Asce m56 Subsurface Investigation For Design

ASCE- MANUALS AND REPORTS ON ENGINEERING PRACTICE-NO.
56
SUBSURFACE INVESTIGATION
FOR DESIGN AND
CONSTRUCTION OF
FOUNDATIONS OF BUILDINGS
1976
RMIMK31571
MANUALS AND REPORTS ON ENGINEERING PRACTICE
(As developed by the Technical Procedures Committee, July, 1930, and revised March,
1935, and February, 1962)
A manual or report in this series consists of an orderly presentation

of facts on a particular subject, supplemented by an analysis of limitations
and applications of these facts. It contains information useful to the average
engineer in his everyday work, rather than the findings that may be useful
only occasionally or rarely. It is not in any sense a standard, however;
nor is it so elementary or so conclusive as to provide a rule of thumb
for nonengineers.
Furthermore, material in this series, in distinction from a paper (which
expresses only one persons observations or opinions), is the work of
a committee or group selected to assemble and express information on
a specific topic. As often as practicable the committee is under the general
direction of one or more of the Technical Divisions and Councils, and
the product evolved has been subjected to review by the Executive
Committee of that Division or Council. As a step in the process of this
review, proposed manuscripts are often brought before the members of
the Technical Divisions and Councils for comment, which may serve as
the basis for improvement. When published, each work shows the names
of the committee by which it was compiled and indicates clearly the several
processes through which it has passed in review, in order that its merit
may be definitely understood.
In February, 1962, the Board of Direction voted to establish:
A series entitled Manuals and Reports on Engineering Practice/ to include the

Manuals published and authorized to date, future Manuals of Professional Practice,
and Reports on Engineering Practice. All such Manual or Report material of the Society
would have been published in the Journals and would be bound, with applicable
discussion, in books similar to past Manuals. Numbering would be consecutive and
would be a continuation of present Manual numbers. In some cases of reports of
joint committees, bypassing of Journal publications may be authorized.
SUBSURFACE INVESTIGATION
FOR DESIGN AND
CONSTRUCTION OF
FOUNDATIONS OF BUILDINGS
PREPARED BY THE COMMITTEE FOR THE MANUAL ON

SUBSURFACE INVESTIGATION FOR DESIGN AND
CONSTRUCTION OF FOUNDATIONS OF BUILDINGS
OF THE ASCE GEOTECHNICAL ENGINEERING DIVISION
HEADQUARTERS OF THE SOCIETY

345EAST47THST. 1976 NEW YORK, N.Y. 10017
Copyright 1976 by the American Society of Civil Engineers
Library of Congress Catalog Number: 76-22016

CONTENTS
Page
PREFACE ..................................................................................................... v
PART ONE ................................................................................................... 1
Introduction ........................................................................................... 1
Scope of Exploration .............................................................................. 3
Depth of Exploration ...................................................................... 3
Spacing and Number of Borings ...................................................... 4
Soil Classification and Testing......................................................... 5
Reference................................................................................................ 8
PART TWO .................................................................................................. 9
Exploration of Subsurface Conditions .................................................... 9
Environmental Factors ............. . ............................................................ 9
Geology __ .................................................................................... 9
Seismicity ........................................................................................ 10
Hydrology ..................................................................... ............... 10
Ground Water .......................................................................... 10
Climatic Factors ....................................................................... 10
Investigation of Existing Structures........................................................ 11
Geophysical Investigations ...................................................................... 11
Borings ............................................................................................ ----- 12
Undisturbed Samples ...................................................................... 14
Disturbed Samples ............................................................................ 15
Core Borings in Rock___ .............................................................. 18
Measurement of Ground-Water Levels ................................... .*............. 19
Chemical Properties ................................................................................ 22
Test Pits .................................................................................................. 22
Laboratory Testing.................................................................................. 22
Field Tests ............................................................................................. . 26
Penetrometer Tests .......................................................................... 26
Vane Shear Tests ............................................................................. 27
In-Situ Permeability Tests ............................................ ___ ............ 27
Pile Load Tests ................................................................................ 28
Soil Load Tests (Plate Bearing Tests) ............................................... 29
Borehole Surveys ............................................................................. 30
Special Tests in Rock ....................................................................... 30
References............................................................................................... 30
PART THREE ............................................................................................... 31
Presentation of Data ............................................................................... 31
Reports ............................................................................................ 31
Test Data ......................................................................................... 32
Miscellaneous................................................................................... 34
lit
additional studies, investigations, or monitoring of performance may be required
through the construction phase. There should be inspection of foundation
conditions disclosed during construction to confirm conformance with those
conditions anticipated, and of work done to ensure compliance with design of the
foundations.
The importance of sound foundations, if satisfactory structural performance is
to be achieved, has been recognized for several thousands of years. Yet even today,
many structures are built with no or with inadequate studies of foundation
conditions. Hopefully, this manual will assist those responsible for the design of
buildings in assuring that adequate studies are made of foundation conditions.
The Committee for the Manual on Subsurface Investigation for Design and
Construction of Foundations of Buildings has consisted of: Elio DAppolonia;
Richard C. Harlan; Ernest Jonas; Charles I. Mansur; James D. Parsons; Edward E.
White; Nai C. Yang; and William F. Swger, Chairman.
Publication of ASCE Manual No. 56 was authorized by the Board of Direction
onApri!3-4, 1976.
PART ONE
INTRODUCTION
The foundation conditions for structures, even modest ones, should be

investigated before the design is undertaken or a building permit issued. The
purposes of such investigations are to provide: (1) The owner with knowledge of the
subsurface conditions of his property adequate to establish feasibility and
economics of a project as affected by subsurface conditions; (2) the designer with
information for foundation design; and (3) public officials with soil conditions and
opinions regarding the effects of such conditions on the proposed project and
adjoining structures or facilities.
This manual describes procedures commonly used in the exploration of subsurface
conditions beneath ordinary buildings. While similar procedures may be used in
much of the investigations made for other types of structures such as large buildings
or buildings especially sensitive to settlement, bridges, dams, storage tanks, and
other major structures, this manual does not specifically consider investigations for
such structures, because such structures usually require additional and special tests
that should be made under the direction of a specialist in the field. The intent of this
manual is to provide a guide of practice in relation to buildings of modest height
and not specially sensitive to small differential settlements.
Many engineers, architects,orowners find it best to use the services of engineers
specializing in foundation investigations and designs. A guide to the use of such
services is contained in Supplement 45C Professional Practice of Geotechnical
Engineering to the ASCE Manual of Engineering Practice No. 45.
The primary objective of a soils exploration is to determine, within practicable
limits, the stratigraphy and physical properties of the soils underlying the site,
particularly the strength and deformation characteristics of the soil strata, so that a
satisfactory and economical foundation may be designed. For overall economy, it
is frequently desirable that information that will affect construction, such as the
design of sheeting for deep excavations or dewatering systems, be obtained
simultaneously. For some sites, the chemical properties of soil and ground water
should be determined to provide data for evaluating the hazards of corrosion of
foundation piling, and for designing drainage or dewatering systems that could be
adversely affected by corrosion or encrustation and plugging. Also, information
regarding foundations of adjacent structures, roads, sidewalks, or underground
facilities that could be affected by the construction, should be obtained prior to
design and construction of the project. As design of the structure proceeds,
specific problems not originally anticipated may become apparent. In such event,
additional investigations should be made, if necessary.
Many areas, especially in or near urban complexes, have been altered by previous
construction or by excavation and filling. Early topographic maps should be sought
whenever possible to aid in identifying old stream channels, ponds, marshes,
quarries, or other areas that may have been filled. Such knowledge aids a great deal
in planning and interpreting investigations.
The characteristics of soils are highly variable and may change sharply within
1
2 SUBSURFACE INVESTIGATION
limited distances. The scope of the explorations and the tests to be made will be
dictated by the types of soil and rock which underlie the site, the variability of the
several strata, and their physical location and thickness. Also, there are certain types
of soils which pose particular difficulties or special problems, such as metastable
soils and other soils that may be made unstable by the methods of construction. The
more commonly encountered problem soils or conditions are described in Appendix
A to assist in recognition. If any of these are encountered or anticipated, assistance
by experts should be obtained, because investigation of these soils requires
specialized techniques and knowledge.
Conditions disclosed during construction should be compared with those
anticipated from the exploration. Information on subsurface conditions used or
assumed in design, including pertinent physical properties of the soil strata, should
be available to those who supervise and inspect the construction work in order that
conditions that may vary from those assumed in the design may be recognized in the
field during construction and brought to the attention of the design engineer.
Where deep foundations such as piles are used, close cooperation between design
engineer and field personnel is especially important to ensure that actual
conditions are consistent with those anticipated. Heave, piezometric levels, pore
pressures, soil deformation, settlement of adjacent structures or streets, and other
pertinent items should be monitored during construction. Plans and arrangement for
such observations, for lines of communication, and for interpretation, should be
made a part of the soils exploration and foundation design if such observations are
considered necessary.
Following construction, programs for observing settlement, pore pressures, or
piezometric levels, lateral deflections, flow from drains, or other factors may be
established to verify design assumptions and to measure structural behavior. Thus,
foundation explorations generally proceed through four phases:
1. Initial studies and explorations to determine soil stratification and characteris

tics required for design, considering both the structure under design and possible
adjoining structures. These should be planned considering structural requirements,
depths of required excavation, available knowledge of soil conditions, and possible
requirements for dewatering and other construction problems.
2. Amplification, if necessary, of specific portions of the initial investigation to
obtain more information, as desirable, during the design phase and for preparation
of contract documents.
3. Verification of anticipated foundation conditions during construction in order
that changes may be made, if necessary, to either foundation design or construction
procedures.
4. Observation of structure and soil performance following construction.
Item No. 1 is usually required. Item No. 3 may be done either formally or
informally. Items Nos. 2 and 4 may be of limited or of substantial scope, depending
upon the nature of the project. Appendix B outlines studies and items that should be
considered in investigations for a building. Not all items are necessarily pertinent to
a given site or structure, but Appendix B may be used as a checklist for obtaining
pertinent data.
PART ONE 3
SCOPE OF EXPLORATION
The objective of a foundation exploration is to determine, to the degree

practicable, the extent, thickness, and location, both in plan and profile, of the soil
(and sometimes rock) strata present under a site and pertinent physical properties of
each member. The subsurface stratigraphy (soil profile) is most commonly
determined by making borings or test pits from which samples of soil are recovered
for identification and testing. These may be supplemented by geological studies and
geophysical surveys. Pertinent physical properties of the several soil strata include
shear strength, compressibility, and permability. These physical properties may be
evaluated from direct tests on undisturbed samples, from performance of
existing structures founded on the same soils, from indirect tests made during the
field investigations, such as the resistance of the soils to penetration by the sampler,
or from in-situ tests, such as pumping tests, plate bearing tests, or pile load tests.
Generally, foundation investigation will be either confirmatory or exploratory.
Where a structure is to be placed within an existing complex, urban or industrial,
considerable data are usually available with regard to adjacent structural behavior,
types of foundation, and subsurface conditions. Explorations should be planned to
correlate with and extend existing information. Essentially, confirmatory
explorations are to confirm that soil conditions under the proposed structure are
consistent with those under existing structures and thus permit using observed
behavior of earlier structures in evaluating the design and performance of the new
structure.
Exploratory investigations are those made in areas where little or no previous
subsurface data are available, where there are no existing structures for comparison,
or where the proposed structure is significantly different in design, heavier, or more
susceptible to damage from differential settlements than existing structures. In such
cases, the use of a consultant in foundation engineering is usually advisable unless
the responsible engineering concern has considerable in-house capability for making
foundation investigations.
The number, depth, spacing, and character of tests to be made in any individual
exploration are so dependent upon site conditions, type of structure, and its
requirements, that no firm rules may be established. However, certain general
principles for the guidance of those charged with the investigation can be outlined.
Planning a soils or foundation exploration program should include determining
the depth and location of borings, test pits, and other procedures to be used and
establishing the methods of soil sampling and tests to be employed. Usually, unless
knowledge of foundation conditions is available from geological studies, earlier
investigations, or records of existing structures, the extent of the work must be
finally established as it progresses.
Depth of Exploration.Borings or test pits should extend through any unsuitable
or questionable foundation materials and sufficiently deep into firm stable soils that
significant settlement will not develop from compression of that stratum or deeper
lying soils under the load of the structure. A commonly used rough rule of thumb
is to carry borings to such depth that the net increase in soil stress under the weight
of the structure is less than 10% of the average load of the structure, or less than 5%
of the effective stress in the soil at that depth, whichever gives the lesser depth, unless
bedrock or dense soils known to lie on rock are encountered first. In using this rule,
the added stress may be computed from appropriate charts or tables for the
Boussinesq solution or approximated by assuming that the load of the structure at
any depth spreads over an area bounded by planes through the outer edges of the
area where the load is applied to the soil and inclined outward below the structure
at 30 from the vertical. If deep foundations such as piles are required, the elevation
at which the load is applied to the soil may be taken as the top of the bearing stratum
to which the piles are carried.
If deep excavations are necessary, the explorations should be carried to at least 15
times the depth of excavation in order to locate and determine peizometric levels in
any aquifers that may exist below the level of excavation. This is necessary to permit
planning dewatering that may be required in such deep excavations to avoid heave or
disturbance to the bottom of the excavations. If there is a possibility of artesian
aquifers under the area, explorations should be carried even deeper.
Exploration of the bedrock may be necessary where, for example, loads are to be
carried to rock, where irregularity in the surface would affect settlement, where
there may be solution effects, or where there may be construction problems. This
requires extending the borings into the rock by core boring methods. The minimum
depth of core boring into bedrock is usually 10 ft (3 m). This depth may be
depended upon only where geological conditions are sufficiently well known, where
the rock is readily identifiable, and where it is known that the rock surface is
reasonably level and free of boulders or severe weathering effects. Where the
character of the rock is not known or where there may be boulders or irregular
weathering, the core borings should be carried deeper, the final depth being
determined by the conditions found and the method of founding the structure. If
rock bearing foundations are planned, core borings should be carried to well
below the bottom of founding elements, especially if there are adverse rock
conditions such as deep weathering or solution effects.
Spacing and Number of Borings.Frequently, borings are made in several stages.
In the first stage, drive sample type borings usually are made. Based upon these
findings, additional borings may be made between the initial borings to define soil
conditions in better detail. Samples in these additional borings may be taken either
by drive sampler or may be undisturbed. Samples may be taken continuously or
at selected intervals. The selection of sample type and frequency is determined by soil
conditions and requirements of the structure. Where soil conditions are favorable,
especially for small structures, all borings may be completed in the first phase of
theinvestigation.
If soil conditions in a given area are well known and the stratification is simple,
with fairly thick individual strata of consistent physical properties, relatively widely
spaced borings may be sufficient. If, however, soil conditions vary appreciably from
place to place, then more closely-spaced borings will be required. The number and
spacing must be determined by judgment as the work progresses. There should be a
sufficient number to determine the stratification and interrelation of the soils to the
extent economically practicable.
If the soil conditions are uniform, extensive investigation and testing to determine
physical properties of importance in analyzing foundation conditions or construction
problems may be justified and the results are usually relatively reliable. If, however,
the soil conditions vary markedly over the site, or if the material is thinly and
irregularly stratified, or if its physical properties vary erratically, then the best that
can be achieved is a general picture of the foundation conditions. Under such
conditions, an extensive testing program usually is not justified and a conservative
PART ONE 5
approach should be followed with designs based on properties of the weaker more
compressible soils.
The exploration should be conducted considering the requirements and needs of
the structure. Soil data necessary for the selection of the foundation and its design
should be obtained. However, data that are of no consequence in such matters
should be omitted, simply because their procurement adds to the expense of the
investigation without in any way increasing its effectiveness. For example,
preliminary investigations may have shown a thick bed of very soft, recent organic
clays underlying the surface and of a character obviously unsuitable for the support
of the proposed structure. An extensive program of consolidation testing of such
clays probably would be of little value. On the other hand, determination of the
shearing strength of these soft clays would be valuable for designing the sheeting for
a deep excavation or for bulkheads for waterfront structures, if such structures
were involved in the project.
Soil Classification and Testing.For engineering purposes, soils may be
classified in accordance with the Unified Soil Classification (Table 1), which
was developed by the United States Bureau of Reclamation and the United States
Corps of Engineers following the Airfield Classification System proposed by
Arthur Casagrande. In logging soils, the basic group to which they belong should be
given. Further, adjectives describing the soil in greater detail, such as consistency,
degree of compaction, color, odor, shape of grains, where visible, presence of minor
constituents, and other factors, should be noted. If possible to determine, the
method of deposition or origin should be noted, and as a minimum,the soil should
be identified as residual or transported. Stratification, interbedding, or varved
layering should always be noted.
The Unified Soil Classification System was originally developed for use with fill
materials, rather than natural in-situ soils. All transported soils are stratified to
greater or lesser degrees. This stratification significantly affects the behavior of such
soils where permeability, consolidation, or stability are to be considered. Special
care should be taken with natural deposits to describe stratification noting and
identifying thin layers as well as thick layers. Thus, a typical description might be
silty clay, gray, low plasticity, inorganic with interbedded thin lenses of uniform
fine sand (CL with thin SP lenses). Stratification is usually visible in undisturbed or
split-spoon samples of coarse-grained material. In fine-grained soils, splitting
undisturbed or slightly disturbed samples and permitting them to dry partially
will frequently assist with their proper identification. Soils showing annual layering
(e.g., glacial lake deposits) should be specifically identified as varved.
A soil description should cover all soil components contained in the samples. A
driller may sense, through the action of the drilling tools, the probable presence
of gravel, cobbles, boulders, or even rock but with no recovery of such materials.
Where the driller reports such items, a note to this effect should be included.
The most important physical properties of soil for foundation design are strength,
compressibility, and permeability. These characteristics can be measured directly
for cohesive soils by testing undisturbed samples or by in-situ tests such as vane or
pumping tests.
Obtaining undisturbed samples of cohesive soil suitable for physical testing
requires specialized equipment and techniques and should be done only under
the direction and control of personnel familiar with and specializing in this type of
work.
TABLE 1. Unifiecl Soil Classification
PART ONE
7
Obtaining undisturbed samples of granular soil such as sand suitable for
quantitative testing is usually difficult. However, in medium to fine-grained sands,
reasonably undisturbed samples can frequently be obtained using specially designed
3-in. (76-mm) diam thin-walled samplers (Hvorslev sampler) unless the soils are
dense. These may be used for determining the in-place density for soils of low to
medium density. Experience has shown that dilation occurs during sampling of
dense sand soils, even with very careful work, resulting in apparent densities less
than in-situ values (1). It is practically impossible to obtain adequately undisturbed
samples of sand and gravel mixtures from borings. Approximation of density, and
thus of shear strength and compressibility of granular soils, usually may be made
from the resistance of the soil to penetration of the sampler or to a suitable cone
penetrometer.
Permeability of granular soils can be determined from well pumping tests and can
be approximated crudely from inflow tests in borings made during exploration.
Excellent samples of almost any type soil can be recovered from test pits provided
proper care is taken in excavation and dewatering and in taking the samples. Indirect
tests, which generally are considered minimal for most explorations, include
resistance of the soil, especially granular soils, to penetration of the sampler, either
by means of a suitable cone penetrometer or by the Standard Penetration Test,
field moisture contents of semicohesive and cohesive soils, quick shear strength
of cohesive soils, and Atterberg limits of representative samples of cohesive soils. In
addition, if dewatering is necessary, grain size analyses should be made of
representative samples of each stratum of sand, gravel, or sand and gravel which
may be encountered.
REFERENCE
1. Castro, G., Liquefaction and Cyclic Mobility of Saturated Sands, Journal of the
Geotechnkal Engineering Division, ASCE, Vol. 101, No. GT6, Proc. Paper 11388, June,
1975,pp.551-569.
PART TWO
EXPLORATION OF SUBSURFACE CONDITIONS
The scope of work and type of explorations made for a given project will depend
on the geologic conditions, size of the structure or structures, the loads they impose
on the soil, structural arrangement, tolerance of the structure or structures to
settlement, and the character and proximity of other structures.
Investigations may include any, or any combination, of the following: (1)
Environmental factors including geology, seismicity, ground-water hydrology, and
precipitation and other climatic conditions including surface water runoff and
erosion; (2) examination and investigation of existing structures and utilities
adjacent to, or near the proposed site; (3) geophysical surveys; (4) borings; (5) test
pits and test trenches; (6) laboratory tests; and (7) field or in-situ tests including
penetrometer tests, vane tests for cohesive soils, in-situ permeability tests, pile load
tests, soil load tests (plate bearing tests), caliper, electric logging, and down-the-
hole photography or video examination for core borings in rock, and specialized
rock mechanics tests, such as in-place loading tests, jacking tests, use of flat jacks,
and determination of residual stress from deformation during overcoring tests.
ENVIRONMENTAL FACTORS
Geology.Geological studies are frequently omitted in investigations for

