GeotechnicalEngineeringHandbookVolume 1: Fundamentals

Editor:Ulrich Smoltczyk

irnst&SohnA W i l e y C o m p a n y

Contents

1.1 International agreementsUlrich Smoltczyk and Christophe Bauduin

1 Classification of geotechnical literature 12 Symbols 33 International rules for foundation engineering 44 Basic terms by EN 1990 and EN 1997 64.1 Classification of assessments in Eurocodes (EN 1990,1.4; EN 1997-1,1.3) . 64.2 Limit states (EN 1990) 64.3 Design situations (EN 1990,3.5) 74.4 Geotechnical categories (EN 1997-1,2.1) 74.5 Observational method (EN 1997, 2.7) 74.6 Partial safety factor method 85 Geotechnical report 125.1 Ground investigation report (EN 1997-1,3.4) 135.2 Ground design report (EN 1997-1, 2.8) 146 References 16

1.2 Determination of characteristic valuesChristophe Bauduin

1 Introduction 172 From derived value to design value 172.1 Sequential steps 172.2 Points of view when analyzing test results 192.3 Points of view when determining characteristic values of ground

Parameters (EN 1997-1, 2.4.5) 252.4 Use of statistical methods 283 Examples 373.1 Local sampling 373.2 Local sampling with V well-known 383.3 Soil property increasing linearily with depth 393.4 Analysis of shear tests 413.5 Example: Boulder clay 454 References 49

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1.3 Geotechnical field investigationsKlaus-Jürgen Melzer and Ulf Bergdahl

1 Basics -*11.1 Standards 511.2 Preliminary investigations 521.3 Design investigations 532 Ground investigation by excavation, drilling and sampling 532.1 General 5 3

2.2 Investigation of soils 562.3 Investigation of rocks 622.4 Obtaining Special samples 672.5 Investigation of groundwater conditions 683 Ground investigation by penetration testing 713.1 General VI3.2 Dynamic probing 733.3 Standard penetration test 773.4 Cone penetration test 823.5 Field vane test 903.6 Weight sounding test 934 Lateral pressure tests in boreholes 964.1 Equipment and test procedures 964.2 Evaluation 1025 Determination of density 1065.1 Sampling methods 1065.2 Radiometrie methods 1076 Geophysical methods 1096.1 General 1096.2 Brief descriptions of some methods 1107 References 1118 Standards 116

1.4 Properties of soils and rocks and their laboratory determinationPaul von Soos and Jan Bohäc

1 Soils and rocks - origins and basic terms 1192 Properties of soils 1192.1 Soil layers 1192.2 Soil samples 1202.3 Laboratory investigation - performing and evaluating 1202.4 Soil properties and laboratory testing 1213 Properties of rocks 1264 Characteristics and properties of solid soil particles 1264.1 Particle size distribution 1264.2 Density of solid particles 1294.3 Mineralogical composition of soils 1304.4 Shape and roughness of particles 1324.5 Specific surface J32

Contents XI

4.6 Organic content 1334.7 Carbonate content 1345 Characteristics and properties of soil aggregates 1345.1 Fabric of soils 1345.2 Porosity and voids ratio 1355.3 Density 1385.4 Relative density 1385.5 Water content 1405.6 Limits of consistency - Atterberg limits 1405.7 Water adsorption 1445.8 Compaction; moisture - density relations 1455.9 Size of voids; filters 1465.10 Capillarity 1475.11 Water permeability 1505.12 Air permeability 1526 Stress-strain behaviour 1536.1 General considerations 1536.2 One-dimensional compression and consolidation (oedometer) test 1576.3 Triaxial compression test 1646.4 Unconfined compression test 1686.5 Tests with the general State of stress - true triaxial test and biaxial test . . . . 1686.6 Measurement of time dependent deformation 1697 Determination of shear strength parameters 1717.1 General aspects of strength testing 1717.2 Triaxial compression test 1767.3 Determination of unconfined compressive strength and sensitivity 1797.4 Shear box test 1808 Determination of tensile strength 1829 Determination of slake durability of rock 18310 Correlations 18310.1 Proctor density and Optimum water content of fine-grained soils 18310.2 Water permeability 18410.3 Stress-strain relations for soils 18510.4 Parameters of shear strength 18711 Classification 18911.1 Soil classification 18911.2 Rock classification 19712 References 200

