold stores

At the offset of the operation of a cold store, the zero-isothermal line keeps going deeper and
deeper up to the point where the heat coming from the centre of the Earth makes up for it. In
case of inadequate insulation, subsoil can get frozen 6-12 m deep. The frozen floor may result
in building elevation. To prevent frostbite a layer of insulation (e.g.: bituminous cork) is to be
installed. Instead of insulation or simultaneously with it, underfloor heating can also be built
in. At normal buildings, first and foremost the external walls and the ceiling floor (because of
the open cellar window) are exposed to frostbite.
Foundation on unfavourable subsoil
In Hungary there are plenty of soil layers near surface that are prone to slump, to change
volume, having high organic content or being improper fills, that require a great deal of
caution and professionalism while designing foundation on them. Volume-changing and
slump sensitive soils (mainly loess) are capable of undergoing such changes in their state, due
to external effects, after construction, that uneven displacement or even damage of the
building is often caused. The low strength, highly compressible organic soils and fills are
unable to bear load in general. Their identification is rather simple and unequivocal.
3.5.5 Foundation on shrinkage soil

The majority of small buildings of low loading and a couple of storey standing on soils
sensitive to shrinkage or swelling, sooner or later sustain damage of some kind. Building
damages appear after the summer drought (mainly if multiply dry years are experienced in a
row). Vertical and diagonal cracks elevating towards the corners appear on external walls.
Walls lean outwards. Building extensions: stairs, terraces get detached from the main walls.
The subsoil of these types of buildings is a fat, mosaic clay having a fragmented surface in dry
periods. The GWL is situated deep.
64
Features of shrinkage clays:

- Ip > 25%;
- High Montmorillonite, Illite (mineral ontent);
- zsl > 5%;
- max volume change > 15%;
- swelling pressure> 100 kPa;
- specific swelling d >0,04.
Damage:
- 83% by single storey houses;
- 13% by two storey houses;
- 4% by three storey houses.
Building displacements
Autumn
Elevation
Months
Settlement
Spring
Figure 55.: The manner of building displacements with respect to seasons
The swelling (building elevation) usually in the spring, the shrinkage (settlement) in the
Autumn takes place (Figure Figure 55.). Building damages by volume change can be avoided
by considering the following experiences and rules:
- The foundation level shall not be closer to the surface than 2-2,5 m;
65
-
low loading buildings shall be cellared in whole (partially cellared buildings are the
worst solution);
No damage is experienced at buildings higher than three storey;
The load bearing capacity of the soil is to be exploited fully (small base width);
The foundation shall bear the bending and tension coming from the volume change
thus the substructure shall be reinforced, not the primarily the superstructure,
Landscaping is to be performed around the building, drainage is a must;
Careful delivery of roof water (precipitation);
1,0-1,5 m wide sidewalk sloping outwards around the building;
Low loading level building extensions leaning out of the main body of the building
is to be avoided;
There shall be no tree of large water demand (poplar, birch) int he vicinity of the
building,
The connections of the so called "wet" public utilities shall be orthogonal with the
wall. Also the opportunity to relative displacement shall be provided.
3.5.6 Foundation on collapsible soil

To slumping three components are necessary:
- slump sensitive soil;
- load;
- water.
In the presence of these, not even with failure defence (base widening) can the building be
saved from a sudden settlement.
Slump sensitive soils:
- loess (macro porous structure);
- loose (dry) fine sand and intermediate soils;
- loose, fresh fill.
Those soils are called slump sensitive whose slumping factor is: ir > 0,01 (1%). In Hungary,
approximately 1/3 of the land is covered with loess. The wet loess slumps even under load
alone (Figure Figure 56.).
Dry loess
Wet loess
Collapse by inundation
Figure 56.: The phenomenon of collapse
66
Defence against the damages:

- surface water separation (landscaping);
- delivery of storm waters;
- thorough design and construction of public utilities;
- watertight lowermost slab in the wet cellar;
- rc. crown at every level dimensioned to negotiate wall settlements;
- thick stripe, draft slab or beam grid foundation
Soil training:
- Surface compaction with falling weight (3-5 tons from 3-5 m);
- deep compaction (vibrofloataion);
- soil stabilisation (e.g.: soluble glass);
- soil burning;
- watering + preloading.
Careful: at construction the excavation shall not be soaked!
3.5.7 Foundation on fill

The development of cities and industrial sites produce more and more filled area (brickyard
pit, gravel and sand pit, dumps, moats, garbage depositions). The material and age of the fill
materials show great variation as well as their structural behaviour.
Material:
- soil;
- construction of industrial waste product;
- More than 10% organic content material (dumps, industrial waste product);
- combustion product (slag, ash);
- household garbage;
- mixture of the above.
The extremely dangerous category includes the household trash and the fills younger than
10 years. Doing construction work on sites like this requires rather high level of attention.
In Hungary:
- 40% of structural members ,
- 57% of partition walls,
- 70% of floors
damaged was built all on fills!
87% of all the damage was done by water (broken pipes, roof waters, pressurised pipe
leakage, surface water). Prior to the design, specific slumping is to be determined. Also bear
in mind that poisonous (Cyanide) and explosive (Methane) gases may be forming inside the
fill.
67
Principals guiding the design:

