1 INTRODUCTION

1.1Terminology
Foundations: are the part of a construction that distribute on or into the ground the vertical and
horizontal loads acting on the structure.
Foundation Engineering: encompasses the topics related to shallow and deep foundations;
earth retaining structures and ground improvement techniques (i.e. the treatments of in situ soils
and rocks aimed at increasing their mechanical characteristics and, consequently, at using less
expensive foundations).
Geological Survey: is the investigation of the subsurface of a given site for the purpose of
creating a geological model of it, or a geological map. A detailed geological survey is
mandatory for the design of large constructions (e.g. high-rise buildings; bridges) and of
infrastructures (e.g. tunnels). The Italian building code (NTC) requires that a geological survey
be carried out for any kind of construction.

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Geotechnical Investigation: it aims at obtaining quantitative information on the physical

properties of soil and rock at a site which are necessary to design earthworks, foundations,
shallow and underground excavations, etc. It includes surface exploration (e.g. geophysical
methods, topographic survey, etc.) and subsurface exploration of the site. The later involves
borings, to retrieve soil samples, in situ tests and laboratory tests.
Design stages: from the technical standpoint, the design necessary for relevant civil engineering
projects can be subdivided into three main stages. All of them involve parts of the geotechnical
investigation
Preliminary design: In general is prepared by the client for the engineering firms that will
participate to the tender and that will present their offers. It defines the general characteristics of
the project and contains the main information necessary for the subsequent final design. It does
not necessarily provides details on the foundations. However, it contains the basic geological
and geotechnical information necessary for guiding the choice of the type of foundations and
their design.
Final design: it is based on the preliminary design and contains the details, dimensioning, etc. of
the various parts of the construction and of the foundations. Various engineering firms could
present different proposals. The final design could contain an additional geotechnical

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investigation that provides, with adequate accuracy, the mechanical properties of soil/rock
necessary for dimensioning the foundations and the retaining structures.
Construction design: this is necessary only for particular projects; it contains the details of
the procedure necessary for building up (for instance, long-span bridges) or excavating (for
instance, tunnels) the structure. It is usually prepared by the contactor. Additional geotechnical
investigation could be necessary for this last design stage.
A basic part of the geotechnical investigation is represented by borings, soil sampling and in situ
tests.
Borings: are necessary to identify the soil profile and the type of soil (clay, silt, sand, gravel)
constituting the various layers of the deposit.
Soil samples: are recovered from the borings and can be used for laboratory tests. To this
purpose the samples should be as undisturbed as possible. In practice, laboratory tests are
limited to cohesive soil specimens.
Sample Disturbance: depends on the reduction of the all-around stresses with respect to the in
situ conditions; on the shear interaction between the external part of the recovered soil and the
sampler; on the variation of the water content and density of samples.
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The borings should be extended to the volume of soil undergoing a significant stress/strain
change due to the foundation. This depend on both the depth of the layer and of its mechanical
characteristics. For instance, a moderate stress increase could lead to appreciable deformation in
a deep layer of particularly compressible soil and, hence, to appreciable settlements.
Roughly speaking, during the preliminary design stage one boring should be carried out within
areas of about 5000 m2. The area should decrease to 500 m2 during the final design.
The quality of the investigation should be constant throughout its various stages. In other words,
the preliminary investigation should have the same (good) quality of the subsequent ones so that
all of them provide reliable and consistent data.
The geotechnical investigation must be flexible, i.e. it should be possible to modify it if the
condition met during its first stages are different from the ones initially assumed.
When approaching a new construction site, a complete recovery of soil is required from the first
borings in order to obtain a detailed profile of all soil layers. If, subsequently, additional samples
are required for a specific layer, drillings can be carried out up to the sought depth (without soil
recovering) and samples can be retrieved only for that layer.
In general, it is preferable to recover as much soil as possible from the borings and to limit the
laboratory tests to the significant soil samples.
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1.2 Geotechnical investigation

