CIVE683: ADVANCED FOUNDATION DESIGN

The design and construction of foundations on swelling soils

Fabrice Dongmo Donfack

260653562
McGill University
3/18/2015

CIVE683: ADVANCED FOUNDATION DESIGN

swelling soils

The design and construction of foundations on

Table of Contents
1)

INTRODUCTION: .................................................................................................................................... 3

2)

GEOGRAPHICAL DISTRIBUTION OF EXPANSIVE SOILS: ......................................................................... 3

3)

SITE CHARACTERIZATION: ..................................................................................................................... 4

3.1 FACTORS INFLUENCING SWELLING AND SHRINKING OF SOILS: ......................................................... 5

4)

VOLUME CHANGE BEHAVIOR ............................................................................................................... 7

4.1

Factors controlling resistance to volume change: ........................................................................ 8

4.2 PHYSICAL INTERACTIONS IN VOLUME CHANGE ................................................................................. 8

4.3 FABRIC, STRUCTURE AND VOLUME CHANGE ..................................................................................... 8

5)

a)

Shrinkage:...................................................................................................................................... 8

b)

Collapse: ........................................................................................................................................ 8

c)

Swelling : ....................................................................................................................................... 9

IDENTIFICATION AND CLASSIFICATION OF EXPANSIVE SOILS:.............................................................. 9

5.1 Engineering Classification Tests: ......................................................................................................... 9
5.2 Mineralogical Methods: .................................................................................................................... 10
a)

Free Swell .................................................................................................................................... 11

b)

Potential Volume Change (PVC).................................................................................................. 11

c)

Expansion Index Test................................................................................................................... 11

5.2 CLASSIFICATION SCHEMES: ............................................................................................................... 12

a)

Classification Using Engineering Index Properties: ..................................................................... 12

5.3 COLE Classification Chart: ................................................................................................................. 14

5.4 Comparison of Classification Schemes.............................................................................................. 17
6)

CASE HISTORIES: ................................................................................................................................. 17

6.1 Several structures damaged in Colorado .......................................................................................... 17
6.2 Damaged residential building in Australia: ....................................................................................... 18

7)

DESIGN ALTERNATIVES: ...................................................................................................................... 19

7.1 Structural foundation alternatives:................................................................................................... 20
7.2 Drilled Pier and Beam Foundations: ................................................................................................. 20
7.3 Design Considerations: ..................................................................................................................... 21
7.4 MOISTURE CONTROL AND SOIL STABILIZATION FOR FOUNDATIONS .............................................. 25
a) Moisture Control Methods for Foundations................................................................................... 25
b)

Soil Stabilization: ......................................................................................................................... 25

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8)

The design and construction of foundations on

DESIGN EXERCICE: ............................................................................................................................... 26

Table of Figures
Figure 1: Distribution of reported instances of heaving. (After G.W. Donaldson) ....................................... 4
Figure 2: States of consistency and Atterberg limits of line-grained soils (Lambe and Whitman,1969).... 10
Figure 3: Classification chart for compacted clays based on activity and percent clay (Seed et al.1962) . 13
Figure 4: Comparison of four identification procedures (Chen,1989) ........................................................ 14
Figure 5: Mineralogical classification chart based on activity and cation-exchange activity (Mckeen and
Hamberg, 1985) .......................................................................................................................................... 15
Figure 6: COLE value classification chart (Hamberg, 1985) ........................................................................ 16
Figure 7: COLE value as a function of percent clay for regions shown in Figure 6 ..................................... 16
Figure 8: Expansion potential as indicated by clay activity and CEA .......................................................... 17
Figure 9: Layer heaved with a differential displacement of 3 inches, Dave Noe 1976............................... 18
Figure 10: The footing layer of the single storey, Adelaide 1996 ............................................................... 19
Figure 11: Case study, crack on ceiling and interior wall due to expansive soil, Adelaide 1996 ................ 19
Figure 12: Drilled pier and beam foundation detail (Rocky Mountain, Colorado) ..................................... 20
Figure 13: Forces acting on a rigid pier in expansive soil ............................................................................ 22
Figure 14: General case of elastic pier in elastic expansive soil (Poulos and Davis, 1980) ......................... 23
Figure 15: Design chart for piers in expansive soil_linearly increasing pier-soil shear strength with depth
(Poulos and Davis, 1980: Modified by H.Poulos, 1991). ............................................................................. 24
Figure 16: Design chart for piers in expansive soil_uniform pier-soil strength with depth (Poulos and Davis,
1980: Modified by H.Poulos, 1991). ........................................................................................................... 24
Figure 17: Design chart for predicting pier movement due to axial load (Poulos and Davis, 1980) .......... 25