1.5 Constitutive laws for soils from a physical viewpointGerd Gudehus

1 Introduction 2071.1 Motive and objective 2071.2 Contents 2082 States and changes of State : . • • • 2102.1 States 2102.2 Changes of State 220

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2.3 Special sequences of State and stability 2273 Stress-strain relations 2373.1 Finite constitutive laws 2373.2 Elastoplasticity 2413.3 Hypoplasticity 2484 Further constitutive laws 2534.1 Physico-chemical and granulometric changes 2534.2 Transport laws 2544.3 Granulär interfaces 2545 References 256

1.6 Calculation of stress and settlement in soil massesHarry Poulos

1 Introduction 2592 Basic relationships from the theory of elasticity 2602.1 Definitions and sign Convention 2602.2 Principal Stresses 2602.3 Maximum shear stress 2612.4 Octahedral Stresses 2612.5 Two-dimensional stress Systems 2622.6 Analysis of strain 2632.7 Elastic stress-strain relationships for an isotropic material 2652.8 Summary of relationships between elastic parameters 2663 Principles of settlement analysis 2673.1 Components of settlement 2673.2 Application of elastic theory to settlement calculation 2673.3 Allowance for effects of local soil yield on immediate settlement 2693.4 Estimation of creep settlement 2693.5 Methods of assessing soil parameters 2704 Solutions for Stresses in an elastic mass 2724.1 Introduction 2724.2 Kelvin problem 2724.3 Boussinesq problem 2734.4 Cerruti's problem 2734.5 Mindlin's problem no. 1 2744.6 Mindlin's problem no. 2 2764.7 Point load on finite layer 2784.8 Finite line load acting within an infinite solid 2784.9 Finite vertical line load on the surface of a semi-infinite mass 2794.10 Horizontal line load acting on the surface of a semi-infinite mass 2794.11 Melan's problem I 2804.12 Melan's problem II 2814.13 Uniform vertical loading on a strip 2814.14 Vertical loading increasing linearly 2814.15 Symmetrical vertical triangulär loading 2824.16 Uniform vertical loading on circular area 283

Contents XIII

4.17 Uniform vertical loading on a rectangular area 2844.18 Other cases 2855 Solutions for the settlement of shallow footings 2855.1 Uniformly loaded strip footing on a homogeneous elastic layer 2855.2 Uniformly loaded circular footing on a layer 2855.3 Uniformly loaded rectangular footing on a layer 2876 Rate of settlement of shallow footings 2896.1 One dimensional analysis 2896.2 Effect of non-linear consolidation 2916.3 Consolidation with vertical drains 2916.4 Two- and three-dimensional consolidation 2936.5 Simplified analysis using an equivalent coefficient of consolidation 2937 Solutions for the settlement of strip and raft foundations 2977.1 Point load on a strip foundation 2977.2 Uniform loading on a strip foundation 2977.3 Uniform loading on a circular raft 2997.4 Uniform loading on a rectangular raft 3017.5 Concentrated loading on a semi-infinite raft 3038 Solutions for the settlement of pile foundations 3058.1 Single piles 3058.2 Pile groups 3099 References 310

1.7 Treatment of geotechnical ultimate limit states by the theory of plasticityRoberto Nova

1 Fundamentals of ultimate limit states 3131.1 Introduction 3131.2 Definitions 3141.3 Fundamental theorems for Standard materials 3172 Limit analysis of shallow foundations on a purely cohesive soil 3192.1 Introduction 3192.2 Lower bound analysis 3202.3 Upper bound analysis 3212.4 Refined lower bound analysis: method of characteristics 3222.5 Refined upper bound: slip lines 3252.6 Strip footing 3262.7 Circular footings 3283 Limit analysis for non-standard materials 3293.1 Introduction 3293.2 Fundamental theorems for non-standard materials 3294 Further limitations of limit analysis - slope stability 3324.1 Introduction 3324.2 Simple lower bound analysis 3334.3 Simple upper bound analysis 3334.4 Improvement of bound estimates 3344.5 Actual critical height of a vertical cut 3355 Elastoplastic analysis of shallow foundations 336