- bas stress shall not exceed 150-200 kPa;
- water is to be kept away;
- building extensions are to be avoided if possible;
- below the foundations fills of more or less the same thickness shall remain;
- the spatial rigidity of the building shall be increased.
Ways of fill improvement:
- Surface compaction:
- vibroplate (10-30 cm of thickness can be compacted in one run);
- roller with vibrator (30-50 cm of thickness can be compacted in one run);
- dynamic compaction (2-4 m of thickness can be compacted in one run).
- Deep compaction (loose and thick fill):
- vibrofloatation;
- compaction with columns;
- compaction by explosion.
- Soil replacement (above GWL):
- complete;
- partial;
Replacement material: sandy gravel, crushed stone, sand, stabilised soil, important:
rd max > 1,75 g/cm3 .
Injection
- cement injection with small amount of Bentonite; top-down injection;
- soluble glass injection with dense material.
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3.5.8 Foundation on organic soil

Alongside with the fills, it is the organic soil that cases the most damage.
Identification:
- dark colour;
- small specific weight (light);
- large moisture content ( w > 50-70%);
- fibrous structure.
Specificities:
- small compression modulus (Es)(500-2000 kPa);
- small permeability coefficient (k) slow consolidation;
- organic decomposition, Secondary compression;
- sensitive to light;
- shrinks;
- changeable thickness.
In many cases, organic layers are covered with a layer in good condition. Therefore, first the
possibility of shallow foundation application is to be taken into consideration (Figure Figure
57.). That is to say that small width stripe foundation or rc. beam grid is being weight up then.
The one thing here to pay attention to is not to let more than 60-80 kPa load to be imposed on
peat. If the peat is on the surface often soil replacement is initiated. If possible, let us design
substructures of nearly equal loading and same foundation level. Should the organic soil layer
be of smaller thickness, higher strength and rigidity structures less sensitive to uneven
settlements are definitely to be built.
Frost line
Sand
Peat
Figure 57.: Small depth shallow foundation in case of covering layer in good condition
Dangerous can be:

- dynamic effect;
- fluctuation of GWL.
At public work connections enhanced settlements are to be kept in mind. Partially cellared,
extended building designs are to be avoided. Closed base area, spatially strengthen buildings
shall be designed.
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4 DEEP FOUNDATIONS
In the case, when the soil near the ground level has not enough bearing capacity, or shallow
foundations cannot fulfill the requirements, an additional element is built between the superstructure
and the deeper, suitable soil layers. This element is called deep foundation.
They can be classified into the following groups:
- pile foundation,
- diaphragm wall foundation,
- cylinder and box caisson foundation.
There exist solutions between the shallow and the deep foundation techniques; however it is nontrivial
to determine the borders of the groups (e.g. pier).
Deep foundations will be applied in the following cases:
- the soil layer with a reliable bearing capacity lies in the deep,
- the shallow foundation would be more expensive due to high level of groundwater,
- the shallow foundation would be able to slide,
- settlement would reach the 'not allowed' level in case of shallow foundations,
- it is more economic.
4.1 Pile foundations

The most widely used form of deep foundations. It consists of two main parts:
- the piles,
- the box/plate/grid, which keeps the piles together.
4.1.1
Classification of piles
a) The way they pass the stress:

- end bearing
- friction
- part bearing part friction
b) The stress in them can be:
- compression
- tension
- bending moment
c) Their material can be:
- timber
- steel
- concrete
- reinforced concrete
- mortar
- sand, gravel, crushed rock
- soilcrete
d) They can be manufactured:
- precast
- cast-in-place
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e) Their size can be:

- short (3-5 m)
- micro (d< 30 cm)
- normal (30 cm < d < 60 cm)
- big diameter (d> 60 cm)
4.1.2 Precast piles

a)
Timber piles
Pine-, oak- as well as wattle trees are the commonly used species. They have a temporary role,
however they may remain in the foundation permanently, if they are always below the level of
groundwater (i.e. the water level does not oscillate).
b)
Steel piles
They also provide temporary solution. A main advantage is that, they can be manufactured in
arbitrary length (they can be augmented as well). Usually they can be taken out of the structure, and
used multiple times. The only case, when they remain permanently in the foundation, when the
groundwater would have aggressive effect on concrete piles. As a drawback, can be mentioned their
high price. Usually a weldable, high strength steel tube (or H shaped pile) is used, where the end is
closed by a cone.
c)
Reinforced concrete piles
The most widely used type, since they are long-lasting and have high endurance. Their drawback is
that, they are heavy, which makes their handling, transportation and planting cumbersome.
In Hungary, reinforced concrete piles with the following properties are used: 30x30 cm (40x 40 cm)
square cross section, 4-12 m length, precast. The concrete is usually C20/25 class, they contain
portland mortar (C type). In case of aggressive groundwater, spinned concrete tube is manufactured.
The steel bars should have at least B 38.24 quality class. Their arrangement is depicted in Figure .
Lifting
Erecting
Figure 75: Theoretical arrangement of a reinforced concrete pile, precast
The long steel bars have to be designed to be able to bear the bending moment arising from the weight
of the pile, when lifted. The stirrups are included to bear the cross-directional tension during the
hitting. The hooks for lifting and standing are depicted as well. Factories deliver the piles with two
different reinforcement cage:
- normal version for average soil conditions: 4-10 m length,
- strengthened version for tough soil conditions: 8-12 m length.
71
4.1.3 Driving of precast piles can happen by

a) Hitting
- mechanical,
- pneumatic,
- steam, or
- diesel engined hammers.
b) Vibration
- general vibration
- vibration combined with hitting
- vibration combined with rinse
c) Screw
4.1.4 Cast-in-place piles