Tables
Table 1: Soil properties that influence shrink-swell potential ...................................................................... 5
Table 2: Environmental factors affecting swell potential ............................................................................. 6
Table 3: Stress conditions affecting swell potential ..................................................................................... 7
Table 4: Typical values of activities for various clay minerals .................................................................... 10
Table 5: Laboratory tests used in identification of expansive soils ............................................................ 10
Table 6: Expansive soil classification based on colloid content,plasticity index, and shrinkage limit (Holtz
and Gibbs, 1956) ......................................................................................................................................... 12
Table 7: Expansive soil classification based on shrinkage limit or linear shrinkage (Altmeyer ,1955.) ...... 12
Table 8: Expansive soil classification based on plasticity index (Chen (1988).) .......................................... 13
Table 9: Expansive soil classification based on plasticity and shrinkage index (Raman ,1967.) ................. 13
Table 10: Expansive soil classification based on liquid limit, plasticity index and in situ suction (Snethen et
al. 1977.) ..................................................................................................................................................... 14
Table 11: Composition of mineralogical regions on the CEAc-Ac chart (tr, trace < 5%)............................. 15

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1) INTRODUCTION:
Expansive soil is a term generally applied to any soil or rock material that has a potential for shrinking or
swelling under changing moisture conditions. Expansive soils, swelling clays, shrinking soils, expansive
shales all are terms applied to similar soil conditions. The problem of expansive soil was not recognized
until the latter part of 1930. The U.S. Bureau of Reclamation first recognized the swelling soil problem in
1938 in connection with a foundation for a steel siphon at their Owyhee Project in Oregon. Since that time,
engineers realized the cause of damage was sometimes other than settlement. The increasingly extensive
use of concrete slab-on-ground construction, after 1940, has further increased the damage to structures
caused by expansive soils. Today, there is a world-wide interest in expansive clays and shales. Engineers
from Canada, South Africa, Egypt and United States have contributed immensely to knowledge and the
proper design for structures on expansive soils.
The swelling behavior of soil would depend largely on the type of clay minerals that are present in the soil
and the proportion in which they are. In order to identify and characterize this particular type of soil, the
most used classifications methods will be discussed. Two cases study of damaged structures will be
presented to investigate the negative impact of swelling on structures. Where expansive soils could cause
foundation movement on future structures, it is essential to develop design alternatives. For this, two
important design approaches are proposed to mitigate the effects of expansive soils on structures. Many
stabilization methods such as prewetting, compaction control and soil stabilization will be mentioned.
Finally, a design exercise will illustrate some steps of the design under expansive soil.

2) GEOGRAPHICAL DISTRIBUTION OF EXPANSIVE SOILS:

Expansive soils are a worldwide challenge. They have been identified on all the worlds continents expect
thus far the polar ones. From damages in Arabia to a Kings palace, to damage reports in the United States,
Canada, Mexico, to the South American continent, Europe, Asia, the Indian subcontinent to Israel, South
Africa, and Australia, these soils have made their presence known.
The figure 1 indicates that the potentially expansive soils are confined to the semi-arid regions of the
tropical and temperate climate zones. Expansive soils are in abundance where the annual
evapotranspiration exceeds the precipitation. This follows the theory that in semi-arid zones, the lack of
leaching has aided the formation of montmorillonite.
Potentially expansive soils can be found almost anywhere in the world. In the underdeveloped nations,
much of the expansive soil problems may not have been recognized. It is to be expected that more
expansive soil regions will be discovered each year as the amount of construction increases.