Means of investigation
Very frequent
Less frequent
- Borings
- Penetrometer (static or dynamic)
Soil profile
- Trenches, wells, drifts
- Geophysical survey (strongly
suggested by NCT)
- Scissometer (or Vane test)
Mechanical Fine grained soils - Laboratory tests
- Penetrometer
properties
- Dilatometer
- Pressuremeter
- Plate load test
Coarse soils
- Penetrometer (static or dyn.) - Plate load test
--- Bishop type piezometers
Water table Fine grained soils
Coarse soils
- Casagrande type piezometers
----- Laboratory tests (e.g. oedometer)
Permeability Fined grained soils
Coarse soils
- Pumping tests from wells
---

In addition, a number of in situ tests are used for determining the dynamic properties of soils.
Soil properties can also be determined through the back analysis of in situ measurements carried
out during construction/excavation works.
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1.2.1 Soil sampling

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 Auger sampler

The auger sampler provides quite disturbed

soil and could be used only for a
qualitative identification of the soil profile.
The auger can be driven by hands or by
a mechanical equipment.
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 Wash boring
This method, as the previous one, is soldom used in engineering practice. The hole is advanced
by an auger and then a casing pipe is pushed to prevent the sides from caving in. A stream of
water under pressure is forced through the rod into the hole. The loosened soil in suspension in
water is collected in a tub.
This method does not provide soil samples.
It provides only a rough information
on the main soil layers.

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 Shelby sampler (thin wall tube sampler)

Thin walled samplers are most conveniently used in moderately stiff

clays.
When used in soft soil or sand, a core catcher (trap valve or basket shoe)
is needed to keep the soil inside the sampler during withdrawal.
The borehole must be protected by a casing which advances after the
soil is recovered.

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 Osterberg sampler (piston sampler)

The sampler advances through an hydraulic pressure. This reduces the disturbance and permits
sampling also stiff clays.

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 Denison sampler (rotary drilling)

It is a large-diameter (15 cm), double-tube core barrel,
which is effective in obtaining samples of hard cohesive
soils, soft rock, cemented soils, and soils containing gravel
that cannot be obtained with push-type Osterberg samplers.
This sampler consists of a rotating outer barrel with cutting
teeth on the bottom and an inner barrel with a smooth cutting shoe.
The sample is captured in a very thin inner liner, which
facilitates retrieval and handling.
Core catchers should not be used unless absolutely necessary
to retain the soil sample. Care should be taken not to
overdrive the sample to avoid disturbance.

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1.2.2 In situ tests

- Scissometer test (or Vane test)
- Dynamic standard penetration Test, SPT
- Dynamic cone penetration tests, DCPT
- Static cone penetration test, CPT
- Piezocone
- Pressumeter test (or Menard test)
- Dilatometer test
- Piezometers
- In situ pumping test
- Plate load test
(Seismic tests are mainly used to assess the shear wave velocity of soil deposits. Among them
the following can be mentioned: Cross hole and down hole tests; Surface wave method; Seismic
refraction; Seismic cone; Field velocity probe FVP; etc.)
In geotechnical engineering the term dynamic denotes penetration tests in which the
penetrometer is driven into the soil by means of blows produced by a falling mass.
The term static denotes the tests in which the penetrometer is driven by an engine and
advances at a constant rate into the soil.
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 Scissometer (or Vane test)

It is used to measure the undrained cohesion of clays.

Field Vane tester

Pocket Vane tester

Pocket
penetrometer

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 Standard penetration test (SPT)

The SPT test is carried at a chosen depth within a boring. It uses a thick-walled sample tube,
with outside diameter of 50 mm, inside diameter of 35 mm and length of around 650 mm.
The samples is driven into the ground at the bottom of the borehole by blows from a slide
hammer with a weight of 63.5 kg (140 lb) falling through a distance of 760 mm (30 in).
The sample tube is driven 150 mm into the ground and then the number of blows needed for the
tube to penetrate each 150 mm (6 in) up to a depth of 450 mm (18 in) is recorded. The sum of
the number of blows required for the second and third 6 in of penetration is termed the "standard
penetration resistance" or the "N-value" or NSPT.
In cases where 50 blows are insufficient to advance it through a 150 mm (6 in) interval the
penetration after 50 blows is recorded.
(split spoon barrel)