Many ways are available in practice. A hole is getting drilled or excavated or hit or vibrated, then it is
filled with concrete.
The piles can be built
a) with a casing
- reusable
- not reusable
b) without casing
- dry
- filled with slurry
- continuous spiral
- screwing technology
The following technologies are used in Hungary:
- general, drilled pile with bordering tube
- excavated pile
- Franki pile
- Soil Mec pile
- Pile with continuous spiral (CFA)
- Srewed pile with smooth surface (Omega, CMC)
- Pile with screw thread on the surface (Screwsol)
- Full Displacement Pile (FDP)
- Micropile
- Jet-grouting
In the jet-grouting technology, the drilling mechanism injects high pressure fluid into the soil, while
the soil gets mixed and filled with a mortar based stiffening material during the rotational movement.
Thus a soilcrete pile is built (Figure 76).
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Figure 76: Method of jet-grouting
The high pressure fluid flow demolishes the soil structure in its environment, and fills it with
stiffening material. The technology can be applied in almost all kinds of soils.
Figure 77: FDP, Screwsol and CFA piles
4.1.5 Design method of pile foundations

The pile foundation consisting of the piles and a pile cap is designed the way discussed in the sequel.
- The maximum load is calculated for the pile group
- the number, diameter and spatial layout of the piles is calculated
- the stress in each pile is computed
- pile length calculation
- the expected settlement of the pile group is calculated, and compared with the allowed
settlement of the superstructure
- the initial data (number, diameter, type) is modified, and the whole method is repeated if
necessary.
4.1.6 Calculation of expected maximum bearing capacity for the piles

The characteristic value of pressure resistance at the piles can be computed by diverse methods
detailed by standard EN 1997-1 in separated subsections. These are:
- full scale pile load test
- calculation methods based on results of laboratory tests
- calculation methods based on results of in-situ tests
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a) Bearing capacity calculation based on static sounding processes measurements

According to the standard MSZ EN 1997-1: 2006, the maximum bearing capacity of each single piles
can be computed based on CPTu sounding diagrams as well.
The calculated value of bearing capacity of a single pile:
Rc ,cal Rb ,cal Rs ,cal
R
c ,cal
qb ,cal . Ab D hi .q s ,cal ,i
i 1
where
qb,cal
Ab
qs,cal,i
hi
calculated unit base resistance of the soil under the pile toe
cross-section area of the pile toe
calculated unit shaft resistance in the different soil layers, but max. 120 kPa
thickness of the different soil layers.
Unit base resistance is calculated as

q qcII
qcIII ,
qb ,cal b b 0,5 cI
2
where:
b
coefficient depending on the technology
base resistance factor depending on the type of the pile
b
qcI.
the mean of the qc values over the depth running from the pile base level to a level
(critical depth) which is at least 0.7 times and at most 4 times the pile base diameter deeper,
(critical depth: where the calculated value of qb,cal becomes a minimum)
the mean of the lowest qc values over the depth going upwards from the critical
qcII
depth to the pile base
qcIII.
the mean value of the c values over a depth interval running from the pile base level
to a level of 8 times the pile base diameter higher . This procedure starts with the lowest qc
value used for computation of qcII (but qcIII < 2000 kPa)
Unit shaft resistance:
q s ,cal ,i s ,i q ctl,i
Characteristic value of base resistance:

Rb , k
Rb ,cal
Characteristic value of shaft resistance:

Rs , k
Rs ,cal
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Design value of bearing capacity:

Rc , d
Rb ,k
Rs ,k
where:
(mean / min)
s,i
s
b
correlation coefficient,
shaft resistance factor depending on the type of soil
partial coefficient of shaft resistance
partial coefficient of base resistance
It is important to note that the partial coefficient of the shaft resistance differs for piles under tension
and compression.
4.2 Diaphragm wall foundation

This technology, which involves excavating a narrow trench and filling it with (reinforced) concrete to
create a vertical wall, is part of the state-of-the-art building practice since the 1960s.
The foundation elements, which fell right onto the contour of the load bearing parts of the
superstructure, are continuous diaphragm walls or shorter slurry piles (similar to piles).
The technology is based on the thixotropic property of bentonite slurry, i.e. this material is able to
support the vertical soil wall of the trench, and keeps the groundwater out.
Diaphragm wall foundations are built the following way:
-
building a guide wall

trenching and supporting the trench with slurry
trench cleaning
stop ends fixing
reinforcement cage lowering
placing of concrete
withdrawal of stop ends
The width of the diaphragm walls usually fells into the domain of 40-120 cm. The length of a section
built at a time is maximized at 8-10 m. Also the continuous version is built in sections (Figure 78).
Figure 78: Construction of a continuous diaphragm wall
The soil can be lifted out using

- excavator,
- drilling technology,
- hydrofraiser.
75
Advantages of the diaphragm wall foundations:

- the cross section and the length of the wall can be determined by the designer (Figure 79)
- great bearing capacity and small settlement
- enables the construction of structures, which could not be built any other way economical
(e. g. underground garages)
- can bear horizontal and vertical loads as well
- does not require dewatering
- depth can be chosen arbitrarily
- no need for formwork or any other supporting structure
- low noise and vibration is caused during the construction
- enables good structural connections with the superstructure
- load tests can be carried out
Figure 79: Cross sections of different mortise piles
Hydrofraising technology
It is available since the 1980s, and is widely used around the world (e.g. Hong Kong, Australia, M4
Budapest). The machines (Figure 80) are built based on a French patent; therefore they can only be
driven by Frenchmen.
It enables the construction of diaphragm walls in wide variety of soils, for example in grainy soil with
low cohesion, or with really hard stones. Its main advantage is that there is no need for stop ends
between two wall elements; the water insulation is automatically solved. It can be used in residential
areas as well, due to its low vibration. An average hydrofraiser can work up to 60 m depth, but a
special version was used in Japan once, which was able to dig up to 150 m, meanwhile it could
support the walls against collapse.
Figure 80: Milling head
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The technology was used in Hungary for the first time during the construction of the stations 'Szent
Gellert ter' and 'Fovam ter' of metro line M4 in Budapest.
4.3 Cylinder and box caisson foundations