buildings. However, knowledge of the general geology and geologic history of the
area may be helpful in interpreting and correlating borings, especially when
conditions are complex. A geologic evaluation may be of help in relating site
conditions to other areas, particularly in initial siting studies. Geologic studies and
field investigations are frequently warranted in areas of seismic activity where the
relation of the structure to active faults may be significant, or in areas of problem
soils, such as those involving slides or metastable soil structures.
It is usually desirable to initiate the study of the geology of an area by a review of
published data. Individual geologists, the United States Geological Survey and the
various state geological surveys, and other interested organizations, such as mining
and petroleum companies, have files on or have published numerous papers covering
virtually all areas of the country. Howell and Levorsen (6) have published a directory
listing sources of geological material for North America. In addition, the Abstracts
of North American Geology, which is published quarterly by the United States
Geological Survey, gives abstracts of the more significant papers on geology in the
North American area (1).
Other sources of geological information include:
1. United States Geological Survey publications; (a) Bibliography of North

American Geology (annual); (b) Index to Publications of the Geological Survey,
1879-1961 and later supplements; (c) folios of the Geological Atlas of the United
States (partial coverageprincipally mineralized areas); (d) maps (various scales);
and (e) Water Supply Papers.
9
2. State geological surveys of Bureau of Mines: The addresses of state geological

organizations in the United States may be obtained from Ref. 6.
3. Geological departments of universities: Masters and doctoral theses contain
much detailed information on areas of interest to the institution. Usually, these can
be consulted at the institution and use of their library may be permitted.
Correlation of such geological studies can be difficult, especially when the

studies have extended over many years. The quality and detail of investigations are
varied, items of special interest such as faults and joint systems are frequently
omitted, and formation and system names may be changed by different
investigators.
The services of a competent engineering geologist may be useful if particularly
complex conditions are found or where specific geological problems such as major
faulting or solution cavities are involved.
Seismidty.There are many areas of the United States where earthquake
resistant construction should be used. Included are much of the areas west of the
Rocky Mountain Front, and certain areas east of the Front such as southeastern
Missouri and adjoining areas and the area around Charleston, S.C. In many areas,
design provisions for seismic resistance are promulgated in controlling building
codes. There are, however, areas not controlled by codes for which an independent
evaluation need be made. Historical seismicity of an area may be evaluated from
Ref. 5. Determination of appropriate design criteria from historical seismicity,
however, requires experienced judgment by competent specialists, and their advice
should be sought where earthquake resistant design is considered necessary and is
not controlled by regulatory authorities. Hydrology
Ground Water.Knowledge of ground-water conditions and the effect of the
proposed construction upon ground-water levels are frequently of importance.
Factors to be considered include piezometric levels and their seasonal variations,
means of dewatering for construction, the effects of dewatering on existing
structures or facilities, the effects of dewatering upon water supplies, hydrostatic
pressures on structure, and uplift.
Useful data on ground water are difficult to obtain and conditions often vary over
short distances. Data may be available from ground-water studies by national or
state geological surveys, from local water systems, or from technical literature on
the area. Such sources should be reviewed if ground-water problems are a factor,
especially as a guide to further investigation at the site.
Climatic Factors.In some sites, rainstorms may cause flooding by surface
runoff, erosion, contamination of streams or other areas by soil or other material
eroded from the site, or hazard of collapse of slopes or sheeting from surface waters.
Evaluation of meteorologic records will usually be of assistance in estimating
probability of such hazards during different portions of the year for planning and
for estimating possible amounts of precipitation for design of drainage.
Study and review of long-term climatic factors is of special importance where
landslides or soil creep are considerations. Knowledge of temperature ranges during
the year may be valuable in planning for either temporary or permanent frost
protection. Such data are usually available from local weather bureaus, from local
meteorologists, or in the United States from the National Weather Service.
PART TWO 11
INVESTIGATION OF EXISTING STRUCTURES
The performance of existing buildings often can be an indicator of possible

difficult or troublesome soil conditions. It is desirable, if possible, to obtain
information concerning foundation investigations, design (especially of
foundations), construction experience, and behavior of structures of significant size
in the areas of interest. To the extent available, such information may include
settlement, boring logs, field tests and measurements, ground-water conditions, and
foundation or construction problems.
Frequently, an existing structure or facility may be affected by the proposed
building. Examples include effects of necessary excavation, additional settlement
resulting from an increase of soil stresses caused by the weight of the new structure
(especially where there are deep beds of soft compressible soil), or effects of pile
driving or dewatering. In such cases, a careful examination is desirable to determine
the physical condition of the existing building, cracking, or other evidence of
distortion, and the design of the structure and its foundations. Such information
provides a basis for planning design and construction of the proposed structure
and may be of material assistance in settling claims of damage.
Buried structures such as pipes, cables, or subways pose special problems in that,
frequently, locations may be known only approximately. Actual locations of these
facilities relative to the proposed structure should be established if practicable.
Borings and test pits should be located to avoid such facilities. Evaluation of the
effects of the proposed construction, such as settlement caused by the weight of the
new structure, effects of dewatering, or lateral distortions caused by excavation may
be necessary. Pipes carrying fluids, such as water mains or sewers, are particularly
critical as modest distortion may lead to leaks that may cause failure of cut slopes
or sheeting of excavations.
Where disturbance of an existing structure or structures either above or below
ground could occur, provision for monitoring distortions or movements of each
such structure may be advisable.
GEOPHYSICAL INVESTIGATIONS
Geophysical techniques applicable to foundation engineering and ground-water