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1-15

Equipment

(hand operated; delivers

about 45% of free fall energy)

(automatic; delivers
about 90% energy)
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Recovered soil

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Split tube (or split barrel)

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1-19

Boring with SPT tests

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The blow count provides an estimation of the relative density of soil and it is used for the
empirical evaluation of mechanical parameters such as the friction angle and the modulus of
elasticity of granular deposits.
Advantages of SPT:
- Relatively simple to perform with respect to other in situ tests.
- Provides both quantitative data (NSPT) on the mechanical characteristics of soil and the soil
profile.
- The equipment is robust and relatively cheap.
- A number of empirical diagrams are available for interpreting the test results.
Drawbacks:
- It does not provide continuous results.
- Disturbed recovered samples.
- Limited applicability to cohesive soils and to soils containing boulders.
- Slower than other in situ tests due to the sample retrieval.
- Results influenced by overburden pressure, soil type, particle size, stress history of the
deposit.
- Significant variation of the measured penetration resistance due to the different
characteristics of the commercially available SPT devices.

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Factors affecting the number of blows NSPT

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1-24

 Dynamic cone penetration test (DCPT)

This test is quite similar to SPT but for the tip of the device which is conical.
It provides the same number of blows (NSPT) of the SPT test and its results can be interpreted
through the same diagrams used for the SPT.
Advantages:
- The tools advances into the ground without need to bring it back to the surface every 45 cm.
- This test is particularly suitable for coarse grained soils (gravel).
- The presence of boulders usually do not stop the test.
Drawbacks;
- It does not provide soil samples and it cannot properly identify the soil profile. Consequently,
the soil profile must be determined in advance by borings.

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The so called light dynamic cone penetrometer is sometime used for evaluating the density of
artificial fills and embankments, even though it does not provide reliable results.

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 Static cone penetration test (CPT, Dutch cone)

The cone penetration test (CPT) is a method used to determine both the mechanical properties of
soils and their stratigraphy.
It was developed in the 1950s at the Dutch Laboratory for Soil Mechanics in Delft University to
investigate soft soils. Based on this, it has also been called the "Dutch cone test".
The test method consists of pushing an instrumented cone into the ground at a controlled rate
(usually between 1.5 -2.5 cm/s).
The resolution of the CPT in delineating stratigraphic layers is related to the size of the cone tip,
which has a typical cross-sectional area of either 10 or 15 cm, corresponding to diameters of 3.6
and 4.4 cm.

The tapered sleeve avoids the lateral friction on the cone, which measures only the base force.
The jacket measures the lateral frictional force.
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Sequence of steps of the CPT test:

- The cone is first advanced by means of an inner rod and the tip resistance qc is measured.
- The shaft is then advanced to the cone base and the skin resistance qs is measured.
- Both cone and shaft are finally advanced simultaneously and the total resistance is measured,
which should approximately be the sum of the previous base and skin resistance.

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- The so called light static cone penetrometer is sometime used for determining the
resistance of shallow soil layers but it does not provide reliable results.

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 Piezocone
This is a CPT where a porous stone, connected to a manometer, is installed at the tip of the cone
to record the variation of pore pressure during penetration. This test is suitable for defining the
stratigraphy of soft soil containing thin layers of sand and clay.

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 Pressuremeter
This test can be performed in fine grained soils and leads to the estimation of the coefficient of
earth pressure at rest K0 and of the shear modulus (in the horizontal direction) of soil.

Scheme of Menard pressuremeter

Self-boring pressuremeter
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Details of a pressuremeter

Results of a test (p0 is considered as the

geostatic horizontal stress)
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 Flat dilatometer (DTM, Marchetti dilatometer)

With respect to the pressuremeter, the flat dilatometer has the advantage of reducing the
disturbance due to its penetration into the soil. It is also used to evaluate the undrained cohesion
of clays and other mechanical parameters.