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5.1 Introduction 3 3 6

5.2 Fundamental experimental findings 3 3 7

5.3 Behaviour in unloading-reloading 3 3 8

5.4 Permanent displacements and rotations -"y

5.5 Parameter determination 3415.6 Comparison with experimental data 3425.7 An application to the settlement of the Pisa bell-tower 3456 References 351

1.8 Soil dynamics and earthquakesGünter Klein and Frank Sperling

1 Introduction 3 5 3

2 Basic mechanical considerations 3542.1 Time dependent processes 3542.2 Basics of technical Vibration Systems 3573 Dynamics of foundation structures 3633.1 Vibration excitation 3633.2 Model Systems for foundation structures 3683.3 Fundamentals of the half-space theory 3754 Dynamics of subsoil 3784.1 Dynamical properties of soils 3784.2 Characteristic parameters of dynamic soil properties 3804.3 Design parameters for rigid foundations 3824.4 Shock protection and Vibration isolation 3845 Dynamics of earthquakes 3885.1 Basic seismological concepts 3885.2 Design methods for buildings 3935.3 Effect of earthquakes on foundation engineering 3986 Literature 4037 References 404

1.9 Earth pressure determinationGerd Gudehus

1 Introduction 4071.1 Objectives 4071.2 Selection and organization of material in the paper 4082 Limit states without pore water 4082.1 Plane slip surface 4082.2 Curved slip surfaces and combined mechanisms 4122.3 Three-dimensional effects 4183 Limit states with pore water 4213.1 Air-impervious soils 4213.2 Air-pervious soils 4264 Deformation-dependent earth pressures 4284.1 Granulär soils 42g4.2 Clayey and organic soils 4315 References , • 43g

Contents XV

1.10 Numerical methodsPeter Gussmann, Hermann Schad, Jan Smith

1 General methods 4371.1 Difference procedures 4371.2 Integral equations and the boundary element method 4402 Basics of the finite element method (FEM) 4412.1 Matrices of elements and structures 4422.2 Calculation techniques for non-linear problems 4483 The application of FEM in geotechnics 4523.1 Static problems 4523.2 Time dependent problems 4554 The kinematical element method (KEM) and other limit load methods . . . 4604.1 Basics 4604.2 A static approach: the method of characteristics from Sokolovski 4614.3 Kinematical methods: KEM 4624.4 Slice methods 4714.5 Application to bearing capacity of footings: comparison investigations . . . . 4744.6 Design formulas and design tables or Charts for Standard slopes 4775 References 477

1.11 Metrological monitoring of slopes, embankments and retaining wallsKlaus Linkwitz and Willfried Schwarz

1 Task and objective 4812 About the practical Organisation, solution and carrying out of the task . . . . 4822.1 Conceptual design and exploration of the measurements 4832.2 Selection of the points and monumentation 4832.3 Observations 4842.4 Evaluations 4842.5 Interpretation 4843 Geodetic methods of monitoring measurements 4853.1 Alignments 4863.2 Polygonal traverses 4913.3 Trigonometrical determination of individual points; nets 5003.4 Automated methods 5123.5 Inclination measurements 5194 Photogrammetrical methods of monitoring measurements 5264.1 Methodology and procedures 5264.2 Aerial photogrammetry 5274.3 Terrestrial photogrammetry 5324.4 Digital photogrammetry 5335 Satellite supported methods 5355.1 System structure of GPS 5365.2 Procedures for absolute positioning 5405.3 Procedures for relative positioning 5425.4 Monitoring measurements with satellite supported procedures 545