Cylinder foundations:
They consist of high diameter tubes, whose bottom and top are open. Their outfit is very similar to
short piles. The soil gets excavated from inside the tube, thus it will sink down into the soil due to its
own weight (Figure81). Their application area is similar to that of pile foundations. This solution is
competitive with pile foundations, if the soil layer, which can bear the loads (e.g. bedrock), can be
found between 4-8 m depth. As soon as the tube reached the expected depth, the bottom is closed with
concrete.
Box caisson foundations:
The way it works is very similar to well foundations, the wells, however, support the superstructure
point wise, and are connected with a similar element, than a pile cap. On the contrary, the layout of the
box foundation aligns with the layout of the superstructure (e.g pier), therefore it is much bigger
(Figure 12). Walls are built inside the box to stiffen the foundation. In soils, which can be excavated
easily, the box can reach 40-50 m depth. Their material is usually reinforced concrete. The cylinder
elements can be precast as well. If the groundwater has aggressive effects on the concrete, steel will be
used instead.
Pile foundation building structural sketch
Well
foundation
Beam grid
Figure 81: Cylinder foundations
77
Figure 12: Box caisson foundations
5 CONSTRUCTION OF FOUNDATIONS
5.1
Retaining structures
The foundation level is situated under the ground level; therefore the soil above it is taken out. In case
of narrow excavations, they may be called as 'construction trench' or 'foundation trench' as well.
The retaining structure can be constructed as:
- slope: uncovered, covered with grass, stones or sprayed concrete
- propped wall: timber, reinforced concrete, steel, plastic
- sheet pile wall: timber, steel, reinforced concrete
- diaphragm wall
- dam
- frozen or chemically strengthen wall
- soil nailing
- gravity wall
- crib wall
- MSE wall
78
5.1.1 Sloped excavation

The simplest way, however it requires a big area to build, and more soil gets moved than by vertical
walls (Figure 83).
Planks
Berm &
Planks
Building
Dewatering
ditch
Figure 83: Sloped excavation
The disposal of the excavated soil has to happen outside of the failure plane. The increase of ground
water level can result movements of the slope. Sheet pile wall or pile driving or other dynamical effect
(e. g. traffic) decreases its stability. Percy excavation water should not leak into the excavation.
5.1.2 Props
Propping means supporting the usually vertical - soil wall with sheets, wales, which are
perpendicular to the sheets, and other supportive parts. The listed items bear the pressure load caused
by the wall. The vertical wall is stable without support up to m0 depth:
m0
4c
tg ( 45 )
2
n
where
c cohesion
friction angle
unit weight of the soil
n safety factor (2-3).
Hence, the soil can be excavated up to this depth without the installation of any supporting solution.
The support, however, should be built as soon as possible. (Under groundwater level this method is
not suggested.) If m0 is greater than the depth of the excavation (H), a small propping support is
advised. The gaps between the supportive items cannot be greater than 0.5 m0.
The excavations have to be propped in any case, where the collapse of the soil wall would cause
accident or would harm something. More exactly:
- in sand, if H>0.5 m
- in transient soil, if H>1.0 m
- in stiff clay, if H>2.0 m
Propping is compulsory, if dynamical effects are present (traffic, pile driving, etc), and next to
buildings.
79
Materials of props
The propping is usually made of timber or steel. Class III. Timber is used.
The planks (Figure 84/a) are usually 48 mm thick, and their width is 20 cm, length is 5-6 m. Their
ends can be tied together with hoops to avoid splitting. The diameter of props should be at least 12
cm. The wedges are manufactured from hard timber (Figure 84/b). The props and slings have to be
tied together with dog-irons, if the excavation is wider than 1.5 m.
Timber props can be substituted with screwy steel props, which can bear bigger loads. It is especially
useful in sites, where the timber props should be driven so frequently, that they would be in the way of
the workers and machines. Another advantage is that, their length can be changed, thus they can be
used for different excavation widths.
Instead of timber sheets is getting more and more popular the application of cold formed steel sheet
pile walls. They can be easily hit into the soil, can be withdrawn, and are reusable. Figure 85. collects
the properties of the two types used in Hungary.
At least
4 cm
With 3-4 cm
thick hoop
Figure 84: Materials used in propping
Figure 85: Sheet pile walls and their dimensions
80
Figure 86: Sheet pile wall as a retaining structure, Sambeek, The Netherlands
Propping a narrow excavation

The sheet pile wall system is determined by the way, the sheet piles and wales are arranged, tied and
supported. The information below is valid not only for timber sheet pile walls, but also for steel sheet
pile walls. The vertically arranged items are usually steel parts.
Propping a wide excavation
If the excavation is wider than 3 m, the buckling of the props must be taken into account; therefore the
props have to be planted with stiffeners (Figure 87).
Section A-A
Section B-B
Figure 2: Supporting a wide excavation from inside
If the excavation is very wide, carrying out the above depicted solution would be cumbersome. The
prop diameters and lengths would be too big, or they would have to be planted so frequently, that they
would be in the way of the moving machines and workers. In this case can the solution depicted in
Figure 87/c be applied, if enough space is available in the excavation. In many cases, the base plate
can be used for supporting.
81
If there is not enough space for the inclined support, anchoring will keep the vertical supporting items
in position (Figure 88). The anchoring bars are usually attached to steel beams planted distant from
the excavation.
Driven I-beam
Anchoring bar
Hardwood wedge
Figure 88: Anchoring backwards
Siemens (Berliner) propping