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Results of tests

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 Piezometers
These are devices used to measure the in situ pore pressure. They can be subdivided into two
categories: those that measure the height to which the column of water rises against gravity;
those that measure the pore pressure thorough a manometer.

Open standpipe piezometer or Casagrande piezometer (for granular soils)

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Pneumatic, or Bishop, piezometer or pore pressure cell (for cohesive soils)

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 Hydraulic conductivity tests

A

r0

The coefficient of hydraulic conductivity k

can be obtained from a steady state pumping
test

Main difficulties:
- Reaching the steady state regime during
the test.
- Determining the distance A from the well
at which the water table reaches its
undisturbed elevation.

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Piezometers or observational wells can be used for determining the change of the free surface
elevation

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 Plate load test

It is sometime used to evaluate
the in situ elastic modulus of the
Winkler constant of in situ soils.

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Drawback: the stress increase induced by the plate reaches a depth smaller than that involved by
the actual foundation.

Results of plate load tests

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Various relationships have been proposed to extrapolate the settlement measured during the load
test to that of the actual foundation,

B0
B
S0
S

size of the plate

size of the foundation
settlement of the plate
settlement of the foundation

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1.2.3 The Calibration Chamber

The interpretation of the data from SPT, DCPT, CPT, etc. is based on diagrams that have been
obtained through the Calibration Chamber.
This is a large experimental device in which the penetration test is performed under controlled
conditions.

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1-44

The testing procedure of the calibration chamber is divided into two stages.
First stage:
- The calibration chamber is first filled with the chosen type of soil. The pluvial deposition is
used for granular soils. The soil falls within the chamber from a hopper. The sought relative
density of soil is obtained by changing the aperture of the hopper and the height of fall.
- An upper plate with a hole at its centre is fixed to the chamber.
- Vertical and horizontal pressures are applied to the soil through flat jacks in order to account
for the influence of depth.
- The penetrometer is mounted on the top plate and the penetration tests is performed.
This first stage provides empirical relationships between the type and density of soil and the data
recorded during penetration (e.g. number of blows of the SPT).
Second stage:
- Triaxial test samples are prepared having the same density of the soil in the calibration
chamber. The moist tamping technique is used for granular soils.
- The triaxial tests lead to the mechanical parameters (elastic modulus, friction angle, etc.).
The second stage relates the mechanical parameters to the results of the in situ test (e.g. NSPT).

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1.2.4 Interpretation of SPT and DCPT tests

Terzaghis classification of sands
Density of sand N60
Very loose
0-4
Lose
4-10
Medium
10-30
Dense
30-50
Very dense
>50
(N60 is the NSPT value obtained
when 60% of the energy of
blows is transferred to the rod)

Classification of clays
Consistency of
Fine-grained soil
Very soft
Soft
Medium
Stiff
Very stiff
Hard

NSPT
0-2
2-4
4-8
8-15
15-30
>30

qu [kPa]
(unconf. compress. strength)
<25.
25-50
50-100
100-200
200-400
>400

Empirical values of the friction angle [] for granular soils

Description NSPT
loose
4-10
medium
10-30
dense
30-50
very dense
>70

Dr
0.15
0.150.35
0.350.65
>0.85

Silty sand
20
2224
2528
30

Fine sand
30
3234
3536
37

Coarse sand
33
3537
3840
41

Gravel
36
3739
4042
45
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N70 is the NSPT value obtained when 70% of the energy of blows is transferred to the rod.
Relative density
; void ratio

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Relationships between

and friction angle of granular soils

(Peck, Hanson and Thorburn, 1974)

(if no soil type is mentioned, usually the diagrams refer to medium sand)

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(De Mello, 1971)

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Relationship between

and compressibility modulus (DAppolonia et al., 1970)

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1.2.5 Interpretation of CPT tests

Schmertmann classification of soils based on the results of Begemann cone

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Schmertmann interpretation of the results of Fugro cone (1976)

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Diagram proposed by Trofimenkov for sand (1974)

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1.2.6 Laboratory tests

The laboratory tests have been discussed in the Geotechnical Engineering course. Only the main
of them are recalled here.
Grain size distribution

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Sieves for grain size analysis (mesh size n means that the number of squares in one inch is n
both horizontally and vertically).