explorations include seismic refraction, up-hole and cross-hole seismic surveys, and
electrical resistivity and gravity methods. Acoustic methods may be of value for
waterfront structures or for pipelines or other constructions beneath water. Seldom,
however, can geophysical methods alone be used to establish reliable subsurface
information.
The seismic refraction method measures the velocity of elastic waves transmitted
in soil and rock. As usually used, this method yields information with regard to the
compressional wave velocity, although sometimes the shear wave velocity can be
determined. Above the water table, the compressional wave velocity correlates with
the rigidity of the material (Poissons ration being known or assumed) and thus to
its soundness and strength. The looser weaker materials transmit at the low
velocities, while hard dense materials such as crystalline rocks transmit at high
velocities. Below the water table, the compressional wave velocity of the water will
mask that of all but very dense soil or of rock; thus, the seismic refraction
technique
generally is not suitable for determining the rigidity of soils below the water table.
Seismic refraction surveys can be used to indicate approximate depths to hard
rock or an underlying hard layer. Carefully conducted surveys can provide data for
estimating the depth of weathering or thickness of soft rock, for mapping average
bedrock topography, for planning a boring program, for estimating the elevation
of the static water table, and for giving an indication whether rock requires blasting
or can be ripped.
Up-hole and cross-hole seismic surveys can, with care, give values of shear wave
velocity as well as of compressional wave velocity. The shear wave velocity correlates
directly with the shear rigidity of the soil both above and below the water table.
Surveys of this type are useful means of determining the dynamic response
characteristics of soils in connection with studies of vibrational and earthquake
effects. Moduli determined by these methods are for very small strains and
should be reduced in proportion to strains for dynamic response studies (14).
The electrical resistivity method measures the conductivity, or conversely the
resistivity,ofsoil and rock. Electrical resistivity data are often ambiguous; hard rock
and soft soils in the same location can have similar resistivity values and be undistin-
guishable. Nevertheless, specific problems sometimes warrant the use of this
technique. Electrical resistivity surveys are often suitable for investigating leakage
and cavity problems. Other objectives that have been successfully accomplished
include the study of soil discontinuities involving significant changes in moisture
content, the delineation of clay strata, and the study of aquifers for ground-water
development. Care must be used in interpretation of resistivity data since the results
can be materially affected by slight changes in ground-water salinity.
Frequently, geophysical surveys and preliminary interpretations precede the
boring program. Final interpretation and submission of data should include boring
correlations and the geophysicists discussions of possible meanings of anomalies
encountered.
Indirect methods,such as geophysical investigations, should always be used with
caution. Geophysical data that apparently disagree with boring data, however, may
be indicative of conditions in need of further investigation. An example are instances
where core borings show rock at a shallow depth but the seismic surveys show rock at
a greater depth. This condition may be encountered where there are large boulders
above the bedrock or in residual soil areas where deep weathering has penetrated
along joints, essentially isolating moderately large blocks of the original rock by
zones of severe weathering. Frequently, such zones of weathered rock will be found
to have the physical strength and properties of clays or clay-sands. Also, very
irregular rock surfaces may result in significant differences between refraction
seismic survey profiles and boring results.
Undertaking and interpreting geophysical testing requires a sound knowledge of
the applicabilities of the several techniques and of their limitations, wide experience
in the work, good understanding of geological processes, and proper equipment.
Field work should be conducted under the immediate supervision of experienced
personnel. Data should be reduced in the field as the work progresses in order that
apparent anomalies may be resolved and that areas where conditions change quickly
may be investigated in greater detail.
BORINGS
Borings are the most commonly used means for investigating subsurface
conditions. In making borings, the hole is advanced by drilling. At intervals, the
drilling
PART TWO 13
operating is stopped and samples of the soil beneath the bottom of the drill hole are
obtained by driving or pushing a suitable sampling device into the soil. Alternatively,
continuous sampling may be used, with drilling only as necessary to ream the hole
between sampling operations.
Borings commonly are vertical but inclined borings may be preferable if geological
conditions indicate that better definition of the subsurface can be developed, for
example, where vertical joints, faults, or solution channels are suspected.
Drilling may be done either using augers or cutting the soil with a bit and removing
the cuttings by a fluid circulating either down through the drill stem and up around
it or the reverse. The circulating fluid may be water, drilling mud (a suspension of
clay, usually bentonitic), or occasionally air. Water should not be used when it
could change the character of the soil, for example, in loess or other metastable
soils that collapse when saturated.
Augers may be of small diameter, with either solid or hollow stems. Frequently,
especially in the western United States, augers of a diameter large enough for a man
to enter the drilled hole and log the soil column are used. Such large diameter augers
are usually limited to above the ground-water table or to soils with sufficient
cohesion that excavations can be made below the ground water without collapse
of the hole. Samples may be taken by a sampler driven or forced into material below
the bottom of the hole or by lowering a man down the hole who can remove
excellent undisturbed block samples or make in-situ density tests. The Standard
Penetration Test is not dependable in such holes because of uncertainty of the
amount of relief of vertical load around the sampler.
Small diameter augers usually are used only above the water table, but may be
used below the water table if used in soils having adequate cohesion that collapse or
boiling does not occur. If an auger is used below the water table, the water level in
the stem must be kept above ground-water level at all times. Especial care is required
when the plug is removed, because seepage of water in pervious soils will disturb and
loosen the soil to such an extent that penetration tests will indicate erroneously
low blow counts and increase the moisture contents of the soil. Thus, results from
auger borings below the water table may not be meaningful. In granular soils, even
above the water table, loading the soil by the blades of a hollow stem auger may
cause higher blow counts in the penetrometer test than would be measured in other
types of borings (Peck, R. B., personal communication).
If wet boring procedures are used, the fluid level in the borehole should be kept
continuously above the ground-water table. Frequently, the fluid level in the boring
will drop while pulling the drill rods preparatory to sampling. This will cause soil
disturbance and erroneously low blow counts. To avoid this, drill rods should be
pulled slowly while water is added. The water level should be monitored to be sure it
is kept high at all times.
If very dense gravelly soils or soils containing many cobbles or boulders are
encountered, the use of percussion drills, such as the Becker, or cable tool well
drilling equipment may be necessary. Sampling of such soils is usually limited to
rough classification using large diameter heavy wall drive samplers. Even then, the
larger soil particles may have been broken for several inches to 1 ft(O3 m) or more
below the bottom of the hole by the action of the drill and thus be misleading as to
grain size. Finer grained soils interbedded with the coarser materials usually can be
sampled if of sufficient thickness to be identified.
Discharge ports in the bit used for advancing the hole should be arranged to
prevent jetting of the material below the bit. Usually, samples are taken at every
identified change of material and at some set interval in each stratum. The bottom of
the hole should be washed clean of loosened material or cuttings that may tend to
settle out of suspension before taking each sample. Use of drilling mud rather than
water as a drilling fluid usually will facilitate removing the cuttings.
Whether or not samples recovered from boreholes are sufficiently undisturbed to
be suitable for laboratory testing for strength and deformation, will depend on the
character of the material, the design of the sampler, and the care exercised during the
sampling operation. If the samples are disturbed, dependence must be placed on
other or indirect tests for estimating the strength and deformation characteristics of
the foundation soils. The sampler should be so designed that the various soil strata are
recovered in essentially the same condition as existed in the ground without loss of
any fraction of the soil. Observing material brought up in the wash water or on the
flukes of an auger may be useful in detecting changes of soil stratification, especially
when working in an area of known geologic or soil condition. This procedure is
helpful in deciding where to take samples, but should not be depended upon for
establishing foundation criteria.
Boring operations should be carried out by competent drillers using proper and
well-maintained equipment. Depending on drillers for logging may be risky.
Competent technically trained personnel should be used.
Commonly, either undisturbed or disturbed samples are taken at intervals
of aprox 5 ft (1.5 m). Since with the standard split spoon sampler up to 18 in.
(460 mm) of soil are usually recovered, this results in up to 30% of the soil column
being available for examination. With trained personnel logging the boring and in
relatively uniform soils, this rate of sampling is often sufficient, although closer
sampling may be advisable if soils vary markedly or are relatively thinly bedded.
About 6 in. (150 mm) of each sample should be sealed in an airtight container and
sent to the soils laboratory for classification and moisture content determination.
In past years when borings were advanced by hand, experienced drillers were
sometimes able to detect contacts between dissimilar strata. Now that almost all
drilling is done with mechanically powered equipment, the detection of contacts
by drillers feel is not easy or certain. It may be apparent from the action of the
drill where significant differences are encountered or from the appearance of
different soils in the wash water; however, logging from such indications must be
done carefully because the soil reaching the surface is usually delayed by several
minutes or longer from the time the soil is encountered due to the rate at which the
wash water comes to the surface. Consequently, such changes, unless they are quite
marked such as going from clay to coarse gravel, are often not well defined by the
borings. In soil masses where the individual strata are relatively thin, as is frequently
the case in estuarine or fluvial deposits, intermittent sampling may give misleading
results. In such deposits, continuous sampling may be advisable in all or in a
sufficient number of holes so as to define the extent, character, and relations
between the soil strata. Alternatively, continuous cone penetrometer tests may be
used to supplement the borings. These frequently furnish excellent definition of
contacts.
Undisturbed Samples.Equipment and procedures for obtaining undisturbed
samples of cohesive or semicohesive soils of a quality suitable for quantitative
testing of strength and deformation characteristics have been given by Hvorslev (7).
Briefly, taking undisturbed samples requires use of a thin-walled sampler and tip
with proper clearance at the cutting edge. Such samplers are frequently provided
with an internal piston that helps minimize disturbance when sampling most soils.
PART TWO 15
The sampler should have an area ratio as defined by Hvorslev not exceeding 10%.
Sample diameter should be 3 in. (76 mm) or larger. To meet this requirement, the
wall thickness plus relief of the cutting edge of the sampler should not exceed 0.075
in. (1.9 mm) for a 3-in. (76-mm) diam sample. The sampler must be forced into the
soil smoothly and continuously. Using a thick-walled sampler or taking samples by
hammering the sampler into the soil by a falling weight usually causes a disturbance
that precludes quantitative tests of density, strength, permeability, or deformation.
To obtain better quality samples in hard or dense soils that tend to deform a
conventional thin-walled sampler, samplers have been developed, such as the
Denison or Pitcher samplers, in which a thin-walled nonrotating inner sampler barrel
is forced into the soil mass while the soil surrounding the barrel is removed by a
rotating toothed outer barrel. Good quality samples in difficult soils often can be
obtained with such equipment. These types of samplers may or may not be successful
in gravelly soils. Otherwise, test pits or large diameter auger holes may be used to
permit taking undisturbed samples. Lowering the ground-water table by wells or well
points may be necessary.
The Swedish foil sampler is frequently used for sampling soft sensitive clays. In
this sampler, the sample is encapsulated by thin metal strips that minimize friction
between the sampler and the sampler tubes. This type sampler should not be used
in soils having unconfined compressive strengths of more than 1 tsf (96 kN/m2),
or which contain granular fragments or shells. It is a highly specialized type of
equipment. Care and experience are necessary on the part of the drilling crew if
satisfactory results are to be obtained.
In most cohesive or semicohesive soils of soft to stiff consistency, samples of a
quality suitable for quantitative testing can be obtained using thin-walled tube
samplers, usually referred to as Shelby tube samplers, of about 3 in. (76 mm) or
larger diameter provided there is a proper cutting edge and low area ratio as shown
in Fig. 1. Preferably, an internal piston type should be used that will reduce the
tendency of the sample to swell as it enters the sampler.
Disturbed Samples.Thick-walled samples may be used for obtaining samples
suitable for identification and index property tests. The barrels of such samplers may
be solid tubes or of the split barrel type, the latter making removal and examination
of samples simple.
Samplers of this type range from 2 in. (51 mm) to 4-1/2 in. (110 mm) OD. They
may be used to recover dry samples in practically all soils, although there may be
difficulties in retaining coarse gravels or rock fragments. Sample retainers may or
may not work in coarse-grained soils.
The equipment and procedures for making standard dry sample borings with
thick-walled samplers are covered in ASTM D1586. A 2-in. (51-mm) OD by L375-in.
(35-mm) ID sampler is used. It is driven by a 140-lb (64-kg) weight falling 30 in. (760
mm), and the number of blows required to drive the sampler into the ground for
12 in. (300 mm) is referred to as the Standard Penetration Test. In this test, the
sampler should be driven 6 in. (150 mm) and the blows required for the next 12 in,
(300 mm) recorded. It is preferable that the blows for each 6 in. (150 mm) be
recorded since this furnishes additional data for interpreting the results. Samples
usually are taken at intervals not more than 5 ft (1.5 m) apart, and at every change
in stratification where such change can be detected by the driller.
The Standard Penetration Test is frequently used as a measure of relative density
of sands or other noncohesive soils, and in the past as a measure of the shear
STEP I
STEP 2
NOTE:
CLEARANCE REQUIRED FOR CUTTING EDGE.
FIG. 1.-Shelby Tube Sampler
strengths of cohesive soils. Use of the Standard Penetration Test for determining
shear strength of cohesive soils is not recommended. Relatively undisturbed samples
can be taken quite inexpensively, and the shear strength quickly determined from
unconfined compression tests.
A number of the factors that can affect the results of the penetration test are
discussed subsequently and should be borne in mind in evaluating soils on the basis
of the penetration test results. In granular soils, as the depth increases, the weight of
the overburden increases and also the number of blows to drive the sampler for the
same relative density. Fig. 2 incorporates approximate relations for correcting the
Standard Penetration Test for depth for borings in noncohesive soils. It will also be
noted that a distinction is made between sands and sands with gravels. Although this
or similar relations are used, they are not a standard of the ASTML
After cleaning the hole, the sampler mounted on a suitable drill rod is lowered to
the bottom, seated, and then driven into the soil. Experience and some test data
indicate that either a 1-in. (25-mm) extra heavy pipe or an N rod be used to depths
of about 60 ft (18 m). Below this depth an N rod should be used and may be used
for the shallower depths if desired. Care should be taken to make joints up tight on
the drill rod. Any lengths of rod having damaged couplings, or which are bent,
should not be used. The drill hole in which penetration tests are to be made should
not exceed about 3.5 in. (90 mm) in diameter. Larger drill holes significantly affect
the results. The most common sources or error are not maintaining the sampler
PART TWO 17
shoe in good condition and properly sharpened, and not dropping the ram freely
the required distance for a full square blow. Usually, the ram is hoisted by a rope to a
cathead and dropped by slacking the rope. Preferably one, and not more than two
turns, should be used on the cathead. If the driller snubs the rope slightly he can
greatly increase the number of blows. Occasionally, wire lines fixed to drums are
proposed. These will result in even higher blow counts and should not be used.
The results are sensitive to gravel and the test may not be dependable in soils that
include gravel. Larger diameter penetrometers have been developed for use in
gravelly materials and are discussed in a subsequent section on field tests.
Core Borings in Rock.Frequently, determination of the character and condition
of rock by means of core boring methods is necessary, especially where foundations
will be carried to or into the rock, as by deep piling or caissons.
Where investigation of the bedrock is made, pertinent data desirable to be
developed include: (1) Elevation of the rock surface and variation over the site; (2)
rock type or types and hardness; (3) permeability; (4) definitions of weathering
pattern, depth, and character of weathering (including alteration of mineral
constituents and evidence of slabby conditions in stratified rock); (5) if practicable,
presence of solution channels in soluble rocks such as limestones; (6) discontinuities
such as bedding planes, faults, and joints, to the extent practicable; (7) folds and
structural attitudes; and (8) foliation or cleavage.
Identification and classification of rock types for engineering purposes may
generally be limited to broad basic classes in accordance with accepted geological
standards. Strength of intact rock may be determined from uniaxial compression
tests. Strengths so determined, however, are of limited value, because overall
strength, deformation characteristics, and permeability of the mass of rock are
determined principally by the character, spacing, and distribution of discontinuities
of the rock mass, such as the joints, bedding planes, faults, and weathered seams.
Locating and evaluating the effects of such discontinuities require carefully planned
and executed investigations made by experienced well-equipped drillers under the
guidance of a competent specialist in the field.
Other significant factors affecting behavior of rock as a foundation material
include weathering and hardness. There are no generally accepted criteria for these.
The Rock Quality Designator (RQD) as defined by Deere (4) may be used for core
borings as an indication of effects of discontinuities. Table 2 shows recommended
descriptions of weathering, hardness, and RQD that will serve as a framework for
classifying rocks for engineering purposes. Note that if RQD is to be determined,
double-tube N size core barrels 3-in. (76~mm) nominal OD with nonrotating inner
barrels should be used. Further, RQD is not applicable to fissile rocks such as shales.
Slabby weathering is frequently encountered in stratified rocks such as shales,
slates, or limestones, and may be encountered in other types of rock. In such
weathering, these thin slabs of rock may be left surrounded by a matrix of soft
residual soils. Such conditions may dictate certain methods of founding or
preclude others. Accordingly, determining the depth of such weathering, the
thickness of the rock slabs, the properties of the residual soils, and the permeability of
the weathered rock zone may be important.
Various techniques and equipment have been developed in recent years for
measuring residual stresses in rock masses and for establishing, at least
approximately, bulk, shear, and elastic moduli of rock masses. These require
specialized equipment and procedures that are outside the scope of this manual.
Approxima-
PART TWO 19
tions of permeability can be made in core borings by inflow tests during boring
operations.
The drillers should be instructed to proceed with care to achieve maximum
possible recovery. Drillers should also be instructed to pull the core whenever they
feel a blockage or other indication of poor core recovery or of grinding.
Strength and behavior of rock masses are controlled largely by the discontinuities
within the mass such as joints, faults, and weathered zones. The material that
is not recovered is frequently significant in deciding upon proper design.
Examination of the walls of the hole by borehole cameras or closed circuit television
may be useful The time required to drill each foot, total recovery, physical
condition, length of pieces of core, joints, weathering, and evidence of disturbance,
or other effects should be noted on the drilling log. Any comments by the driller
with regard to the character of the drilling and difficulties that he may have
encountered should be included.
The N size drills with nonrotating inner barrels usually will give good recovery if
carefully used. Where massive rocks such as unweathered granite are encountered,
good recoveries may be obtained with smaller diameter drills, such as B and A sizes.
Stepping down to these smaller sizes may be necessary when in boulder areas or in
areas of deep weathering.
Cores should be placed in properly constructed wooden or metal core boxes in the
order in which they are taken, the top and bottom of each run clearly marked and
any voids, losses of core, or pieces of core removed for testing marked by red-
painted wooden spacers of length equal to the amount lost or removed. Core boxes
should be clearly marked in paint showing hole numbers and depths included in each
box on the top and one end. Core from more than one single boring should not be
placed in the same core box to avoid confusion or errors. Lids should be securely
fastened with hinges or with screws. Nailing on of lids is not desirable. Cores should
be carefully stored out of the weather and where they will not be subject to
disturbance or tampering.
MEASUREMENT OF GROUND-W ATER LEVELS
Determination of ground-water levels may or may not be necessary depending on

conditions, the type of structure, depth of excavation, and problems that may be
expected relative to adjoining structures. Simple slotted pipe piezometers set in sand
frequently are adequate. A better design is commercial wellponts with No. 20 slot or
No. 60 screen surrounded by concrete fine aggregate. Observations should extend
over enough time to determine that the water level in the piezometer has stabilized.
Ground-water levels may vary significantly over the year, and from year to year.
Observations over periods sufficiently long to include one or more such cycles may
be desirable and records or presentations should clearly indicate limitations.
Observations of the ground-water level in borings, even if left to stabilize for several
days, cannot be depended upon except in very pervious soils. It is desirable,
however, to note where ground water was first encountered and record the water
level in each boring every morning before starting work for that day.
If more than one aquifer is present within depths significant to the project,
piezometers should be set to each aquifer and isolated from other aquifers by
suitable impervious seals. Sometimes, different piezometric levels will exist in the
several aquifers. If deep excavations requiring dewatering are required, the piezo-
TABLE 2.Description of Rock Properties8
(a) Weathering
Fresh Rock fresh, crystals bright, few joints may show slight stain-
ing. Rock rings under hammer if crystalline.
Very slight Rock generally fresh, joints stained, some joints may show
thin clay coatings, crystals in broken face show bright. Rock
rings under hammer if crystalline.
Slight Rock generally fresh, joints stained, and discoloration extends
into rock up to 1 in. Joints may contain clay. In granitoid
rocks some occasional feldspar crystals are dull and
discolored. Crystalline rocks ring under hammer.
Moderate Significant portions of rock show discoloration and weather-
ing effects. In granitoid rocks, most feldspars are dull and
discolored; some show clayey. Rock has dull sound under
* hammer and shows significant loss of strength as compared
with fresh rock.
Moderately severe All rock except quartz discolored or stained. In granitoid
rocks, all feldspars dull and discolored and majority show
kaolinization. Rock shows severe loss of strength and can be
excavated with geologists pick. Rock goes clunk when
struck.
Severe All rock except quartz discolored or stained. Rock fabric
clear and evident, but reduced in strength to strong soil. In
granitoid rocks, all feldspars kaolinized to some extent. Some
fragments of strong rock usually left.
Very severe All rock except quartz discolored or stained. Rock fabric
discernible, but mass effectively reduced to soil with only
fragments of strong rock remaining.
Complete Rock reduced to soil. Rock fabric not discernible or
discernible only in small scattered locations. Quartz may be
present as dikes or stringers.
(b) Hardness (for engineering description of rocknot to be confused with Mohs
scale for minerals)
Very hard Cannot be scratched with knife or sharp pick. Breaking of
hand specimens requires several hard blows of geologists pick.
Hard Can be scratched with knife or pick only with difficulty. Hard
blow of hammer required to detach hand specimen.
Moderately hard Can be scratched with knife or pick. Gouges or grooves to 1/4
in. deep can be excavated by hard blow of point of a
geologists pick. Hand specimens can be detached by moderate
blow.
PART TWO 21
TABLE 2.Continued
Medium Can be grooved or gouged 1/16 in. deep by firm pressure on

knife or pick point. Can be excavated in small chips to pieces
about 1-in. maximum size by hard blows of the point of a
geologists pick.
Soft Can be gouged or grooved readily with knife or pick point.
Can be excavated in chips to pieces several inches in size by
moderate blows of a pick point. Small thin pieces can be
broken by finger pressure.
Very soft Can be carved with knife. Can be excavated readily with point
of pick. Pieces 1-in. or more in thickness can be broken with
finger pressure. Can be scratched readily by fingernail.
(c) Joint Bedding and Foliation Spacing in Rockb
Spacing Joints Bedding and foliation (3)
Less than 2 in. Very close Very thin
2in.~lft Close Thin
1 ft~3 ft Moderately close Medium
3 ft10 ft Wide Thick
More than 10 ft Very wide Very thick
(d) Rock Quality Designator (RQD)C (4)
RQD, as a percentage Diagnostic description
Exceeding 90 Excellent
90-75 Good
75-50 Fair
50-25 Poor
Less than 25 Very poor
a
For specific projects involving only a limited number of rock types, subdivision
of major groupings may be desirable. Numerical or alphabetical subscripts may be
used to identify such subdivisions.
b
Joint spacing refers to the distance normal to the plane of the joints of a single
system or set of joints that are parallel to each other or nearly so. The spacing
of each set should be described, if possible to establish.
c
RQD should always be given as a percentage. Diagnostic description is intended
primarily for evaluating problems with tunnels or excavations in rock,
RQD = 100 (length of core in pieces 4 in. and longer/length of run) (1 in. = 25.4
mm; 1 ft = 0.305m).
metric levels in all aquifers should be determined to a depth of at least 1.5 times the
depth of the lowest excavation below the highest ground-water level observed. If
there is reason to suspect artesian pressures above the ground surface, investigations
should be extended even deeper.
The data, time, and duration of peizometric observations should always be
recorded. Procedures for making pumping tests in wells to determine permeabilities
for design of dewatering systems follow in a subsequent section.
CHEMICAL PROPERTIES
When pertinent, samples of soil and ground water should be submitted to

laboratories for chemical analyses to determine whether deleterious materials are
present. Sulfates or sulfides that will attack concrete, or acids or salts that would
accelerate corrosion of buried steel structures are of special concern. If an extensive
or long duration dewatering program is necessary, tests made of the ground water
will indicate possible encrustation of well screens or whether severe corrosion of
certain types of well screens may occur.
TEST PITS
Test pits or trenches, because of their expense, are usually limited to relatively
shallow depths, although it is feasible by means of suitable sheeting, and if
necessary, dewatering, to extend test pits to substantial depths. These are among the
most dependable and valuable of investigational methods, because at their location,
they permit a detailed examination of the entire soil column to the depth they are
carried. As excavation progresses large undisturbed samples of excellent quality may
be recovered from such pits of all types of soil and weathered rock. Test pits are
especially useful where severely weathered conditions at the rock surface are
anticipated, or where there has been extensive solution of the rock, as in limestone
regions. They permit a detailed examination and evaluation of conditions that may
be encountered at the soil-rock interface.
Test pits may be excavated by hand or by machine, such as a back hoe.
Frequently, large diameter augers are used for excavating test pits. Where soils are
impervious and free of sand seams, or where ground-water levels are low, such auger
drilled test pits can be extended to considerable depths.
LABORATORY TESTING
Laboratory testing provides the basic data on which to classify and quantitatively
assess the engineering properties of soils. The amount of laboratory testing required
for foundation design, however, will vary significantly from one project to another
depending on whether the foundation soils within a given geographic area have been
adequately defined by previous explorations, the character of the soils, and the
requirements of the structure. The following presentation regarding the types and
methods of laboratory tests has been included herein only for reference purposes.
Only occasionally will all of these tests be necessary for a given foundation
exploration. The decision regarding the type and number of laboratory tests to be
performed for any particular project should be based on the complexity of the
subsoil conditions, magnitude and distribution of foundation loads, importance of
differential settlement, and local experience. Laboratory tests should be carefully
PART TWO 23
performed following the proper testing procedures for the soil involved and the
information desired. Test results are no better than the samples on which they are
performed, or the care used in performing them.
Testing of undisturbed samples requires care in taking, transporting, storing, and
preparing specimens if satisfactory results are to be obtained. Relatively few
carefully conducted tests on specimens selected to cover the range of soil
properties with the results correlated by classification tests, such as Atterberg
Limits and moisture contents, will generally give good usable data.
Laboratory tests of soils may be grouped broadly into two general classes:
1. Classification tests that may be run on either disturbed or undisturbed samples.