This method is mainly used, if the excavation is deeper than 6 m, an wider than 3-4 m (Hiba! A
hivatkozsi forrs nem tallhat. 89).
Figure 89: Siemens propping
Steel beams with I cross section will be hit along the border of the excavation. Meanwhile the soil gets
excavated, horizontal or vertical sheet piles (in the necessary length) are slid between the beams. The
lower end of the beams lies deeper, than the bottom surface of the excavation. The upper end is either
supported by props, or anchored backwards.
82
5.1.3 Sheet pile wall

The wall consists of sheet piles hit into the soil, and tied together with clutches.
It is aimed to
- support against collapse
- close the groundwater out of the excavation
- play structural roles in the building, if necessary.
The sheet piles are hit before the soil excavation starts.
The material of the planks can be
- timber
- reinforced concrete
- steel.
The first two were used mainly in the past.
Steel sheet pile walls
The sheet piles are attached together with clutches. They can be used temporarily and permanently as
well. From material point of view, it should resist corrosion and repeated multiple hitting.
a ) Straight planks-Union Flack section
b ) Half - wave sections
Larssen U section
Hoesch Z section
c ) Full - wave sections - Rote Erde section
Figure 90: Types of sheet pile wall
Their shape can be

- straight
- half-wave (U or Z shaped)
- full-wave (Figure 90).
83
Imported half-wave Larssen planks are used in Hungary (Figure 91.).
Corner
element
Figure 91: Larssen (a) and Cs type (b) sheet piles
The domestically manufactured (ABKSZ) sheet piles in type variants CS-1, CS-2, CS-2M, are
primarily used in defence against floods.
Driving of sheet piles
The sheet piles are driven using machines, which hit or vibrate them into the soil. The machine is
usually equipped with a crane, in order to be able to lift and set the sheet piles onto the correct spot.
During the hits, it keeps the sheet piles in vertical position, and takes part in holding the hammer.
Pressure based techniques are also getting more popular these days.
5.1.4 Anchorage
If not enough space is available for the cheaper methods (e. g. propping), or the width of the
excavation would be too wide for them, then the retaining structure is anchored backwards
into the soil behind them.
The anchor is a prestressed structure element under tension, which ensures the interaction of
the sheet piles and the soil.
The main parts of an anchor can be seen in Figure 92 92.
1. head;
2. unbounded/free length;
3. bonded/anchorage length (this part holds the anchor in place).
Figure 92: Main elements of an anchor
The anchor can serve a permanent (e.g embankment, dam), or temporary role (e.g. sheet pile
84
walls).
Traditional anchorage technology
Figure 93 shows a favorable anchorage solution for sheet pile walls and Siemens proppings.
Anchoring bar
Anchorage pile
Figure 93: Anchorage backwards to drived steel beams
In a sufficient distance from the wall, vertical steel beams are hit into the soil, which are
connected by steel bar anchors on the ground level or near to the surface in the soil body. In
case of permanent structures (e.g. embankments), the high bearing capacity anchors (5001500 kN cap.) are tied to diaphragm wall elements. Figure 94/a depicts an example. The
anchor can be manufactured from different kind of steels, such as steel bar, hot-rolled steel
section or bar strand.
Barge
Anchor
Embankment
Figure 94: Anchorage to diaphragm walls (a) cross section; b) installing the anchors into the holes; c) anchor
placement in wide excavations; d) anchorage by jacking
Injected anchors
The body of the anchor can be manufactured:
- through a borehole, which was made cast-in-place;
- with jacking5 (a hydraulic jack presses the tube together);
5
http://www.youtube.com/watch?v=TnWgQxZTooA
http://www.arcelormittal.com/projects/europe/foundationsolutions/EN/driving_equipment/giken.htm
85
-
the load bearing part is hit or vibrated into the soil, and injection on the necessary
length keeps it in position.
The steel structure may be prestressed depending on the desired bearing capacity, if necessary,
then it is attached to the supporting system. Meanwhile, this solution acts as a load test as
well. The prestressed anchor is depicted in Figure 95.
Figure 95: Structure of a prestressed anchor
1-head, 2-frontbeam, 3-sheet pile wall or diaphragm wall, 4-unbonded length, 5-injected/bond
(active) length
It can be clearly seen in the Figure, that the injection takes place only in the last section of the
anchor, in the length of lb (bonded length). In the section lsz (unbonded length), no loads are
bore, thus this part has to be treated against corrosion only. During the stressing process, this
section may stretch. Thus, the anchor gives over the load to the soil only in the length of lb. On
the anchor body some sort of surface friction or other structural connection passes through the
force. Regarding the stressed anchors, the followings should be noted.
Body:
-
1 piece of > 20 mm steel bar;

1 piece of high strength steel bar (e. g. DYWIDAG);
many tightening piece with smaller diameter ( = 5,5 7 mm);
twisted steel bar strands using a bordering tube ( = 12 14 mm).
Unbonded length of the anchor: lsz (no force is given over)

- not injected, only passes through the force;
- treated with friction decreasing and anti-corrosion materials (for permanent
anchors, if they remain in place for more than 2 years).
Bonded length: lb
- produced using injection, which transfers the load to the soil by friction resistance.
Head:
-
gives over the supporting force of the anchor to the retaining structure (i.e.
diaphragm wall or sheet pile wall).
Hit-injected anchors
86
Their main application area is grainy and transition soils. A bordering tube is hit into the soil
using a mobile machine (Figure 96), then the anchor, which consists of several high strength
steel bars, is placed inside the tube. In the next step, the tube gets closed with a cap, and grout
is injected inside, while the tube is gradually pulled out. After the grout has stiffened, the steel
bars are stressed up to 90% of their expected load, then they get locked.
Figure 96: Creating a hit-injected anchor
Drilled-injected anchors (Figure 97)6