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6 Evaluation and analysis of the measurements 5466.1 Geodetic analysis and interpretation 5466.2 Structural-physical analysis and interpretation 5486.3 Integral analysis and interpretation 5497 References 551

1.12 Geotechnical measurement proceduresArno Thut

1 Introduction 5612 Objectives of geotechnical measurements 5613 Measured parameters 5633.1 Parameters in the foundation soil 5633.2 Parameters during construction 5643.3 Parameters in the supporting structure 5643.4 Parameters at adjacent structures 5653.5 Parameters for permanent structures 5653.6 Parameters for the rehabilitation of buildings 5664 Measuring instruments, installation and costs 5664.1 Geodetical measurements 5664.2 Geotechnical measurements 5675 Execution of the measurements, reporting 5875.1 Manual measurements 5895.2 Automatic measuring Systems 5895.3 Data visualisation Software 5906 Case histories 5906.1 Deep excavations, adjacent structures 5906.2 Test embankment load, observational method 6016.3 Adler Tunnel - readjustment of a structure 6036.4 Monitoring of unstable slopes 6076.5 Test loading of supporting structure, pile tests,

displacement measurements in pile foundation 6117 References 615

1.13 Phenomenology of natural slopes and their mass movementEdmund Krauter

1 Definitions 6172 Introduction 6173 Slope shapes 6184 Mass movement of slopes 6214.1 Causes, factors 6264.2 Classification, types 6384.3 Shapes of sliding surfaces and failure mechanisms 6514.4 Sequences of movements and hazard assessment 6544.5 Identification and investigation 6625 References . . . . . . . . . . . . . . . . . . . . 664

Contents XVII

1.14 Ice loading actionsMartin Hager

1 Preliminary remarks 6692 Types of ice loads and ice-structure interactions 6693 Properties of ice 6703.1 Mass density of ice 6703.2 Elasticity of ice 6713.3 Thermal expansion of ice 6713.4 Strength of ice 6724 Definitive values of the ice strength for calculation 6745 Thickness of ice 6766 Calculation of the ice loads 6776.1 Ice loads on wide structures 6776.2 Ice loads on narrow slender structures 6786.3 Thermal ice pressure loads 6826.4 Additional vertical ice loads 6836.5 Ice loads on groups of structures 6836.6 Ice loads under Special climatic and ice conditions 6847 References 685

1.15 Stability of rock slopesWalter Wittke and Claus Erichsen

1 Introduction 6872 Structural modeis of rock mass 6883 Mechanisms of failure of rock slopes 6934 Model for the stress-strain behaviour of rock 6964.1 General 6964.2 Intact rock 6984.3 Discontinuities 6984.4 Rock mass 7014.5 Model for the mechanical behaviour of a rock mass with respect to a refined

stress displacement behaviour of persistent discontinuities with no fillings . 7055 Model for seepage flow through a rock mass 7076 Stability investigations according to the finite element method 7126.1 General 7126.2 Computation of Stresses and displacements 7126.3 Computation of a seepage flow 7166.4 Presentation and interpretation of the computed results 7186.5 Influence of shear parameters of discontinuities on the stability of a slope . 7206.6 Support of a slope with prestressed anchors 7236.7 Influence of high horizontal in-situ Stresses 7256.8 Stability investigations on the wall of a construction pit using a refined

conceptual model of the mechanical behaviour of a rock mass 7317 Stability analysis on the basis of rigid-body mechanics 7357.1 General 7357.2 Possibilities of translation and rotation of rock mass wedges 735

XVIII Contents

7.3 Stability analysis of planar rock mass wedges 7407.4 Stability analysis of three-dimensional rock mass wedges supported

by two discontinuities 7487.5 Stability analysis of three-dimensional rock mass wedges supported

by three discontinuities 7578 Bückling problems 7589 Example for the stabilization of a slope failure 7599.1 General 7599.2 Landslide and immediate action 7599.3 Results of the measurements and explorations 7649.4 Concepts for stabilization of the slope 7669.5 Chosen measure for stabilization 7699.6 Drainage measures 77010 References 771

Subject index 775