2. Quantitative tests for shear strength, compressibility, or permeability. These
tests are generally run on undisturbed samples except when testing materials to be
placed as controlled fills or materials that do not have a critical soil structure and
for which representative samples can be fabricated. In these cases, tests may be run
on specimens compacted in the laboratory. Procedures for these tests are given
generally by ASTM and by American Association of State Highway and Transpor
tation Officials.
The more commonly used tests in these two categories include:
I. Classification tests
A. Specific gravityto determine the specific gravity of soil particles.
B. Mechanical analysisto determine the grain size distribution of the soil
particles.
C. Atterberg Limitsto determine the plasticity of cohesive soils.
D. Moisture contentto establish the absorbed moisture content of the soils
based on dry weight of soil.
E. Petrographic examinationidentification of various minerals present in
soils. (This test may be used in geological studies, for soil correlation, or
to determine if deleterious or expansive materials are present.)
F. Loss on ignitionto determine the organic content of soil since such
material influences compressibility and other physical properties.
II. Quantitative tests
A. Compaction testto determine the moisture-density relation for specific
compaction procedures. This test may be used for field control in placing
compacted fills or for preparing samples for further tests.
B. Consolidation testto determine time dependent compressibility charac
teristics of cohesive soils (usually conducted as a uniaxial test with
restraint of lateral deformation).
C. Permeability testto determine time rate of flow of water through the
soil. These tests may be made by one of several different procedures
depending on the range of permeability of the soil being tested.
D. Unconfined compression testto determined the quick (apparent) shear
strength of clay soils. The stress-strain curve obtained from this test may
be used to estimate the character of failure of soil masses under shear
loading. The ratio of strength in the undisturbed state to that when
thoroughly remolded at the same moisture content is the measure of sensi
tivity of the soil.
E. Direct shear testto determine the shear strength of noncohesive or
slightly cohesive soil. This test may be performed on undisturbed samples
or laboratory compacted samples both of which are typically loaded by a
uniaxial stress acting normal to a predetermined failure plane. The test
sample, which may or may not be saturated dependent upon the actual
field conditions, is confined in a shear box and then sheared by displacing
one-half of the sample relative to the other in a horizontal direction. Tests
are usually run on three samples at different normal pressures, and the
results expressed in terms of maximum or ultimate shear strength versus the
corresponding applied normal stress.
F. Triaxial testssophisticated interrelated series of tests for determining
shear strength of cohesive or noncohesive soils. A sample, usually cylin
drical, encased in an impervious flexible membrane is placed in a pressure
chamber and sheared by changing the stress on one axis. Sample height
should be approximately twice its diameter. For a complete description, see
Ref. 2. The rate of stress increase may be either in time dependent stress
increments or in strain dependent stress increments. The ultimate strength
developed and stress-strain relations are materially affected by the proce
dures used since these affect pore pressures developed within the sample.
Results may be expressed in terms of total stresses, ignoring such pore
pressures, or in terms of effective stresses if pore pressures have been
measured or if the test procedure has been such as to ensure essentially
complete dissipation of pore pressures in each stage. Tests are usually run
on at least three identical samples at different chamber pressures, and the
results are expressed in terms of an initial shear strength or cohesion and an
angle of internal friction.
Samples may be either undisturbed or laboratory prepared. Tests may be
run at natural or compacted moisture contents or may be completely
saturated as appropriate. The samplemay be sheared without consolidating
(U), or may be consolidated either by uniform pressure, i.e.,isotropic
pressure (I), or by anisotropic loading (A). The specimen may be either
drained (D), or undraned during testing (U) (12).
Tests may be run on either cohesive or noncohesive soils. With noncohesive
soils, i.e., sands or sands and gravel, drainage is usually permitted and the
test run such that pore pressures do not change. Accordingly, in such tests,
intergranular friction is unaffected by pore pressures and a true angle of
internal friction is obtained.
In cohesive soils or semicohesive soils, pore pressures that develop from
shearing strain or consolidation cannot dissipate quickly. To obtain a true
angle of internal friction, the test must be run at a very slow rate using
small load increments and permitting pore pressures for each increment to
PART TWO 25
dissipate before the next load increment is placed (slow test) or drainage
may be prevented and pore pressures measured. The effective stresses are
then computed from the total stresses and measured pore pressures.
In cohesive soils, the most dependable results are obtained using back
pressure techniques to ensure complete saturation.
If drainage is prevented or the test is run quickly so that significant
drainage does not occur and pore pressures are not measured, the
undrained or quick shear strength will be obtained. The magnitude of
such shear strengths will be dependent upon the preconsolidation of the
material either in its natural state or by consolidating it in the test chamber
before shearing it.
Triaxial tests may, therefore, be grouped as follows:
1. Unconsolidated-undrained (UU)Quick shear strength is deter
mined from total stress. Since there is no consolidation in the pressure
chamber, all chamber pressures should give the same strength. The
UU or quick shear strength theoretically should be the same as that
obtained from the unconfined compression test. Frequently, this test
is used rather than unconfined compression tests because it obviates
difficulties with silt or fine sand lenses that may be found in some
clays.
2. Consolidated-undraned (CU)Samples are consolidated at various
chamber pressures until pore pressures from consolidation are dissi
pated and then sheared quickly without further drainage. Only total
stresses are measured. Samples consolidated at higher chamber
pressures show higher shear strengths indicating an apparent angle
of internal friction which is usually slightly less than half the true angle
of internal friction.
3. Consolidated-undrained with pore pressures measured (CIU or CAU)
Samples are consolidated either isotropically or anisotropically until
consolidation pore pressures are dissipated and the sample then
sheared. To obtain satisfactory results, the rate ofshearng strain must
be sufficiently slow as to ensure uniform distribution of pore pressure
within the sample and the means of measuring pore pressures must
prevent any drainage. By considering pore pressures, as measured
throughout the test, effective stresses may be computed and thus the
true angle of internal friction and the true initial cohesion obtained.
4. Consolidated-drained (Slow or CID or CAD tests)Samples are
consolidated either isotropically or anisotropically and then sheared
by load increments sufficiently small and applied at sufficient time
intervals that no significant pore pressures develop. For most granular
noncohesive soils, permeabilities are sufficiently large that these condi
tions can be achieved in tests lasting only a few minutes and, accord
ingly, this is the type test normally run on noncohesive materials. For
fine-grained soils, especially clays, the test is very time consuming and
requires extreme care to prevent outside disturbances that will affect
the results, such as leakage of chamber fluid into the sample or
excessive friction or binding developing in the loading system.
Effective stresses are measured directly giving true angle of internal
friction and initial cohesion.
G. Dynamic testsThese are extremely sophisticated tests used to measure
dynamic response or the effects on the soil of repeated loading such as its
susceptibility to liquefaction. Tests are most commonly run on recom-
pacted specimens. These tests are not commonly required for buildings.
1. Torsion testa cylinder of soil contained within a pressure chamber
is cyclically loaded in torsion in order to measure shear modulus and
internal damping. The sample may be either a solid or hollow cylinder.
Using a hollow cylinder with relatively thin walls gives uniform shear
stresses throughout.
2. Dynamic triaxiala cylindrical sample enclosed in a triaxial chamber
is loaded cyclically by a push-pull axial load of constant magnitude
so chosen as to obtain a specific alternation of shear stresses. Drainage
is prevented and pore pressures measured.
3. Dynamic direct shearthe sample is placed in a shear box specially
designed to prevent drainage and permit measuring pore pressures. It
is then loaded in shear cyclically first in one direction and then the
other. Specified normal stresses on the plane of shear are maintained
and pore pressures measured during the test.
Techniques for dynamic testing are in a state of development. Consequently, they

are changing rather rapidly and various investigators may use different techniques.
Before undertaking dynamic tests, recent literature should be reviewed and the
assistance of a competent expert in the field sought.
FIELD TESTS
In-situ tests in which the in-place material or foundation element is tested directly
are valuable in many cases, furnishing data not otherwise available. Several of the
more commonly used procedures are discussed in the following sections.
Penetrometer Tests.Penetrometer tests are made by driving or pushing a
suitable device into the soil and measuring the energy or load required to move it
through a specified distance. The technique most commonly used in the United
States is the Standard Penetration Test (ASTM D1586) which has been discussed
previously. A cone type penetrometer in which first the point is advanced and then a
sleeve above the point advanced has been developed in Holland. It is extensively used
there and in other parts of Europe for determining relative density of sand but is
limited to sands of low to moderate density. Because a continuous record is
obtained, it is useful for identifying contacts between soils of various types and
density. This device is available to a limited extent in the United States.
Larger diameter thick-walled samplers or larger simple cones driven by heavy
hammers have been used with success in coarse-grained soils including gravel to 1.5
in. (38 mm) or larger. Correlation of results obtained with results of standard
penetrometer tests on soils where both are usable usually will provide a means of
PART TWO 27
interpreting data obtained. A simple large diameter cone penetrometer for

coarsegrained soils has been described by Peck (11). Such data as are available
indicate a one-for-one correlation with Standard Penetration Test results. This
device can be used to depths of about 30 ft-40 ft (9m~12m).
Soil samples are not recovered with cone penetrometers. The use of such devices
alone without borings to determine soil types present is generally undesirable.
Combined with borings, they provide additional information and can be used to
extend or supplement the boring data, frequently at some saving.
Sangerlat (13) has discussed penetration tests in detail and should be referred to
for other procedures and a more definitive evaluation.
Vane Shear Tests.The in-situ shear strength of soft to medium clays can be
measured by pushing a small four-bladed vane attached to the end of a rod into the
undisturbed clay below the bottom of a boring and then measuring the torque
necessary for, rotation. The maximum torque is very nearly equal to the moment
developed by the shear strength of the clay acting over the surface of a cylinder, with
a radius and height equal to that of the vanes.
Apparatus and procedures for conducting vane tests are described in detail in
Ref. 15. The vane test is best adapted to clays having an unconfined compressive
strength of less than 1 tsf (96 kN/m2). It is particularly useful in the measurement of
strength of deep beds of soft sensitive clays. The test is not suitable for use in soil
deposits containing sand layers, gravel or shells, or roots and other organic material.
The vane test should be combined with sampling for identification of the soil.
Correlation with unconfined compression tests or triaxial tests is desirable.
In-Situ Permeability Tests.Crude measurement of in-situ permeability can be
obtained by pumping water into or out of a boring while it is in progress provided
drilling mud has not been used. Procedures and sample calculations are outlined in
the Earth Manual of the Bureau of Reclamation or in Ref. 8. Results obtained with
such procedures are of limited dependability and quantitative values may be off by
an order of magnitude or more (factor of 10 times).
Where a known piezometric gradient exists in aquifers which can reasonably be
defined and identified, the rate of movement of ground water may be measured by
injecting an identifiable substance at one location and determining the time
necessary for it to appear at various observation points. Dye, radioactive tracers, and
salts have been used for this purpose. The procedure is most useful in extremely
pervious materials and in tracing flow in solution channels. The rate of movement in
even medium sands is so slow that it usually makes the procedure impracticable in
such sands or finer soils.
The permeability of a pervious aquifer can be obtained by making a pumping
test on a well installed with a screen that, preferably, fully penetrates the aquifer to
be tested. To obtain reliable test data, the well should be constructed, developed,
and pumped in accordance with good well practice. The drawdown in the aquifer
should be measured in piezometers located at various distances from the test well.
The test well should be provided with a low loss well screen and filter gravel pack or a
filter developed by surging and pumping the test well. The well should be of a
diameter sufficient to permit installing a pump of adequate capacity to ensure
developing a reasonable drawdown. In medium to fine sands, an 8-in. (200-mm)
dam screen and pump with a capacity of at least 500 gai/mn (2 mVmin) should be
considered. In highly pervious deposits, a pump capacity of several times this
capacity may be required. At least three and preferably more piezometers should be
installed at distances of about 10 ft (3 m), 25 ft (8 m), and 75 ft (23 m) from the well,
depending on penetration of the well screen into the aquifer and depth of the
aquifer. Using five or six piezometers distributed along two lines perpendicular to
each other passing through the well is preferred. The discharge from the pump can
be measured with an orifice, flowmeter, or weir. The discharge should be disposed of
at such distance and in such a manner as not to affect the well being tested.
The well should be pumped at two and preferably three rates. Pumping should
continue at any given rate until reasonably steady conditions have been achieved,
which usually can be accomplished in 24 hr-48 hr. Water levels in the several
piezometers should be determined before starting pumping and at intervals of about
1 hr thereafter. When pumping is stopped, readings should continue in the well and in
the various piezometers to determine the rate of recovery.
Computations of permeability may be made from commonly used well formulas
(9), consideration being given to whether the well is an artesian or open aquifer,
and whether a steady state of flow was achieved.
Determination of permeability by well tests or ground-water movement by
injection are not commonly required, but may be desirable where dewatering of
deep excavations are considered, or where dewatering or drainage to a deep
excavation could affect other structures.
Pile Load Tests.In pile load tests, one or more piles are loaded to a load in
excess of the design load and the movement while under load and after load removal,
recorded. The basic purpose is to determine whether the pile can safely deliver its
load to the bearing stratum into which it is driven. Piles may be loaded by dead
load or by jacks reacting against dead load or tension piles. Tension piles, if used,
should be spaced at least eight pile diameters from the pile being tested. Procedures
for making tests are given in ASTM D-l 143. Piles may be loaded singly or in groups.
In making tests, however, it is desirable, if possible, to drive at least three piles and
then load test the pile or piles showing the least satisfactory driving characteristics.
Pile tests do not provide information on long-term settlements, nor can the
movement recorded at the head of a single test pile be used to estimate settlement of
a large group of piles except when the pile is end bearing on rock. In evaluating test
results, it is necessary to consider the extent to which temporary support in soil above
the bearing stratum may have reduced the load actually delivered by the pile to the
bearing stratum. If soils above the bearing stratum are relatively shallow and soft or
loose, carrying the load on the test piles to 2.0-2.5 times design load usually will
give assurance that the bearing stratum can support the piles at working loads
without local failure, provided movements under these loads are small and there is
only limited residual movement after removing the load. If the soils above the
bearing stratum are deep, or if they contain one or more strata of strong resistant
soils, provision should be made to minimize friction or shear between the pile and
these soils by preboring or using temporary casing around the pile to isolate it from
soils above the bearing stratum. The pile should be instrumented to determine the
load at the bearing stratum. Tests on instrumented H-piles driven to refusal on rock
through soft clay have shown less than 50% of the test load was delivered to the tip
of the piles.
In some areas, friction piles driven into soils such as medium clays without a well-
defined bearing stratum are used in order to reduce settlement by delivering the
loads to deeper lying materials. This technique is useful for small loaded areas, such
as bridge piers. There may be little advantage with friction piles for large areas, since
PART TWO 29
the reduction in overall settlement may be quite small. The objective in load testing
friction piles again is to determine the safe load at which the pile will not move
relative to the soil.
Cohesive soils compress more under the center than along the edges of a loaded
area. Consequently, with relatively rigid pile caps, the outer piles actually carry
more load each than do piles near the center. This group effect is significant for piles
in clay and should be considered. In some cases, testing of an entire pile group may
be desirable.
Evaluation of the results of pile tests requires judgment and experience. Many
building codes contain specific criteria that govern if the structure is located within
their jurisdiction. Plotting of the load movement curve will indicate whether
movement at the pile head remains approximately linear with load to the
maximum reached, or begins to increase rapidly with load. If such an increase in the
rate of movement is noted, working pile loads should be limited, usually to about
one-half of the value at which the increased rate of movement becomes apparent.
Care should be taken to minimize resistance between the pile and soils above the
bearing stratum if this procedure is used. Comparison of the movement at the pile
head with the elastic shortening of the pile will afford some insight into movement
of the pile relative to the soil and the load delivered to the tip. The elastic
shortening can be measured by using a telltale extending to the pile tip. Residual
movements at the pile head after removal of load of less than about 0.3 in./100 tons
of test load (0.009 mm/kN) applied, are usually indicative of satisfactory results.
Values of residual movement of 0.3 in./100 tons-0.5 in./100 tons of load (0.009
mm/kN~0.014 mm/kN) applied should be considered with caution. Residual
movements in excess of 0.5 n./100 tons (0.014 mm/kN) of load are usually
excessive.
In making pile load tests, measuring devices should be capable of recording
movements of 0.001 in. (0.025 mm). This can be done using extensometers. These
should be supported in such a manner as not to be disturbed by the testing operations
or by soil deflections close to the pile. They should be checked from time to time
against a remote bench mark. Supporting devices should be of a character and so
arranged as not to deflect or distort significantly with temperature changes. Loads
imposed should be determined with reasonable accuracy. This may be done using
load measuring devices, by hydraulic jacks, or by balancing a known dead load on
the pile or piles. Hydraulic jacks and their gages, if used, should be calibrated
and certified immediately prior to use.
Soil Load Tests (Plate Bearing Tests).The direct soil load test may be used to
determine adequacy of footings against localized shearing failures and data on
immediate or initial deformation characteristics of the soil, provided the test area
reasonably approximates the size and founding conditions of the actual footings. By
conducting several tests of various sizes and depths, the coefficient of subgrade
reaction can be approximated. The test does not afford information on long-term
settlements, especially those due to consolidation of underlying compressible soils.
The depth of influence for a load on a rectangular, round , or square plate
is from one to two times its minimum dimension. The test procedure is not
recommended for general applications because of this limitation and the possibility
of serious deviations between the results of tests and the behavior of structures,
especially when small test areas are used. Direct soil load tests, if used, should be
done under the direction of experts thoroughly conversant with foundation
behavior.
Borehole Surveys,Cavernous conditions or severe platelike weathering in
laminated rocks may pose especially difficult problems for foundations. Borehole
caliper surveys that show where enlargement of the borehole has occurred will assist
in locating such areas. Downhole photography using still pictures or television with
video recording can be quite helpful in evaluating such problems.
Special Tests in Rock.A number of special tests have been developed in the past
few years for evaluating strength, deformation characteristics, and residual stresses
in rock in place. Such tests require use of specialized equipment and procedures, and
should be done only under the guidance of experts in this field (10, 16). Such tests
are not normally required or used for foundations of buildings.
REFERENCES
1. Abstracts of North American Geology, United States Geological Survey, Department