Preparation phases:
- a borehole gets drilled with an angle of = 0 45 measured from horizontal,
either with the above discussed steel bordering tube technology, or with slurry
- cleaning the borehole with water or watery grout;
- placing the steel bars;
- injecting the bonded length of the anchor;
- after stiffening (8-12 days), the anchors get stressed and locked;
- quality check.
Possible slip surface
Figure 97: Drilled-injected anchor
Permanent anchors have to be defended against corrosion, which can happen by:
- application of anti-corrosion material;
- placing a PVC tube around the steel bar;
- anti-corrosion grease (on bar strands).
The water-mortar ratio of the injected material should be 0.3-0.5. The drilling machine can
6
http://www.youtube.com/watch?v=oahj3qroyj8
87
move by itself, or can require external tools to move it. The injection pressure, depending on
the environmental conditions, may be high (e.g. 5000-6000 kN/m2). The injected anchors are
stressed after 1-2 weeks using a special device, called stressing jack, then they are locked
(Figure 98). The devices usually apply a stress force around 2000 kN.
Figure 98: Stressing the injected/grouted anchors
Anchorage against uplifting

In some cases, it can happen that the superstructure has to be anchored downwards, to
compensate a force pointing upwards, such as uplifting force of groundwater. It can be carried
out the following ways:
- anchoring by piles;
- anchoring by blocks;
5.1.5 Diaphragm walls

This technology was detailed above. Diaphragm walls are able to substitute sheet pile walls,
and enable new ways to build underground structures.
A diaphragm wall aligned with the contour of the excavation is aimed for the followings:
- retaining structure, keep the groundwater out of it;
- protect the neighbouring buildings against the damage;
- serving as foundation for the superstructure;
- serving as wall of the underground structure.
The diaphragm wall shall be designed the same way, as sheet pile walls.
Precast diaphragm walls
The trench is excavated in the traditional way using slurry, but precast sections are placed
there. Right before the sections are lowered into the ditch, self-stiffening mortar, consisting of
bentonite and cement, is injected onto the bottom of the trench. This way, the slurry will be
forced out of the trench.
The precast reinforced concrete sections are usually manufactured with the following
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dimensions: 35-45 cm thickness, 1.2-3.0 m width, as well as 6-15 m length (Figure 99).
58. bra: Precast reinforced concrete diaphragm wall
The weight of each wall elements should remain below 200 kN (20 t).
Stiffness of the self-stiffening mortar:
After 7 days: 500-900 kPa;
After 28 days: 1600-5000 kPa.
Types of the precast diaphragm walls:
a) elements with anchors in the same dimensions (Figure 100/a);
b) columns between the plate wall elements (Figure 100/b).
The elements are lifted in the trench using a crane or the jib of the excavator. They are hanged
onto the guide wall, until the mortar stiffens.
Their advantages on cast-in-place walls:
- the inner side of the sections is smooth, no need for after-treatment;
- the sections are thinner;
- better water-tightness (5-15 cm thick continuous stiff mortar behind the wall
- concrete quality is higher and more reliable;
- the reinforcement cage is placed inside more accurately, that is why the thickness
of the concrete cover meets better the requirements
- connections between the diaphragm wall and other structural elements (e.g. floor
plates) can be placed more accurately.
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Figure 100: Precast diaphragm wall elements: a) elements with anchors; b) columns and plate wall elements
Thin diaphragm walls

They are used to construct watertight curtain and membrane walls. They are thinner than 40
cm. They are especially useful to enhance the water resistance of dikes (Figure /a). They can
be applied around landfill sites as an isolation to prevent the pollution of the groundwater
(Figure /b).
Clay
Clay
Figure 101: Thin diaphragm walls
These thin walls are usually constructed with the following three technologies:
a) Excavator digs a thin trench, which is filled with a plastic material.
This plastic material can be:
- mixture of cement and clay;
- bentonite-cement mixture (100-150 kg cement /m3).
b) I-girder is hit or vibrated into the soil, which will be pulled out, meanwhile bentonite
suspension is injected into the trench (Figure 3).
Figure 32: Building a curtain wall using I-girders
c) Using jet-grouting columns

90
5.1.6 Soil nailing

The construction steps of the soil nailing are depicted in Figure 103.7
The nails (usually steel bars) are planted well beyond the potential failure surface in the soil.
They are under tension and shear force. The soil wall of the excavation is covered by a thin
steel grid, which is kept on by sprayed concrete. The excavation is scheduled in 90-180 cm
deep sections.
a ) Excavation
b ) Nailing
c ) Steel mesh + shotcrete
d ) Excavation
Figure 103: Phases of soil nailing
The following two ways of nailing are known:

a) short (5-8 m long) nails (L, Z, circle or square cross section) are hit, vibrated or shot using
high pressure air into the soil. 1-3 nails are used in every square meter.
b) injected/grouted nails: into a = 10-15 cm borehole a d = 12-36 mm, high strength steel bar
is placed, then the hole is injected/grouted. The necessary length of the nails is 0.8-1.2 H,
where H is the depth of the excavation. 0,15-0.9 nails are used every square meter. An
injected nail is depicted in Figure 4.
Nailing cap
Injection material
Protecting tube with injection holes
Screw
Steel bar
Figure 4: Injected/grouted nail
Their surface can be: (Figure 5).