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The particle size distribution of fine soil (silt, clay) is determined through sedimentation using a
hydrometer on the basis of Stokes law.

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 Atterberg limits
The Atterberg limits define the states (solid, semi-solid, plastic and liquid) of silts and clays.
They are expressed in terms of water content w=Vw/Vtot.
The Shrinkage Limit (SL) is the water content below which further loss of moisture does not
lead to volume reduction. It represents the boundary between solid and semi-solid states. It is
much less commonly used than the liquid and plastic limits.
The Plastic Limit (PL) is the water content below which a thread of soil rolled on flat, nonporous surface breaks into fragments when reaching a diameter of 3 mm. It represent the
boundary between semi-solid and plastic states.
The Liquid Limit (LL) is the water content at which
a soil changes from plastic to liquid states.
The test is performed through Casagrande cup.

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The Plasticity Index (PI) defines the water content range within which the soil is in a plastic
state (PI = LL-PL). Clays have high PI, silts have low PI. Soils with PI close to 0 are nonplastic and have vanishing silt or clay component.
Depending on their PI, soils can be classified as follows: 0-1 non plastic; 1-5 slightly plastic;
5-10 low plasticity; 10-20 medium plasticity; 20-40 high plasticity; >40 very high plasticity.
Index properties
The Liquidity Index (LI) defines the relative position of the natural water content w between
liquid and plastic limits: LI=(w-PL)/(LL-PL)
The undrained cohesion of the remolded soil can be roughly estimated on the basis of LI.
The Consistency Index (CI) is defined as 1-LI.
The Activity (A) is the ratio between PI and the percent in weight of clay particles (less than 2
m). High activity, exceeding 1.25, implies large volume change when wetted and large
shrinkage when dried. Soils with high activity are very reactive chemically. The clay is
considered inactive if A is less than 0.75.
The Sensitivity is the ratio between the undrained compressive strength of intact soil and that of
the remoulded soil having the same water content.
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The soil Unit Weight is usually determined in the laboratory by measuring the weight and
volume of a relatively undisturbed soil sample trimmed by means of a brass ring of know radius
and height (i.e. of known volume). The unit weight of granular soil can be determined by in situ
tests (in situ sand cone test, nuclear densometer).
Uniaxial Compression Test: provides the undrained cohesion of clay samples.
Triaxial Test: provides stiffness and shear strength characteristics of soils in drained or in
undrained conditions. In engineering practice
it is used for cohesive soils.
It can also be used for particular studies on
granular soils. In this case the sample should
be reconstituted at the sought relative density
thorough, e.g., the moist tamping technique.
The test consists of three main stages:
- sample saturation (back pressure technique);
- sample re-consolidation (isotropic or anisotropic);
- loading stage up to failure (drained or undrained).
The vertical load is increased in compression tests,
keeping constant the cell pressure, while the cell
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pressure is decreased in extension tests, keeping constant the vertical load.

The main testing procedures are: UU (unconsolidated undrained); CU (consolidated undrained);
CiD (consolidated isotropically drained); CaD (consolidated anisotropically drained).
The quantities to record during the loading stage are: vertical deformation; vertical load; volume
change for drained tests or pore pressure change for undrained tests.
Example of results of CD tests

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Example of results of CU tests

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 Oedometer Test provides data on the one dimensional consolidation process of clays and
silts.

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 Direct Shear Test: provides the drained shear resistance of the soil sample along a predefined plane.

Annular or torsional or ring direct shear test

(Hvorlsev, 1936)

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Qualitative results of direct shear tests

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