of the Interior, Superintendent of Documents, Washington, D.C.
2. Bishop, A. W., and Henkel, D. J., The Measurement of Soil Properties in the Taxial
Test, 2nded., Edward Arnold, Ltd., London, England,1962.
3. Deere, D. U., Technical Description of Rock Cores for Engineering Purposes/
* Felsmechanik undngeniergeologie, Vol. 1, No. 1, 1963, pp. 17-22.
4. Deere, D. U., et al., Design of Surface and Near Surface Construction in Rock/
Proceedings of the 8th Symposium on Rock Mechanics, American Institute of Mining,
Metallurgical and Petroleum Engineers, New York, N.Y., 1967, pp. 237-302.
5. Earthquake History of the United States/ United States Coastal and Geodetic Survey,
Environmental Sciences Services Administration, Superintendent of Documents, No.
41-1, Parts I and II, Washington, D.C. (Latest edition and Annual Reports).
6. Howell, J. V., and Levorsen, A. I., Directory of Geological Material in North
America/ Publication No. 556, American Geological Institute operating under National
Academy of Science and National Research Council, Washington, D.C.
7. Hvorslev, M.J., Subsurface Exploration and Sampling of Soils for Civil Engineering
Purposes, by the Committee on Sampling and Testing of the ASCE Soil Mechanics
and Foundations Division, 1949 (Reprint available from The Engineering Foundation,
New York, N.Y., 1962).
8. Lambe T. W., and Whitman, R. V., Soil Mechanics, John Wiley and Sons, Inc.,
New York, N.Y., 1969, pp. 281-294.
9. Leonards, G. A., Foundation Engineering, McGv^cw~H\\\ Book Co., Inc., New York,
N.Y., 1962.
10. Obert, L., and Duvall, W. I., Rock Mechanics and the Design of Structures in Rock, John
Wiley and Sons, Inc., New York, N.Y., 1967.
11. Peck, R.B.,. Foundation ExplorationDenver Coliseum, Proceedings, ASCE, Vol.
79, Separate No. 326, Nov., 1953, pp. 326-1 to 326-14.
12. Proceedings of the Research Conference on Shear Strength of Cohesive Soils, held at
Boulder,Colo.,Junel3-17,1960.
13. Sangerlat, G., The Penetrometer and Soil Exploration, Elsevier Publishing Co., London,
England,1972.
14. Swiger, W. F., Evaluation of Soil Moduli/ Proceedings of the Conference on Analysis
and Design in Geotechnical Engineering, ASCE, Vol. II, June, 1974, pp. 79-92.
15. Symposium on Vane Shear Testing of Soils, Special Technical Publication No. 193,
American Society for Testing and Materials, Philadelphia, Pa., 1956.
16. Testing Techniques for Rock Mechanics, Special Technical Publication No. 402,
American Society for Testing and Materials, Philadelphia, Pa., 1965.
PART THREE
PRESENTATION OF DATA
Data from soils and foundation investigations usually are referred to continuously
and for many different purposes over the course of a project and frequently after its
completion. Clarity, completeness, and accuracy are important.
Reports.The following outline may be used as a guide in a soils report although
not all items will be found appropriate to any specific project:
I. Text
A. Scope of investigation.
B. Purpose of investigation.
C. Proposed structure or structures.
D. Geological setting.
E. Adjacent existing structures.
F. Field explorations.
G. Laboratory testing, procedures used, and summary of results.
H. Analysis or discussion of data.
I. Foundation studies (including alternatives).
J. Recommended construction procedures if appropriate.
K. Conclusions and recommendations.
L. Limitations of explorations and report.
II. Graphic presentations
A. Site location map.
B. Plot plan showing borings, proposed structures, and ground elevations at
borings. Relation of proposed to existing structures, both plan and
elevation, is frequently desirable.
C. Boring logs.
D. Water levels and other field data.
E. Laboratory data.
F. Subsurface profiles and other information as may be appropriate to the
work.
III. Logs of borings and test pitsboring and test pit logs should record:
A. Location, boring number or test pit number, and other identification such
as coordinates and job name and building where located.
B. Elevation of the ground surface at the boring and datum used.
C. Date started and completed and interruptions.
D. Name of driller and soils engineer or technician.
E. Graphical representation of soil strata based on field examination and
logging.
F. Laboratory classification of samples as verification of field description.
G. Location of each change in stratification by depth or elevation.
31
H. Location by depth or elevation of each sample taken, type of sampler used,
method of forcing sampler into ground, number of blows for each 6 in.
(150 mm) if Standard Penetration Test is used, and amount of soil
recovered.
I. Any unusual condition noted, such as gas, artesian water, loss of drill fluid,
or upward boiling of bottom of boring. If any samples are lost, the location
and reason should be carefully noted. Any obstruction should be noted.
J. Type and size of casing and type of drilling fluid. If no casing is used,
note diameter of hole.
K. Natural water content of cohesive soils and the results of Atterberg Limit
tests on such soils may be shown on the logs, either by listing or
graphically. Also, the diameter for which 10% by weight of the material is
finer, D10, and the uniformity coefficient values, Cui may be included for
samples when mechanical analyses are made. Samples on which special
tests have been made, such as shear tests, consolidation tests, etc., should
be identified.
L. Ground-water level and the time since termination of drilling operations
when noted. (Usually it is good practice to note the depth at which boring
operations stop each evening and to record the water level in the boring the
next morning before resuming operations. The elevation of the bottom of
the casing should be noted for each observation.)
M. Other conditions or occurrences observed which might be pertinent should
be noted, such as surface water entering the boring during rainstorms.
A typical boring log is shown in Fig. 3. If the investigations extend to and include
core borings into rock, the following should be noted: (1) Stratification, including
type of rock in each stratum and elevation or depth of each change of stratification;
(2) orientation of bedding or foliation relative to axis of boring, i.e., steeply dipping
or flat, etc.; (3) extent and character of weathering; (4) color and hardness in
descriptive terms; (5) presence of open joints, solution openings, vuggy conditions,
or clay-filled seams; (6) faults and joints, including dip if practicable; (7) size and
type of core barrel used; (8) recovery in each run; (9) lengths of individual pieces of
core which can conveniently be expressed in terms of the RQD; (10) unusual
conditions noted, such as cavernous areas, blockage, core grinding, artesian flows,
loss of drill fluid, drop of rods; (11) time required to drill each foot; (12) water loss
or indications of open joints or permeable zones; and (13) frequently, changes in
color of the return drill water will be of assistance in locating weathered rock zones
or changes in lithology and should be recorded.
Test Data.Laboratory tests may be recorded either in graphical or tabular form,
or both, Natural moisture content and Atterberg Limits should be determined and
reported for each shear or consolidation test on cohesive soils. Test procedures and
sample conditions should be described. If triaxial tests are made, stress-strain curves
should be presented. Pore pressures and effective stress plots should be included if
pore pressures are measured. Pressure-void ratio curves are usually plotted for
consolidation tests. If tests are made using increments of load, one or more plots of
time load in the virgin compression range may be useful.
Where special tests are made, such as pile load tests, pumping tests, or field
permeability tests, it usually is desirable to prepare a special report recording test
PART THREE 33
FIG. 3.Sample Boring Log

conditions, data, results observed, and interpretation of the tests. Formulas and
computations made may be included as appendices.
Miscellaneous.Where examinations are made of existing structures or other
facilities, the data may be presented in an appendix. This should show general
arrangements, type of construction of foundations, including elevation of footings
or pile caps, length of piles or caissons, physical conditions of structure, and any
special conditions noted. If such structures are close to the proposed structure,
special care to note any existing cracks, differential settlement, deterioration, or
other evidence of distress is usually warranted. If conditions found during
construction differ from those anticipated from the original investigations, the actual
conditions found should be recorded.
Boring logs and other pertinent data should be furnished with the bidding
documents. Provision should be made for examination of rock cores and soil
samples by prospective bidders if they wish.
PARTFOUR
EXPLORATIONS AND REVIEW DURING CONSTRUCTION
On most projects, engineering inspection and review are provided for all phases
of construction covering compliance with specifications, quality of workmanship,
and interpretation of specifications. Such review may be intermittent or continuous,
depending on the complexity of the work. For foundations, such review is concerned
with: (1) Inspection and, if necessary, monitoring of site preparation, trenching,
grading, excavation, dewatering, compaction, backfilling, and other earthwork;
(2) testing of soil and rock materials for foundations and embankments and
inspection of workmanship; (3) layout and arrangement of foundations and placing
of concrete, steel, and other materials in compliance with contract drawings and
specifications; and (4) maintenance of records of work accomplished, and materials,
equipment, and personnel used in constructing the foundations, e.g., pile driving
records.
In addition to the foregoing items, foundations pose other problems during the
construction phase which are unique and, although important, are frequently
overlooked:
1. Because of limitations of time and economics and the vagaries of subsurface

conditions, there is always a possibility that significant deviations from anticipated
foundation conditions may be encountered.
2. Construction of foundations usually requires, to greater or lesser degree,
excavating, dewatering, constructing cofferdams, supporting walls of excavations,
installing caisson, driving piles, drilling holes for piles or piers, backfilling, and
compacting soil. These operations affect the soils of the foundation and unless
properly controlled, can render soils unsatisfactory for the support of the proposed
structure. Also, if the construction operations are not correctly planned and
executed, such operations may result in serious damage to nearby structures and
facilities.
Observation, Testing, and Records.Seldom can adequate and sufficient soil
data be obtained for the design and construction of foundations so that the drawings
and specifications can be provided so complete in every detail as to give assurance
that all soil conditions that may be encountered are considered and provided for.
Because of the vagaries of soil deposition and the variability of the physical
properties of soils and drainage characteristics, encountering factors not disclosed in
the explorations but significant to design is always possible and should be
anticipated. Provisions should be made for inspection during construction, and
procedures established so that information developed is fed back into the system
for checking the design of the foundations and revaluation of their behavior under
load in the light of these new data to assure that the foundations will function as
intended.
Minor changes in anticipated soil conditions can be significant. For example, thin
strata easily missed in borings, such as a thin water-bearing sand member, can
significantly affect bank stability or dewatering operations; or a thin relatively
impervious organic or clay layer may leave a perched water table rendering the
35
dewatering system ineffective. Visual observations should be made to ensure there
are no unusual or adverse conditions at or immediately below foundation level such
as organic soils, excessive looseness, or disturbance of soil by construction
operations.
The bearing stratum for footings or caissons should be identified and its physical
description checked against the boring data and specifications. An inspection
should be made immediately before pouring concrete to be sure each footing is on
adequate founding material and that all loose, soft, muddy, or otherwise
unsatisfactory material has been removed.
Amplification of visual observations of conditions may be supplemented by
simple probing techniques in some cases. If significant deviations are encountered,
further exploration and testing may be desirable. On some projects, usually where
there are complex or difficult foundation conditions, formal programs of
instrumentation to monitor deflections or other distortions or piezometric levels
may be required. Such programs are usually established in the contract documents
and provisions made for monitoring and interpretation of the findings.
Making the necessary observations and keeping of records may be done quite
informally, as for example, a clerk of the works as a part of his routine inspection
responsibilities, supplemented by occasional inspections by the responsible engineer.
Conversely, on other projects full-time residence by a soils engineer or even an
expert in soils and foundation engineering supported by a trained staff may be
desirable. After determining the procedures to be followed, any necessary staff
should be selected from an evaluation of the complexity of the conditions at a
specific site, the character of the structure or structures involved, and the degree
of risk the owner wishes to take.
There should be close cooperation between design engineering and personnel
responsible for supervision of construction. This cooperation requires knowledge by
the construction organization of what is anticipated. In addition to the contract
drawings and specifications, all soil data, interpretation of data, and reports used
for design should be made available for construction. On some projects, prebid
conferences should be held to review the data and to discuss soil conditions and
construction procedures that might affect the cost, schedule, and construction of the
foundations. Requirements relating to the use of materials for backfill, rate of
loading to allow for consolidation of compressible soil strata, dewatering, shoring,
bracing or excavations, and other construction procedures as they influence the
performance of foundations should be part of the prebid conference discussions.
By clearly establishing the scope of the project, reviewing anticipated soil conditions,
and indicating those that might be unexpected, clear lines of communication
between design and construction can be established so that any deviation from
anticipated conditions can be promptly and adequately recognized, and
modifications can be made if necessary.
Records should be maintained showing actual founding grades of each footing,
soil conditions under each footing, and any unusual conditions encountered such as
soil strata not previously identified, buried pipes, or areas that may have been
previously excavated and backfilled. Any tests that are made, for example, density
tests of compacted fill, should be carefully documented showing location, elevation,
and test results. If unsatisfactory or unsuitable conditions are disclosed by
investigations or tests, courses of action taken to remedy the situation and results of
such modifications should be recorded. Complete records should be kept on pile
driving
PART FOUR 37
and construction of caissons, including observations to detect heave or lateral
disturbance during later construction operations. Records should be transmitted
to design organizations on a continuing and timely basis for their use in reviewing
execution and progress of the work.
Evaluation of Construction Procedures.~-The construction procedure may
radically and even totally alter the compressibility and strength characteristics of a
soil so that the behavior of the foundation to load is entirely different from that
planned during its design. The softening and weakening of soils by exposure,
freezing, heave in excavations, remolding by pile driving, loss of strength from
seepage into excavations or changes in ground-water level, and other occurrences
resulting from construction alter the behavior of a soil to load. Continuous review of
the construction, its effects on the soil, and possibly changes in the construction
procedure or modification of the foundation may be necessary during the work.
Dewatering.Inadequate or improper dewatering systems are a common source
of difficulties. The dewatering system should be designed, installed, and operated so
as to maintain the water level below the sides and bottom of the excavation. Filters
of proper design should be provided to prevent removal of soil with the water.
In stratified formations, aquifers, both above and below the level of the excavation,
may need to be drained. Drainage below the excavation bottom may be required to
lower the hydrostatic head in one or more aquifers in which pressures might lift and
disturb the material below the bottom of the excavation. Wellpoints, if used, should
be surrounded by properly graded sand filters. Open sumps usually are not
satisfactory because of loss of soil. Sumps provided with properly graded filters
can be used in material that is not stratified.
Failure to take these precautions may lead to slumping or severe slides in the
sides of the excavations or disturbance of the bottom of an excavation to such extent
as to render it unfit as a foundation for the proposed structure.
If dewatering is to extend over a long period of time, the ground water should be
checked for the presence of dissolved salts or gases which could result either in
corrosion of the well screens or could cause plugging of the screens by precipitation
of salts. Calcium salts and iron oxides are particularly troublesome in this regard.
Dewatering will lower the ground-water table under nearby areas. This increases
the effective stress in the soil which may cause settlement of adjacent structures.
Such settlements may develop even though the structures are supported on piles
because of dragdown (negative friction) on the piles by the settling soils. The
influence of drawdown may extend to rather surprising distances. Monitored
dewatering operations in some cases have shown a lowering of ground-water level at
distances of 1,000 ft~2,000 ft (300 m600 m) from the wells.
If the dewatering operation is to continue for a long time, consideration should be
given to the possibility of deterioration of untreated wood piles under nearby
structures which may be exposed by the lowering of the ground-water level.
Avoidance may require modification of the foundation or a change in the
construction procedure.
Sometimes difficulties from these causes can be controlled by properly designed
reinjection systems to maintain the ground-water level near original values at
locations away from the excavation. Control of ground water may be useful in a
greater sense than simply maintaining a dry excavation. Increasing the effective soil
stresses to preload underlying compressible layers, reducing temporarily or
permanently pressures on walls or sheeting, eliminating upward seepage forces at the
bottom of deep excavations, maintaining in-situ pore pressures in order to avoid
settlement of buildings adjacent to deep excavations by injecting or pumping water
into the ground are but a few cases where proper control of ground water will help
assure satisfactory performance of foundations.
However, attaining these objectives requires continuing monitoring and reevalua-
tion of ground movements and pore pressures. The data collected must be constantly
reviewed and interpreted to determine the effect on the soil conditions and the
ultimate behavior of the foundations to load.
Excavations.Care must be taken in all excavations made without support that
the sides are stable against sliding, and that excessive plastic deformations do not
develop around the excavation. Even if the sides of an excavation are supported by
sheeting, the elastic deformation of the sheeting and the shoring system may be
sufficient to permit yielding or movement of the supported soil and damage to
nearby structures and underground piping. In soft soils, plastic yielding of the
bottom of the excavation may cause significant deformations in adjoining soils or
facilities adjoining the excavation. Since buried piping usually contains water or
other fluids, rupture of piping located in the zone of deformation can lead very
quickly to unanticipated water pressures against the sheeting and possibly collapse.
Stockpiles of materials such as aggregate or waste piles of excavated materials may
cause difficulties either by failure of banks of excavations or from settlement
resulting from consolidation of the underlying soil. Such settlement may result in
tilting or settlement of adjacent buildings, breaking of buried pipes, or similar
distress. It is common to see excavated material piled at the edge or near to the edge
of excavations, particularly trenches, or in other locations that are of marginal
stability.
If structures are built near or close to a waterfront, protection should be provided
against floods or extremely high wind-driven tides that could flood the work or
impose excessive hydrostatic pressures on sheeting or the banks of excavations.
In many cases, excavations or foundations for a new structure may extend well
below the level of footings for existing structures. This usually requires underpinning
of the existing structures; that is, carrying the support for the existing foundations
down to a safe and adequate level. Underpinning operations require special skills
and techniques and should be undertaken only by those experienced in such work.
Existing foundations and adjoining streets or other facilities should be monitored
for settlement and lateral distortions throughout construction. Changes in the
construction procedure or schedule should be made if necessary to prevent
detrimental distortions.
Planning construction operations, therefore, requires adequate soil data and
information on nearby structures and facilities. Frequently much of the required
data for planning construction operations can be obtained in the initial investigation
for design. Such data should be augmented by further investigations and tests during
construction as needed to determine whether or not the soil conditions and
properties have been altered by the construction procedures.
Plastic Soils.Excavations in soft clays or soft plastic silts pose particularly
difficult problems, especially if they are deep. The reduction in load over the
excavated area, whether sheeting is used or not, may result in plastic yielding, even
at stresses well below those which would result in shear failure, causing heave of
the bottom of the excavation and lateral movement of its perimeter to such an
extent as to damage nearby structures and facilities. Plastic yielding in deep excava-
PART FOUR 39
tions in soft materials is extremely difficult to prevent. Procedures and means