a)
Thin steel grid (in case of cohesive soils);
b)
6-8 cm thick sprayed concrete, strengthened by a d = 6-8 mm steel bar grid.
http://www.youtube.com/watch?v=cRAEZTOCBm0
91
Soil
Nut
Mesh
Nail
Shotcrete
Nail &
Spacer
Spacer
Steel mesh
b ) Shotcrete
a ) Steel mesh
Figure 5: Surface variants for soil nailing
Soil nailing is not advised in saturated clay soils.
5.2 Dewatering the excavation

Water can leak into the construction pit from different sources, such as precipitation water,
groundwater, river, or even a pond. In order to keep the construction on the planned schedule,
the water has to be kept outside of the excavation. The dewatering process is not allowed to
open the soil structure, washing out. The regular precipitation water has to be directed into
ditches on the ground, and treated there. The following methods are known in practice to
dewater the construction pit:
- drainage in the open;
- water pumping;
- compressed air vapour separator;
- electro-osmosis;
- soil freezing.
5.2.1 Drainage in the open

This is the easiest and cheapest possible way, thus should be applied whenever it can be. Open
top ditches or drains gather the water of the excavation and direct it to the slum shaft. The
water is pumped out of the shaft. This method can be used only in soils, which are not affected
by the washing out. In cohesive soils (k = 105 109 cm/s) can be used mostly. Only with
small depression can be applied in grainy soils.
Liqiufiable sands (fine sand, silty sand, sandy silt) are dangerous, if :
0,1mm > d > 0,05mm,
U<5
These soil types behave like dense fluids, if they are shaken or vibrated. Therefore, this
drainage in the open technology can be applied only in case, if the water flows slowly, not
causing any washing out. The flow of the water is calculated by the following formula:

92
This velocity is small, if the permeability of the soil is small, or the hydraulic gradient ( ) is
small. Figure 6 represents an example in case of sloped excavation.
Original terrain
Original GWL
Dewatered GWL
Figure 6: Drainage in the open in case of sloped excavation
After reaching the groundwater level in the excavation, a ditch system with 2-3% inclination
has to be established to gather the water. The width and depth of the ditches should be 40-50
cm in the bottom (Figure 7).
Perimeter of the building
Collecting shaft
Smaller ditches & culverts
Collecting culvert
Figure 7: Plan of an excavation with drainage in the open
The ditches are filled with gravelly sand or crashed stone in loose soils (Figure 108).
Geodrain pipe
d=8-12 cm
Ring
Filtrating layer
Figure 8: Cross section of a drain and a sump shaft: 1-geotextile; 2-gravel; 3-PVC drain pipe
93
The sump shaft has to be constructed, before the drains are built, and has to be placed outside
of the building contour. It should be sized such a way, that it can store water, if the pumps fall
out for several minutes. Its diameter is usually 80-150 cm (usually built from cylindrical
sections), and the depth is 1-2 m. In case of linear structures, a shaft should be dug every 80
m. In wide excavations a shaft should be placed every 80-100 m, possibly in the deepest areas.
The groundwater level has to be below the base plain by at least 20 cm, and kept it there, until
the danger for uplifting for the whole structure does not disappear. The drains are injected
with 1:3 cement/sand mortar subsequently. The shaft is extinguished by underwater
concreting. After finishing the construction, the drainage in the open facilities should be
buried gradually.
5.2.2 Water-pumping
Not the water in the excavation is treated, but wells are dug around the excavation, and
groundwater gets pumped from those (Figure 9).
To the pump
Suction pipe
Original GWL
Permanently at
least 20 cm
Figure 9: Dewatering an excavation using water-pumping
Since the depression is deeper, more water will have been pumping out, than drainage in open
technology. In case of narrow ditches (e.g laying public service pipes) one line of wells may
be sufficient for the required depression.
This method cannot be used in gravelly soils, since the water supply is usually faster, than the
pumping capacity. The drainage in the open technology is more economic in cohesive soils. It
is applied in soils, where
k = 101 107 cm / s
(medium sand, silty sand, sandy silt).
A great application area of the technology is liquefiable sands. The technology requires the
following devices:
- Wells to gather the water;
- Pipelines to transfer the water;
- Pumps, machines, engines.
Water-pumping must be done according to hydraulic and machinery plans. The lowered
groundwater level should be set to 20 cm (50 cm is required, if heavy machines are used down
94
there) below the excavation level. Observation/control wells have to be dug as well. The water
level has to be logged regularly. In case of a disaster, the half-ready structure should be
defended by flooding, against uplifting. In order to be able to do so, flooding pipe system has
to be installed as well. The process can be terminated only by permission of the supervisor. In
case of a termination, not all pumps should be stopped at the same time, but they should be
switched off gradually. In the last step, the wells must be injected with cement after the
construction method.
Types:
- "Siemens" wells (if the permeability of the soil is k = 101 104 cm / s );
- Deep wells
( k = 101 103 cm / s );
- Wellpoints
( k = 101 106 cm / s );
- Vacuum wells
( k = 103 107 cm / s ).
a) "Siemens" wells
The water flow will arise due to the lower water level in the well, than in the normal
groundwater level in the soil (gravity based lowering).
Depth of wells: 8 - 12 m,
Distance of wells: 6-10 m,
Diameter of wells: 20-60 cm.
a ) Depression well
b ) Vacuum well
c ) Deep well
Figure 10: Different types of water level lowering wells
95
A bordering tube is used during the drilling process. Filtering gravel is placed to the bottom of
the borehole. Next, the perforated filtering pipe/tube is placed centered, which is made from
stainless steel with a diameter of 3-5 mm. The filtering tube is covered by a steel grid, a
filtering textile and geotextile, secured with wires. The bottom is closed either by timber or a
steel cap. Filter gravel is placed between the filtering tube and the bordering tube. A simple
lock is installed on the top of this setup. The pipeline should have an incline towards the
puming station. This will make sure, that if air is present in the pipes, it can exit the tubes. The
pumps are usually driven by electric motors, which have full backup with a petrol engine. The
theoretical pumping height is 10 m, but due to wastes in the system, it is only 7 m in practice.
Using two lines of wells placed about 8-10 m from each other, a 3-3,5 m deep depression can
be achieved in centre line. If a deeper depression is desired, the lowering will be carried out in
a multi-stage system (Figure 11).
Figure 11: Multi-stage groundwater lowering system
By deep excavations, 3 or even more stages may be introduced. In this case, if the soil is
homogeneous, the deep well system can be more economical.
b) Lowering with deep wells
The wells have a very similar setup to the Siemens filtering wells, however they are deeper,
and have a slightly bigger diameter. They are not equipped with a pumping tube, but an
individual diving pump is placed at the bottom. Figure 10/c shows an example. The wells with
80-100 cm diameter are equipped with 30-55 cm diameter filtering tube. For example,
Grundfos pumps have a 33-3500 l/min performance in 80-200 m. A big drawback of this
technology is the demand for many and expensive pumps.
c) Wellpoints
Only one tube is placed in each well, thus they serve both as filtering and pumping tubes.
They are perforated at their lower 1-1,5m long end, and are folded into geotextile or other
filtering textile (ensured with wire) (see Figure 110/b as vacuum well). The wells are placed in
every 60, 120, or 180 cm by drilling or washing out technology (Figure ). Using the latter
96
method, they can be done in 5-10 minutes. The washing head has a clack, which is open while
washing, and closed, when pumping. The pumping system is very similar to the Siemens
setup, the pumps are connected through a main gathering pipeline.
Figure 112: Installation of Wellpoints
d) Vacuum wells
It is very similar to the point well system, but the pumping stations are augmented with air
pumps as well. Vacuum occurs in the lower section of the well, thus the water will be pumped
not only by gravity, but air pressure as well. Due to the vacuum effect, the upper 1-1,5 m of
the filtering sand is kept in place using a clay tap (Figure 112). 4-4,5 m lowering can be
achieved this way.
Advantages:
- it can be used in cohesive soils economically;
- Shorter time is required for the depression, than by the gravity based systems;
- The sloped excavation can be steeper, due to the supporting effect of the air
pressure.
Disadvantages:
- More sophisticated machinery;
- Cannot be used in grainy soils.
97