of controlling plastic distortions of excavations in soft soils, including the design of
sheeting and shoring systems or open caisson systems, and scheduling of excavation
require skilled and technically competent engineers. Instrumentation to measure
both lateral and vertical movement are often required to permit continuous
monitoring of movements with increasing depth of excavation. The measured
movement should be compared with predicted values. If distress appears
imminent, steps should be taken to provide additional bracing, modify excavation
procedures, or even backfill the excavation to a safe level. This may result in a delay
in construction and may require reevaluation of the construction procedure and a
redesign for the foundations.
Even with extensive soil data, the influence of construction procedures cannot
always be evaluated a priori. Lack of attention to minute details such as backfilling
behind lagging can result in weakening of the soil and lateral movements greater
than anticipated.
Even the drilling of relatively small holes for caissons or preboring of piles in
soft plastic clays may cause plastic flow that will affect streets, buried piping, and
other structures. Excavations or drilled holes in sensitive clays are especially critical
since the distortions attendant to plastic flow may result in a significant loss of shear
strength resulting in rapid and complete failure of the excavation and disturbance of
the bottom.
Design and construction of deep excavations are so intertwined and
complementary that usually one cannot be performed independently of the other.
The lateral loads on the structures provided to support the walls of deep excavations
are affected by the movements that occur during construction. The loads that
ultimately develop on both temporary and permanent structures may differ
substantially from the loads used in design depending on conditions during
construction. If a safe and satisfactory performing foundation is to be assured, this
complementary aspect of design and construction should be recognized and proper
steps taken to monitor and control construction.
Piles.Inspection of pile driving operations is an important and difficult task
because pile foundations involve a subjective judgment as to the adequacy of each
pile based upon observations during placement rather than upon inspection after
construction. Of particular importance in pile foundations are proper location,
plumbness, straightness (particularly freedom from kinks or sharp bends), adequate
penetration into the proper bearing stratum, and assurance that final driving
resistance has been reached. The bearing stratum, the required penetration into it,
and driving resistance should be carefully defined in the pile driving
specifications. Simply driving to a final driving resistance does not assure that the
piles have been driven to or into a proper bearing stratum. A number of failures
have occurred where only a final resistance was required. However, such a
procedure is usually acceptable when friction piles are driven to a specified grade into
a relatively uniform material, as is sometimes done in areas of deep cohesive soils.
Pile inspection and reports should cover more than just the length and final
driving resistance of each pile. Each pile should be observed continuously while it
is driven to note any significant or erratic variations in driving resistance,tendency to
drift or go out of alinement, and other factors. Irregularity in length is usually a
matter of concern and complete driving records are valuable in resolving such
matters. Inspection is especially difficult at sites where there are boulders or where
piles are driven into soils that vary in texture and strength, both in depth and areal
extent, or where the rock is differentially weathered.
Driving piles may affect either piles that have been previously driven or nearby
structures. Clay and many silty soils are practically incompressible within the short
time of pile driving and are displaced by an amount equal to the volume of the pile,
unless the piles are placed in prebored holes. This results in lateral movement and
uplift or heave at the surface. These movements may cause distortion or heaving
of piles previously driven to such an extent as to render them unacceptable or may
cause damaging loads on buried piping, sheeting, bulkheads, basement walls, or
similar structures.
Usually, difficulty from soil displacement can be avoided by predrilling for the
piles. However, in predrilling, precautions should be taken to prevent disturbance
of existing structures or facilities due to yielding of material into the predrilled holes.
Accordingly, the effects of predrilling should be monitored and procedures modified
if necessary to prevent such disturbance. Predrilling may also be required if difficulty
is experienced with collapse of the shells of cast-in-place concrete piles. Except for
friction piles, prebored holes usually should be slightly larger in diameter than the
piles to permit water or drilling fluids to escape readily as the piles are driven.
Otherwise, hydraulic fracturing of the soils may be caused, resulting in significant
displacements. Preboring usually is not used for friction piles, but if necessary, holes
should be smaller in diameter than the piles and probably of limited depth.
If cast-in-place piles are used, they should be inspected immediately before the
concrete is placed to ensure that the shells are clean and free from debris, mud, or
water. Failures have occurred when this precaution was not taken. Inspection a few
days or even a few hours prior to filling should not be depended upon, since
experience has shown that conditions can change even within short periods of time.
Complete filling of the piles is essential; that is, there must be no voids or separations
within the piles. Filling should be done in one continuous operation. Concrete, when
placed, should be a fat, very plastic mix. It is not necessary to use a tremie or to
vibrate cast-in-place piles, but the concrete should be placed in the center of the pile
by a hopper with a short nozzle to limit ricocheting of the concrete off the walls of
the shell and to prevent arching of concrete which, if it occurs, can leave voids.
When piles are driven into sand, particularly loose sand, the vibration of driving
may cause significant settlement of the sand extending to distances of many tens of
feet from the limits of the pile driving operations. This may cause settlement or other
difficulties with existing structures.
Similarly, driving piles may vibrate nearby structures affecting sensitive equipment
or disturbing people to such an extent that serious objections to the continuance
of the work may be raised. Vibration should be monitored to reduce hazards of
liability and disruption of construction.
In very dense granular soils, especially if fine grained, negative pore pressures may
develop during pile driving. Under these conditions, resistance of the pile to driving
may be very large indicating large supporting capacities. With dissipation of the
negative pore pressures over a day or several days, the resistance of the pile to further
driving and its supporting capacity will be reduced. This is termed relaxation. It is
particularly a problem with high capacity piles. Redriving one or more times may be
required to ensure adequate permanent load-carrying capacity.
Caissons.Caisson foundations have problems of their own. Excavation and
preparation of the base should be carefully observed. The surface on which the
PART FOUR 41
concrete is to be placed should be properly cleaned. If the caisson founds on rock,
dental work and removal of loose material should be carefully done. Frequently,
bentonite slurry is used to support the caisson walls in lieu of steel shells. In these
cases, it is equally important that the bottom be carefully cleaned of all loose
material. Inspection to verify this is difficult. Special precautions or drilling full size
to some distance into rock may be warranted for this type caisson.
If it is impossible to dewater the caisson or to prevent more than a very small
seepage of water entering, the caisson should be filled with water or drilling fluid to
slightly above the ground-water level prior to placing the concrete. Attempting to
place concrete with water flowing into the caisson will result in unsatisfactory results.
In no case should the concrete be allowed to fall through even small amounts of
water. Concrete should be placed or pumped through a tremie. It is important,
however, that the bottom tip of the tremie pipe or pump line be kept completely
beneath the surface of the concrete at all times while the concrete is being placed. A
predetermined head of concrete should be maintained above the pipe outlet and
placing continued until the water is totally displaced and the concrete appears at the
top of the caisson.
In several cases, particularly where temporary shells were removed while placing
the concrete, failure of the caisson wall and separation of the concrete shaft have
occurred. The separation of the shaft is particularly critical because of the very heavy
loads that are carried by such caissons. The methods of placement and inspection
must be such as to insure the integrity of the caisson shaft. As a check, a number
of the caissons should be core bored to verify the continuity of concrete from top to
bottom of the shaft. The simple precaution of recording in detail the amount of
concrete placed in a shaft and comparing it to the theoretical volume of the shaft
should always be done as an initial check on shaft continuity.
Construction of Footings and ackfill.Sptcia.l care should be taken to avoid
disturbing foundation soils in the construction procedure. For example, clayey silts
or clays, of stiff to very stiff consistency when undisturbed, may be seriously
weakened by exposure in excavations or by disturbance by equipment and workmen.
Unless such disturbance is prevented, differential settlements between adjacent
footings may occur, resulting in cracking and distress of the structure.
Preventing local disturbance of clay or silt soils immediately under footings can be
done by seal mats of lean concrete or a few inches of well-compacted sand and gravel
placed immediately after final excavation. Protection by concrete or other sealer
may be required with many shales to prevent slaking during the construction period.
Prior to the placement of the concrete and reinforcing steel, the soil or rock at the
bottom of the footing excavation should be carefully examined to verify that all
loose, disturbed, or otherwise questionable materials have been removed and that
the surface is properly graded. Excavations should be protected against freezing.
Foundations should not be placed on frozen ground or on ground that has been
loosened or disturbed by freezing even though thawed when the concrete is placed.
The depths at which footings should be set below grade to provide frost protection
are tabulated in published literature or defined in local building codes. There is
always a possibility of frost damage to shallow interior footings, especially during
the construction period. Where interior footings are at shallow depths, observations
of the depth of frost penetration should be maintained during such periods.
Protection against damage from frost penetration may be provided by overfilling
around footings or by using insulating materials. Similar precautions may be
necessary to
protect basement or ground floor slabs prior to enclosure of the structure or to
prevent frost heave of the soil on which slabs later will be constructed. Conversely,
protection against excessive drying of clay soils, such as from temporary heat
sources, may be desirable.
Compacted fill as a support for structures is quite common. Typical is the
replacement of some thickness of unsuitable soil with compacted fill to founding
grades. Properly placed compacted fill will be more rigid, more uniform, and have
greater strength than most natural soils. Placement of compacted fill should be
carefully controlled to assure proper material selection, adequate compaction with
proper equipment, and control of moisture during placement. Special care should
be taken to secure complete compaction in the more difficult areas such as around
structures, in restricted areas, and particularly, at reentrant corners along grade
beams where improper compaction often results in cracking and differential
settlement of floor slabs. Each lift should be of proper thickness and the surface of
the fill should be kept reasonably level to ensure uniform compaction. Compaction
cannot extend completely to an edge of the fill except where it is being placed against
a wall or other restraint. Accordingly, the fill should be extended well beyond the
edge of the loaded area, except where fill is placed against a cut slope. If it is
necessary to place a portion of the fill, and then to place an additional fill against it,
the first area filled should be overfilled and the edge then cut back to stable materials
before placing the later fill against the older fill.
Construction control should determine not only that a foundation conforms with
the drawings and specifications regarding materials, size, and elevation, but also
that the construction procedures will not have an adverse influence on the
performance of the foundation once the structure has been completed and subjected
to load.
Observations and Their Evaluation during Construction.Establishing field
control to record the movement and behavior of foundations or soils in adjoining
areas during construction, and the evaluation of these data in relation to the
predicted values may be required on some projects as, for example, deep excavations
in plastic soils or sites on hillsides. Frequently, in such operations, risks are
balanced against costs. Such a cost-risk approach and the completion of the
foundations within a predetermined schedule requires that the engineer be involved
in all phases of the project to give assurance that the actual soil-structure
interaction will be compatible with that predicted and within the risk selected. As
Karl Terzaghi pointed out, In earthwork engineering, success depends primarily on
a clear perception of the uncertainties involved in the fundamental assumptions
and on intelligently planned and conscientiously executed observations during
construction. Measurements should be compared with predicted values and where
there is disagreement, the engineer should first confirm the reliabilty of the data
and their interpretation. If significant disagreement still exists between the measured
and predicted values, additional tests and checks on soil parameters should be made
and the validity of the theories and assumptions used in the design of the foundations
reevaluated. Modifications in the design and construction procedures for the
foundations should be made accordingly.
For some structures, procedures may be desirable to observe the soils behavior
as influenced by the construction procedures and the response of the foundation to
loads, at least during the construction period. Estimates of improvements in the
bearing capacity of the soil or its behavior under loads or modifications in the
PART FOUR 43
FIG. 4. Method of Measuring Heave of Bottom of Excavations

FIG. 5. Deep Bench Mark

PART FOUR 45
construction procedure should be based on the observations. As stated earlier, data

obtained during construction should be constantly interpreted and evaluated in
relation to predicted performance of the foundations, and where disagreement or
differences occur, these should be resolved and modifications made either to the
foundations or the construction procedure, or both.
Generally, procedures should be established for observations of adjacent
structures, piping, tunnels, and roadways, which may be influenced by the
construction operations. This may be done in simple cases by routine
observations, but instrumentation may be required in other cases.
Instrumentation, if used, should be properly installed under competent
supervision, readings should be taken on a predetermined schedule, and these
readings should be interpreted correctly and promptly in order that corrective
measures be undertaken if found necessary. The engineer should establish the
layout of the instrumentation and observation systems as well as the readout
program and interpretation of the data.
Fig. 4. shows one means of establishing heave reference points at or below the
bottom of deep excavations to permit making observations of heave during
excavation.
Settlement and heave observations should always be referred to a stable bench
mark. Fig. 5 shows one means of providing a stable bench where deep, compressible,
or otherwise unstable soils exist.
The field construction forces should consult the design engineer on the redesign
of either foundations or temporary construction such as cofferdams or excavations
where there are deviations from anticipated conditions or performance. The
responsible engineer should be advised immediately of behavior different from
that predicted and should be given the data and its interpretation with
recommendations so that corrective measures consistent with the construction
procedure and schedule can be properly planned and executed.
CONCLUSIONS
The foregoing is not intended as a comprehensive text on the construction control

of building foundations. It does discuss a number of the more commonly
encountered soil conditions, and indicates and advocates the need for construction
control by competent observers. It should be kept in mind that soil and foundation
conditions are highly variable and usually only imperfectly known. Proper
investigations, sound designs, and well-planned and carefully executed observations
during construction are the keys to successful foundations for buildings.
APPENDIX A
PROBLEM SOILS AND CONDITIONS
Brief descriptions of certain types of soil or conditions that require special care or
precautions, if satisfactory designs and performance are to be achieved, are given
in the following paragraphs. Early recognition of such soils or conditions is
important in order that more adequate investigations may be undertaken in good
time and designs developed to meet the conditions found. Special explorations, test
procedures, and analysis by competent experts frequently are necessary to determine
performance of these soils if incorporated into the foundation of a building and to
determine suitable methods of founding such buildings.
PROBLEM SOILS AND ROCKS
Organic Soils.Soils containing significant amounts of organic materials, either

as colloids or in fibrous form, will usually be found weak and subject to excessive
deformation under load. Such soils include deposits of peat, organic silts, and
clays. Such soils are typical of many estuarine, lacustrine, or fluvial environments.
They will compress or consolidate by large amounts even under very light loads.
Special precautions such as preconsolidation or use of compensated (floating)
foundations may be necessary even for light structures if they are underlain by
organic soils.
Normally Consolidated Clays,There are clays in many areas of soft to medium
consistency that have been consolidated only approximately under the weight of
existing overburden. Typical are the blue clays* of Boston and the clays of the
Chicago and Detroit areas.
Imposition of additional load, such as a building, will result in significant long-
term settlement. The magnitude and approximate rate of such settlement can be
predicted from analyses based on carefully conducted consolidation tests on
undisturbed samples. Such studies are usually desirable before any significant
structure is founded above these clays to determine whether settlements will be
acceptable, considering the characteristics and purpose of the structure.
Driving piles through normally consolidated plastic clays may cause heave or
displacements of piles previously driven or of adjacent structures. The bottom of
excavations made in such soils may heave and adjoining areas of structures may move
or settle, unless the hazards are recognized and proper precautions taken to prevent
such movements.
Metastable Soils.Metastable soils include several types that are abnormally
loose as deposited. These may collapse on saturation or when subjected to vibration
after saturation. Such collapse may cause severe or even catastrophic settlement
of structures founded in or above these soils.
Loess, which is found over wide areas of the midwest and western portions of the
United States and wide areas in eastern Europe, is the most common. Metastable
soils also exist in playa deposits and in mud flow deposits that are sometimes
encountered in alluvial fans in arid or semiarid areas. Since such soils are strong and
stable when dry, they can be misleading in investigations. Care is needed in denti-
47
fying them and in determining their properties and change in properties with wetting.
The open porous structure, which is the usual means of identification, may be
completely collapsed by wet boring techniques. Where such conditions may be
anticipated, boring should be done by auger methods and test pits should be dug
from which undisturbed samples may be taken for determining accurately in-place
densities and for testing at natural moisture contents and when saturated.
Caliche.Frequently, in arid regions, solution and redoposition of carbonate
salts has occurred, calcium carbonate being leached from near surface deposits and
redeposited at depth. The resulting cemented zone is termed caliche. Caliche is
generally strong and stable provided it is not subjected to saturation and continuous
leaching as by water from leaky pipes or sewers or from process water or surface
runoff.
Expansive Soils or Rocks.Expansive clays, i.e., clays that expand or contract
markedly upon changes in moisture content, mantle the surface of many areas of
the south and southwest of the United States and are commonly found in many other
countries. Locally, they may be referred to as gumbo or adobe soils or black cotton
soils. They may have developed from the weathering of clay soils or represent a late
stage in weathering of residual soils. Sometimes they are deposits of bentonitic
materials. Usually, expansive soils are dark gray-brown to black in color. In dry
weather, the surface frequently shows deep cracking in roughly hexagonal patterns.
Pressures developed by such soils by expansion when they have become resaturated,
after periods of being dried out, are sufficient to lift light structures or to break
basement and retaining walls. The presence, extent, and depth of such deposits and
the expansion tendencies of such materials must be carefully delineated, since they
pose particularly difficult problems in foundation design and construction.
In some cases, expansive shales, siltstones, or other rocks may be found. Typical
are bentonitic shales of the Dakota formation. Similar problems have developed in
shales and siltstones in parts of Pennsylvania, Ohio, and West Virginia from
expansion due to oxidation of pyrites. Local experience is a valuable guide to
possible difficulties from these causes.
Loose Granular Soils.Granular soils are subject to some compaction or densifi-
cation when subjected to vibration. Usually this is of significance only below the
permanent water table. Sands above the water table usually will compact only
slightly from moderate to severe vibration because of friction developed between the
grains from capillary forces. Settlements induced by vibration in sands of medium
dense to dense state will, in most cases, be within normal structural tolerances, except
for very heavy vibration as from forging hammers or similar equipment. However, if
the sands are in a loose to very loose state, significant settlement may result from
even minor vibrations or from nearby pile driving. In some cases, spontaneous
liquefaction of very loose sands has resulted from earthquakes, as occurred in
Niigata in Japan (l).In this event, structures supported above or by piles driven into
such soils may be completely destroyed. Loose sands may settle significantly under
static loading only, exceeding allowable tolerances.
Consequently, loose sands should be investigated carefully, and their limits
established; densification or compaction of such deposits may be necessary before
structures are founded above them.
Sensitive Clays.Sensitive clays are defined as having a remolded strength of
25% or less of the undisturbed strength. Some clays are much more sensitive than
this, and clays having a sensitivity (remolded to undisturbed strength) ratio of one to
APPENDIX A 49
50, are known. Typically, such clays have field moisture contents equal to or greater
than their liquid limits, and such relations may indicate their presence. Extensive
deposits of sensitive clays occiir in some areas, as for example, the Leda clays of
the St. Lawrence River Valley and in Norway. Where such clays have been pre-
consolidated by partial desiccation or by the weight of materials subsequently
eroded, foundations may be placed upon them, provided that the gross additional
load imposed by the structure is appreciably less than the preconsolidation load of
the clay, and shearing stresses under the foundations are well within the shear
strengths of the clay. Exceeding either of these limits will result in excessive
settlements and possibly in catastrophic failure. Disastrous flow slides have
developed in these clays in a number of instances and the hazard should always be
considered. Deep excavations in sensitive clays are hazardous because of possible
sudden severe loss in shear strength resulting from strains within the soil mass
beneath and adjacent to the excavation.
Determination of the significant physical properties necessary for evaluating the
significance of such clays to a proposed structure requires taking and testing of both
undisturbed and remolded samples of the clays and thorough analysis of the possible
hazards involved. Because of the extreme sensitivity of such clays to even minor
disturbances, taking and testing undisturbed samples requires sophisticated
equipment and techniques. It should be done only by competent personnel
experienced in this type of work.
Noxious or Explosive Gases.Noxious or explosive gases, methane being the
most common, are occasionally encountered in clay or silt deposits. They constitute
a hazard to workmen constructing caissons or working in deep excavations. Gases
may also be found in shale or other deposits in various areas of the country. These
may be a special hazard in deep excavations or where borings have encountered
such gases and are permitted to discharge into the construction area. The history
of the area or discharge of gas from borings, even if for only short periods of time,
should be especially noted so that suitable precautions may be taken.
A special problem may exist in tunnels or drainage systems where ground water
low in oxygen content is flowing or where certain iron-consuming bacteria are
present. These conditions can so severely deplete the oxygen supply in poorly
ventilated areas that persons entering may be asphyxiated. Such areas should be
thoroughly purged with clean air before entering and adequate ventilation assured
while persons are in such areas.
SIides.n areas of appreciable relief, the possibility of slides should always be
considered. Slides in an active state are readily identifiable. Old slides or unstable
soils in a potential slide state may be indicated by hummoeky conditions, by bowed
trees, by tilted or warped strata, or by other evidences of displacement. Such areas
are often in a state of marginal stability and even minor disturbances, as by small
excavations near their toe or changes in ground-water conditions or drainage, may
cause such slide areas to become active. Stopping a slide once it is in active motion is
always more difficult than taking proper precautionary measures to avoid triggering
such a slide or avoiding the slide area in the first place. If sensitive clays are present,
hazards are increased significantly.
The banks of actively eroding rivers are usually in a state of marginal stability
especially along the outside of bends. Care should be taken to locate potential slide
areas, to investigate them thoroughly, and to adopt construction procedures and
designs that will be safe.
Kettle Holes.In areas of glacial outwash, stranding of blocks of ice torn loose
from the glaciers was a common occurrence. Later, when these blocks melted, they
left depressions in the outwash mantle, many of which subsequently filled with
peat or with soft organic soils. These depressions, which are referred to as kettle
holes, vary in size from a few feet across and a few feet deep to several hundred feet
across. They may be discernible as shallow surface depressions from careful
examination, although occasionally all surface expression has been destroyed by
farming or leveling operations. Frequently, they can be located from aerial
photographs because of the difference in vegetation. In areas where they are
suspected, their locations and extent should be established. Since their depths are
limited by the angle of repose of the material surrounding the hole left by the ice,
depths of such deposits usually do not exceed about 40% of the minimum lateral
dimension.
Meander Loops and Cutoffs.Slow meandering streams, from time to time,
develop cutoffs across a neck between two loops, leaving an abandoned channel
that later fills with very soft organic silts and clays. These conditions are common
along the Mississippi and similar rivers. Such meander loops can be identified by
their crescent shape. Frequently, they can be detected in aerial photographs or
from accurate topographic maps. The soils filling these abandoned waterways tend
to be weak and highly compressible. The limits of such areas should be accurately
located relative to proposed developments and the depths and properties of the
soils filling them established.
Artificial Fill.Artificial fill such as dense granular material placed under
careful control may be more uniform, more rigid, and stronger than almost all
natural deposits. Conversely, fill may be a heterogeneous mass of rubbish, debris,
and loose soil placed without control. Such fills are useless as a foundation
material. Unless the conditions and control under which it was placed are fully
known, fill should be presumed unsatisfactory. The investigations must be adequate
to establish its limits, depth, and characteristics throughout.
Limestone Regions.Areas underlain by limestone may pose difficult foundation
problems. Except where it has been stripped by stream or ice action, the surface
of the limestone usually is found blanketed by a variable thickness of alluvials and
residual clays resulting from its weathering. The clay immediately above the top of
the limestone frequently is soft and compressible, while higher lying material may be
firm and stable because of desiccation. The top portion of the limestone itself, where
it has been subject to active solution over a long period of time, may be cut by many
solution channels and by solution-widened joints filled with clay or weathering
products. There may be a zone of more or less isolated thin slabs of limestone a few
inches to a few feet thick in a matrix of soft compressible clays. This zone of severe
deterioration may be many feet thick and local zones of severe weathering may
extend downward 100 ft (30 m) or more.
Excavating to the top of the limestone, if it is below the ground-water level, may
be difficult because of excessive water flow through the deteriorated material at
the top of the rock. Driving piles to such material may be hazardous because of
the piles fetching up on slabs of rock which are, in turn, underlain by compressible
materials. It is difficult under these conditions to establish safe loadings or to ensure
that all piles have been driven to stable materials, that differential settlements will
not occur, or that tilting or other distress of individual footings has been prevented.
Redriving of piles may reduce these problems. Use of caissons or drilled-in caissons
carried into unweathered material or of open end piles driven to rock with a socket
i
APPENDIX A 51
drilled into fresh rock may be desirable. Where such conditions are encountered or
suspected, thorough and complete investigation is essential.
Where there has been active movement of ground water through joints, or there
are cavernous conditions, sinks can be expected in the soil overlying the rock. These
may occur suddenly from collapse of the soil bridging open joints or caverns in the
limestone or slowly from downward movement of soils into cavernous conditions as
soil is removed by percolating water. Founding above sinks can cause severe
structural distress. Incipient sink conditions frequently can be detected by
slight surface depressions that are inconsistent with the general drainage pattern,
and sometimes by dips in the *B horizon caused by downward movement of
surface waters. In deeper overburdens, arches may develop in the soil over open
joints or cavernous areas in the rock. Sudden collapse of such arches may occur,
resulting in sudden opening of sinkholes to the surface. These may be tens of feet or
sometimes more than 100 ft (30 m) in diameter. Collapse may be spontaneous or
triggered by changes in ground-water regimes as from leaking pipes or lowering of
the ground-water table. Mature karst topography is readily identifiable by extensive
sinkholes.
Sinks and sinkholes are controlled by the solution channels in the underlying rock
which is, in turn, largely controlled by the jointing system and any faults that may
exist. Detailed surface examination may identify especially hazardous areas as an
aid to locating structures and directing investigations. Solution channels in the
limestone seriously affecting the stability of the overburden may be only inches or a
few feet across. Locating such open joints and possible soil arches and potential
sinkholes over them by borings is usually impracticable. Other methods such as
seismic surveying and resistivity methods have usually been found to be
unsatisfactory. Test pits and trenches may be useful.
Similar conditions may be encountered where the area is underlain by other
soluble rocks, such as gypsum or halite.
Weathered Shales.Slabby weathering of shale deposits is common and presents
foundation problems. Borings should be so arranged as to detect such conditions.
They should be carried well through the slabby material and into sound rock. If the
cover is shallow, it may be economical to carry foundations through the weathered
zones by use of caissons or spread footings. If the cover is deep and foundations are
to be carried to the shale, a type of foundation should be selected which will
penetrate the weathered materials and found in the strong stable unweathered
material beneath. This may be done either with deep caissons, drilled-in caissons,
or a type of pile that will penetrate the weathered layer. This may be possible using
H-piles with reinforced tips or by drilling through the tips of open end pipe piles.
Checking that piles have adequate capacity may require testing, and redrving is
often required.
Weathered Granites and Other Crystalline Rocks.In some areas, particularly the
Piedmont region of the southeast and many areas in California, there are deposits of
deeply weathered granites, gneisses, schists, or related rocks. Generally, weathering
of these materials develops first along the jointing. Usually, there are at least three
primary sets of joints. Frequently, these are almost mutually perpendicular,
sometimes two being approximately vertical, and one horizontal. The extent of
weathering is apt to be extremely irregular, depending on the closeness of jointing
and the presence of quartz seams, which are resistant, or intrusive dikes, which may
weather readily. Frequently, sizable blocks of almost unweathered material are
found completely enclosed in highly weathered material. These blocks actually
are the
remnants or cores of large blocks of rock between jointing planes.
Interpretation of borings from these conditions is difficult. The rock surface may
be extremely irregular and large blocks of apparently solid rock may be underlain by
compressible soils. Residual soils resulting from the weathering of igneous and
metamorphic rocks may range from granular materials, giving almost the
appearance of sound rock in place (saprolite), through loose masses of clayey sands
and highly micaceous sandy silts to red clays. Frequently, it is found that these
residual soils are somewhat stronger and less compressible than indicated by the
physical description and number of blows in the Standard Penetration Test. On one
project recently, however, large settlements developed in dense saprolitic materials
under moderate loadings. The cause is unknown. Various possibilities such as rapid
weathering effects accompanying lowering of ground-water levels or unusual
rebounds from mica content have been considered but cannot be proved. This
suggests that care should be taken to investigate thoroughly such soils before
founding on them.
The type of foundation selected and soil loading depend upon the character of
the structure, its weight, and susceptibility to distress from settlement.
Mined Areas.A site located over or adjacent to mined areas may be subject to
severe ground movements and differential settlements caused by the collapse of the
mine roof. Usually, for coal mines and similar mines in horizontal strata, the zone of
disturbance does not extend laterally from the edge of the mined areas a distance
much more than half the depth of the mine below the surface.
There is little control of the solution process for mining sulfur or salt and, in such
areas, subsidence may extend several thousand feet beyond the edges of the mine
or well field. Some evidence indicates that the solution may extend farthest up the
dip of the strata.
Where mining in one form or another is known or suspected, available data on the
operation should be obtained if possible. While maps may be available for active
mines or recently closed mines, the accuracy of such maps may be limited. Further,
there are many mined-out areas especially in the older mining regions for which
few or no records are available. Sometimes careful surface examination of
suspected areas, especially in the slanting light of sunset, show depressions resulting
from ground subsidence and so permit identification of mined areas where records
are incomplete. Local experience should be sought and considered in assessing
potential hazards of subsidence in mined areas.
SPECIAL PRECAUTIONS
Soil Distortions.Soils distort laterally as well as vertically under surface

loadings. Usually this is not significant. However, severe lateral distortions may
develop in highly plastic soils toward the edge of excavations or surface loadings,
even though the loads are not sufficient to cause rupture or mud waves. These lateral
distortions may affect foundations or piles for structures located in or adjacent to
such areas. Lateral distortions are a special hazard if sensitive clays are present. In
such soils, shearing strains accompanying the distortions may lead to significant loss
of shear strength or possibly even to flow failures or slides.
Both lateral and vertical displacements may develop in soil when displacement
type piles are driven, especially in cohesive soils. Pressures or displacements that
develop may cause displacement of previously driven piles or existing foundations or
APPENDIX A 53
cause excessive pressures on retaining walls, sheeting for excavations, or buried
pipes. Heaved piles usually may be redriven and used. If there is significant lateral
displacement, the piles may be kinked or bowed beyond the safe limit of use. These
hazards must be evaluated in the investigational program and provision made in
design and construction procedures to be sure other structures or piles are not
damaged or displaced by the driving of adjacent piles. Preboring through the
cohesive strata should be required if there is any hazard of disturbing existing
structures or previously driven piles.
Effects of Heat or Cold.Soils should be protected against contact with surfaces
that will be extremely hot or extremely cold. Desiccation of clay soils beneath
furnaces or alongside ducts carrying hot gases will cause excessive and severe
differential settlements. Spaces or tanks that are permanently below freezing
temperatures cause frost heave and distress in anything but clean coarse sands and
gravels unless isolated from the soil. Insulation is not sufficient under these
conditions, since it merely slows down the rate of heat transmission to or from the
soil mass. A heat source should be provided under low temperature structures and
ventilation may be necessary around high temperature structures.
Foundations and retaining walls may be damaged from formation of ice lenses
in cold climates. Special precautions regarding backfill materials, depth of frost
penetration, and drainage should be considered in design and construction of
foundations and retaining walls in cold climates.
Permafrost, if present, requires special designs if damaging distortions are to be
avoided.
REFERENCE
1. Seed, H. B., and Idriss, I. M., Analysis of Soil Liquefaction: Niigata Earthquake,
Journal of the Soil Mechanics and Foundations Division, ASCE, Vol. 93, No. SM3,
Proc. Paper 5233, May, 1967, pp. 83-108.
APPENDIX B
CHECKLIST FOR FOUNDATION EXPLORATIONS
The scope and procedures to be employed in any soils or foundation investigation

are dependent upon the soil conditions, which may vary from simple to extremely
complex, the requirements of the structure, legal requirements, construction
procedures and problems, and site and environmental conditions. The relative
importance of the various items will vary from site to site. Shown below is a
checklist for foundation investigations which in many cases will be of value in
planning and undertaking subsurface investigations to be sure that pertinent data are
obtained.
I. Scope and objectives