Foundation Engineering

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Foundation Engineering

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Budapest University of Technology and Economics

Dr. Farkas Jzsef

The role and function of the foundation...................................................................................... 5

The properties of the foundations ................................................................................................ 5

Exploration of the groundwater .................................................................................................17

The necessary extent of ground investigation ..........................................................................19

SHALLOW FOUNDATIONS ....................................................................................................................22

Types and structures of shallow foundations ...........................................................................22

3.1.1 Stripe foundations .................................................................................................................22

Steps of shallow foundation design ...........................................................................................26

3.2.1 Taking up the foundation level ............................................................................................26

3.3.1 Components and timescale of settlements..........................................................................33

3.4.1 Slip safety ...............................................................................................................................56

Loads on shallow foundations ...................................................................................................61

3.5.1 Dynamic effects.....................................................................................................................61

DEEP FOUNDATIONS ...............................................................................................................................70

Pile foundations ...........................................................................................................................70

4.1.1 Classification of piles ............................................................................................................70

Diaphragm wall foundation .......................................................................................................75

Cylinder and box caisson foundations ......................................................................................77

5.1.1 Sloped excavation .................................................................................................................79

Dewatering the excavation .........................................................................................................92

5.2.1 Drainage in the open .............................................................................................................92

Budapest, May 30. 2014

1.2 The properties of the foundations

Superstructure failure by foundation displacement

Figure 2.: Settlement of the substructure and its settlement difference

The foundation is a unique part, because:

2.1 Direct processes

Figure 3.: Test pit excavation by digger

Figure 4.: Retaining of the test pit

Figure 5/a: Small diameter driller by one person

Figure 5/b.: Borro driller (Mdosk Ltd.)

Figure 7/a: Large diameter drilling machine

Figure 7/b.:Joy drilling machines

2.2 Indirect processes

The Standard Penetration Test,

Figure 9/a.: Dynamic probe

Figure 10.: CPT sounding process

Figure 11.: CPT results

Figure 12.: VST process

Figure 13.: FDT process

The Pressuremeter Test is an indirect process widespread in French-speaking territories. The

Figure 14.: PST process

2.2.2 Geophisical measurements

15/b.: Multielectrodes on site

Figure 15/a.: Method of geoelectrics

Figure 15/c.: Soilsection by mulitelectrode

Figure 16/a.: Method of GPR

Figure 16/b.: Fill and manhole in GPR results

2.2 Exploration of the groundwater

Figure 3.: Denotations of groundwater levels on the borehole log

Figure 4.: Groundwater types

The groundwater level plays an important role in the following cases:

2.3 The necessary extent of ground investigation

3. For piles the following three

4. For small tunnels and caverns:

5. For trenches and pipelines, the larger value of:

Layout of ground investigation

3.1 Types and structures of shallow foundations

Figure 5.: Concrete stripe foundation

Figure 6.: Types of stripe foundations classified according to their materials

3.1.2 Pad (point) foundations