A. Legal and code requirements or as defined by regulatory bodies or agencies.
1. Protection of existing structures.
2. Location or spacing of borings, etc.
3. Supervision of work.
4. Seismic considerations.
5. Data to be obtained and format of presentation.
6. Safety of the public.
B. Requirements of structure and contents.
1. Size, arrangement, and loading.
2. Elevation of lowest floor and highest possible foundation grade.
3. Tolerance of structure and contents to settlement.
4. Vibration.
l
a. Generated by equipment in structure?
b. Equipment or contents sensitive to vibration from external
sources?
5. Special problems.
a. Dynamic analysis.
b. Unusual or demanding requirements of structures or contents.
c. Unusual temperature ranges, as for furnaces or cold storage
plants.
C. Construction procedures and problems.
1. Requirements for protection of existing structures and facilities,
including buildings, roads, waterways, underground piping, and the
public.
a. Deformation disturbance oflossofstabiltyattendant to deep
excavations.
b. Effects of pile driving such as heave or vibration.
c. Effects of dewatering.
d. Effects of fills or stock piles on adjoining structures either from
settlement or lateral distortion.
e. Deformation resulting from squeeze into holes prebored for piles
in soft clay.
55
2. Extent, depth, and arrangement of deep excavations.
a. Effects on adjoining areas or structures.
b. Heave of bottom.
3. Extent, depth, and duration of dewatering.
a. Possible effects in nearby areas.
b. Requirements if any for maintaining ground-water levels under
adj oining structures or areas.
D. Site conditions.
1. Grading, either excavation or filling.
2. Drainage, both temporary and permanent.
3. Access,temporaryandpermanent.
4. Annual rainfall and distribution in time.
5. Range of tides, if applicable.
II. Data to be obtained or developed
A. Location of proposed structure or facility relative to existing structures or
facilities by plan and elevation, existing physical condition of each, and
effects of proposed structure on its facilities, especially:
1. Existing buildings including their foundations.
2. Existing roads, walks, waterways, etc.
3. Underground piping, gas, water, sewerage, drainage.
4. Easements or legal restrictions on site development.
5. Existing drainage.
B. Geological conditions.
1. General site geology.
2. Seismic activity.
3. Location relative to known active faults.
C. Site conditions.
1. Topography (previous and existing).
2. Drainage.
3. Access.
4. Power, water, sewerage, etc.
5. Slides or excessive soil creep, either on site or located where such can
affect site.
6. Erosion and bank stability.
7. Flooding if site subject to flash floods or it is located on river, lake,
or ocean.
8. Frost penetration for area.
D. Soil conditions.
1. Stratigraphy.
a. Physical description and areal distribution of each stratum.
b. Thickness and elevation at various locations of top and bottom
of each stratum.
2. For cohesive soils (each stratum).
a. Natural moisture contents.
b. Atterberg limits.
c. Shearing strengths (usually quick undisturbed shear strengths will
be necessary).
d. Extent and magnitude of preconsoldation.
e. Consolidation characteristics (usually these should be related to
a simpler parameter such as moisture content).
APPENDIX B 57
f. Presence of organic materials or evidence of desiccation or
previous soil disturbance, shearing, or slickensides.
g. Swelling characteristic.
h. Factors affecting time-rate of consolidation such as internal
stratification, especially thin sand members not otherwise
identified.
3. For granular soils (each stratum).
a. In-situ density, average, and range.
b. Grain-size distributions.
c. Grain shape, uniformity, etc.
d. Shear strength characteristics, which usually may be expressed as
angle of internal friction.
e. Presence of organic materials or other deleterious materials.
4. Ground water (for each aquifer if more than one are present).
a. Piezometric surface over site area, existing, past, and probable
range in future.
b. Permeability.
c. Chemistry of ground water as it will affect corrosion of materials
or encrustation of well screens.
d. Sources of inflow to each aquifer, where deterrninable.
e. Temperature.
5. Bedrock.
a. Depth over entire site.
b. Type of rock and physical properties of intact rock.
c. Extent and character of weathering.
d. Joints, including distribution, spacing, and whether open or
closed.
e. Faults.
f. Solution effects in limestone or other soluble rocks.
g. RQD.
6. Special considerations.
a. Chemistry of soil or ground water as it would affect buried struc
tures, such as sulfate attack on concrete, or acids as frequently
are encountered in industrial areas.
b. Stray electric currents that will result in corrosion of piping.
c. Dynamic soil moduli, Youngs Modulus, and Modulus of
Rigidity for dynamic analyses if required.
d. Ambient vibration levels, if such could be a source of distress to
completed structure or its occupants.
e. Problem soils or conditions (see Appendix A).
f. Sources of fill material of acceptable quality, if site filling is
required.
g. Disposal of material excavated from site.
h. Effects on adjacent structures if proposed structure will
permanently affect ground-water levels in the area including
settlements because of consolidation or exposure of untreated
wooden piles.
7. Special tests.
a. Pile load tests on single piles or pile groups.
b. Pumping tests.
c. Direct soil bearing tests.
III. Observation during construction
A. General.
1. Verification of anticipated soil profile and bearing stratum.
2. Unusual or unanticipated conditions.
3. Ground-water control.
a. Ground-water table beneath bottom and slopes of excavation.
b. Seepage inflow or pumping rate, or both, from dewatering
system.
c. Ground-water table adjacent to excavation.
d. Evidence of sand boils.
4. Disturbance of bearing stratum or strata.
a. Freezing.
b. Uncontrolled seepage.
c. Construction work.
d. Heave of bottom.
e. Slides or other instability.
5. Quality of workmanship and materials including preparation of
surfaces, handling and placement of materials, and curing and pro
tection of concrete.
6. Effects on adjoining structures or areas.
7. Settlement of columns and other structures as loading increases.
8. Protection against freezing for footings and ground floor slabs.
B. Deep excavation.
1. Position and structural continuity or integrity of sheeting or other
retaining structures.
2. Displacement or bowing of sheeting or other retaining structures or in
adjoining soil.
a. Bending or rotation.
b. Yielding of supporting elements including their foundations.
3. Measurement of soil pressures and of stresses in supporting systems.
4. Lateral displacement, cracking, or settlement of adjoining buildings
or areas.
5. Heave of bottom (usually can be determined only if heave points are
set before start of excavation).
6. Stability of slopes if open excavation used.
C. Deep foundations.
1. Caissons.
a. Verification of physical condition and clean up of bear ing
stratum.
b. Support of sidewalls of shafts.
1. Safety of workmen.
2. Avoidance of loss of ground.
c. Verification of integrity and structural continuity of caisson
shafts and footings.
d. Observation of lateral displacement, settlement, or cracking or
adjoining structures or areas.
e. Disturbance of existing or previously constructed caissons during
construction of later caissons.
f. Control of water.
g. Records.
APPENDIX B 59
2. Piling.
a. Verification of conformance with specifications.
1. Materials.
2. Location.
3. Plumbness and straightness.
4. Structural integrity including absence of water, soil, or other
materials in cast-in-place piles.
5. Driving resistance or required penetration developed in
bearing stratum.
b. Redrive for relaxation, freeze, or other time effects.
c. Lateral displacement, heave, or settlement of:
1. Previously driven piles.
2. Adjoining structures or areas.
d. Procedures used in event that obstructions are encountered.
e. Pile driving records.
D. Fills.
1. Compliance with specifications, especially:
a. Quality and gradation of fill material.
b. Moisture control.
c. Lift thickness and uniformity.
d. Compaction equipment and passes.
e. Density.
f. Evidence of inadequate compaction or moisture control such as
weaving under compactor, rebound, or cracking.
2. Preparation of surfaces.
3. Procedures in event of adverse weather.
a. Excessive rainfall.
b. Freezing.
c. Snow.
d. Interruption of placement for long periods.
4. Settlement or consolidation of fill.
a. Underlying material from weight of fill.
b. From internal consolidation of fill.
5. Protection of completed fill surfaces.
6. Overfilling and reexcavation if necessary to ensure adequate compac
tion to outer edge of fill.
7. Effects of fills on adjoining structures or area.
E. Dewatering.
1. Adequacy of system to ensure:
a. Control of seepage pressures in all aquifers where excess pressures
could affect stability of slopes or bottom of excavation, including
pressures in deeper lying artesian aquifers not intersecting
excavation.
b. Disposal of water from dewatering systems.
c. Depression of ground water throughout entire excavation to
prevent:
(1) Boiling or **quick conditions.
(2) Disturbance of bottom by construction equipment.
d. Diversion and removal of rainfall or other surface waters.
2. Efficient and effective operation of dewatering system throughout
entire construction period considering:
a. Encrusting of well screens.
b. Silting of wells or sumps.
c. Wear in pumps.
d. Clogging of pumps.
3. Control of dewatering to avoid disturbance of adjoining structures or
areas.
a. Observations of piezometric levels.
b. Effectiveness, operation, and maintenance of recharge systems
if required.
4. Settlement of adjoining structures or areas.
F. Preloading.
1. Time rate of consolidation.
a. From piezometric records.
b. From settlement of original surface.
2. Construction of sand drains or wicks.
a. Effects of construction.
b. Assurance of continuity.
3. Stability of area during placement of preloading.
a. Shear failure under edges.
b. Lateral displacement adjoining fill.
c. Control of rate of fill placement if necessary.
4. Effects on adjoining structures or areas.
a. Settlement.
b. Lateral displacements.
G. Retaining walls, bulkheads, and other earth retaining structures.
1. Adequacy, continuity, and filters for drains.
2. Placement procedures and sequence to minimize distortions or
displacements.
3. Character and quality of fill materials.
4. Observation and measurement of displacements or stresses during
prestressing or backfilling.
H. Special problems.
1. Metastable soils.
a. Identification.
b. Construction procedures.
2. Sensitive clays to avoid disturbance.
a. Construction procedures.
b. Rates of loading.
3. Existing banks and slopes.
4. Noxious or explosive gases.
a. Occurrence.
b. Safety procedures.
5. Expansive soils or rocks.
a. Identification.
b. Construction procedures.
APPENDIX B 61
IV. Observations following construction

A. Settlement at established time intervals of buildings and other structures
including those due to:
1. Consolidation of compressible strata.
2. Effects of vibration.
3. Metastabie soils.
Note: Settlement observations must be referred to a stable bench mark
B. Lateral displacements or distortion especially those related to:
1. Fills.
2. Stock piles such as coal piles, ore piles, etc.
3. Soil supported structures such as buildings or large tanks.
4. Deep excavations such as dredged areas, channels, slips for vessels
or rail or truckways.
C. Piezometric levels under buildings or in adjoining areas especially if:
1. Untreated wood piles are used.
2. Deep drainage or permanent dewatering systems are installed.
3. Deep basements are constructed.
D. Deflection or displacement of retaining structures such as bulkheads or
retaining walls considering:
1. Normal backfill loadings.
2. Effects of stock piles, fills, or other surface loadings.
3. Freezing.
E. Flow measurement from drains.
F. Special problems.
1. High temperature structures such as boilers, hot ducts, flues, etc.
a. Dessication of clay or silt soils.
b. Monitoring of temperatures.
c. Movements.
2. Low temperature structures such as cryogenic installations or
refrigerated areas.
a. Temperature monitoring.
b. Freezing of soil.
c. Frost heave or displacement.
d. Effects of subsequent thawing.
3. Moisture control in metastable soils.
a. Soil-moisture monitors.
b. Drainage operation and maintenance.
4. Seismic areas.
a. Instrumentation.
PRICE LIST OF AVAILABLE* MANUALS AND REPORTS OF
ENGINEERING PRACTICE
(50% Discount to Members)
Number Title Price

8 Engineering and Contracting Procedure for Foundations ................................................ $ 0.70
10 Technical Procedure for City Surveys ................................................................................ 3.00
13 Filtering Materials for Sewage Treatment Plants ............................................................. LOO
14 Accommodation of Utility Plant Within the Rights -of-Way of
Urban Streets and Highways ....................................................................................... 12.00**
17 Timber Piles and Construction Timbers ............................................................................. 0.70
27 Pile Foundations and Pile Structures ................................................................................. 1.10
31 Design of Cylindrical Concrete Shell Roots ........................................................................ 5.00
33 Cost Control and Accounting for Civil Engineers ............................................................ 3.00
34 Definitions of Surveying, Mapping, and Related Terms ................................................... 8.00
35 A List of Translations of Foreign Literature on Hydraulics ............................................ 6.00
36 Sewage Treatment Plant Design ......................................................................................... 7.00
37 Design and Construction of Sanitary and Storm Sewers ................................................... 10.00
39 Sanitary Landfill .................................................................................................................. 20.00
40 Ground Water Basin Management .................................................................................... 8.00
41 Plastic Design in SteelA Guide and Commentary ......................................................... 10.00
42 Design of Structures to Resist Nuclear Weapons Effects ................................................ 4.00
44 Report on Highway and Bridge Surveys ............................................................................ 6.00
45 Consulting EngineeringA Guide for the Engagement of
Engineering Services................................................................................ , ................... 2.00
46 Report on Pipeline Location ................................. , ............................................................ 5.00
47 Selected Abstracts on Structural Applications of Plastics ................................................ 4.00
48 Bibliography on Bolted and Riveted Joints ........................................................................ 8.00
49 Urban Planning Guide ........................................................................................................ 8.00
50 Report on Small Craft Harbors ........................................................................................... 6.00
51 Survey of Current Structural Research ............................................................................... 8.00
52 Guide for the Design of Steel Transmission Towers ........................................................ 4.00
53 Criteria for Maintenance of Multilane Highways .............................................................. 1.00
54 Sedimentation Engineering.................................................................................................. 30.00***
55 Guide to Employment Conditions for Civil Engineers .................................................... 4.00
56 Subsurface Investigation for Design and Construction of Foundations
of Buildings .................................................................................................................. 6.00
Numbers 1, 2, 3, 4, 5, 6, 7, 9, I I , 12, 15, 16, 18, 19, 20, 21, 22, 23, 24, 25, 26, 28, 29, 30, 32, 38, and 43 are
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ASCE- MANUALS AND REPORTS ON ENGINEERING PRACTICE-NO.

MANUALS AND REPORTS ON ENGINEERING PRACTICE

A manual or report in this series consists of an orderly presentation

A series entitled Manuals and Reports on Engineering Practice/ to include the

PREPARED BY THE COMMITTEE FOR THE MANUAL ON

HEADQUARTERS OF THE SOCIETY

Library of Congress Catalog Number: 76-22016

The foundation conditions for structures, even modest ones, should be

1. Initial studies and explorations to determine soil stratification and characteris

The objective of a foundation exploration is to determine, to the degree

Geology.Geological studies are frequently omitted in investigations for

1. United States Geological Survey publications; (a) Bibliography of North

2. State geological surveys of Bureau of Mines: The addresses of state geological

Correlation of such geological studies can be difficult, especially when the

The performance of existing buildings often can be an indicator of possible

Geophysical techniques applicable to foundation engineering and ground-water

Determination of ground-water levels may or may not be necessary depending on

Medium Can be grooved or gouged 1/16 in. deep by firm pressure on

When pertinent, samples of soil and ground water should be submitted to

1. Classification tests that may be run on either disturbed or undisturbed samples.

The more commonly used tests in these two categories include:

Techniques for dynamic testing are in a state of development. Consequently, they

interpreting data obtained. A simple large diameter cone penetrometer for

1. Abstracts of North American Geology, United States Geological Survey, Department

FIG. 3.Sample Boring Log

1. Because of limitations of time and economics and the vagaries of subsurface

tions in soft materials is extremely difficult to prevent. Procedures and means

FIG. 4. Method of Measuring Heave of Bottom of Excavations

FIG. 5. Deep Bench Mark

construction procedure should be based on the observations. As stated earlier, data

The foregoing is not intended as a comprehensive text on the construction control

Organic Soils.Soils containing significant amounts of organic materials, either

Soil Distortions.Soils distort laterally as well as vertically under surface

The scope and procedures to be employed in any soils or foundation investigation

I. Scope and objectives

IV. Observations following construction

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