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Figure 1: Distribution of reported instances of heaving. ( G.W. Donaldson, 1998)

3) SITE CHARACTERIZATION:
In most case, construction on expansive may be very challenging. Then, it becomes essential to
understand the behavior of the soil under this particular condition. The two major factors that must be
identified in the characterization of a site for building or a highway where potential shrink-swell problems
may exist are:

The expansive or shrink swell properties of the soil

Environmental conditions that contribute to moisture changes in the soil

In any geotechnical site investigation, the subsoil profile and the physical properties of the subsurface
materials must be investigated. If expansive soil exists, the environmental conditions that would
contribute to moisture changes must also be evaluated and interpreted for their probable effects on swell
potential. Environmental aspects are very important to expansive soil behavior.
If expansive soils are present on the site, more extensive site investigation and specialized testing
programs are justified. The detailed investigation should be carefully planned. Important aspects of site
characterization include

The soil and environmental factors that affect shrink-swell behavior.

The site exploration process, including techniques for drilling and sampling.
The various methods available in the field for identifying expansive soils during preliminary
investigation

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3.1 FACTORS INFLUENCING SWELLING AND SHRINKING OF SOILS:

The swell potential of an Expansive soil may be affected by either the soils properties influencing the
nature of internal force field, the environmental factors those may change the internal force system or
the state of stress present on the soil.
The mechanism of swelling in expansive clays is complex and is influenced by a number of factors. The soil
and environmental factors that affect swell and shrink behavior are summarized in Tables 1 and 2.
Table 1: Soil properties that influence shrink-swell potential

Factor
Clay Mineralogy

Description
Clay minerals which typically cause soil volume
changes are montmorillonites, vermiculates, and
some mixed layer minerals. Illites and Kaolinites are
frequently inexpansive, but can cause volume
changes when particle size are extremely fine

Soil Water Chemistry

Mitchell (1976)

Soil suction

Snethen
(1980);
Fredlund
and
Morgenstern
(1977);
Johnson (1973)

Plasticity

Soil Structure
Fabric

Dry density

Swelling is repressed by increased cation

concentration and increased cation valence. For
example, Mg2+ cations in the soil water would
result in less swelling than Na+ cations
Soil suction is an independent effective stress
variable, represented by the negative pore
pressure in unsaturated soils. Soil suction is related
to saturation, gravity, pore size and shape, surface
tension, and electrical and chemical characteristics
of the soil particles and water
In general, soils that exhibit plastic behavior over
wide ranges of moisture content and that have high
liquid limits have greater potential for swelling and
shrinkage. Plasticity is an indicator of swell
potential.
and Flocculated clays tend to be more expansive than
dispersed clays. Cemented particles reduce swell.
Fabric and structure are altered by compaction has
been shown to create dispersed structures with
lower swell potential than soils statically
compacted at lower water contents
Higher densities usually indicate closer particle
spacing, which may mean greater repulsive forces
between particles and larger swelling potential

References
Grim (1968); Mitchell
(1973,1976); Snethen et
al. (1977)

Mitchell (1976)

Johnson and Snethen

(1978); Seed et al.
(1962a)

Chen (1973); Komomik

and david (1999), Uppal
(1965)

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Table 2: Environmental factors affecting swell potential

Factor
Initial
Content

Description
Moisture A desiccated expansive soil will have high affinity
for water, or higher suction than the same soil at
higher water content, lower suction. Conversely, a
wet soil profile will loose water more readily on
exposure to drying influences, and shrink more
than a relatively dry initial profile. The initial soil
suction must be considered in conjunction with
expected range of final suction conditions
Moisture Variations
Changes in moisture in the active zone near the
upper part of the profile primarily define heave, it
is in those layers that the widest variation in
moisture and volume change will occur.
Climate
Amount and variation of precipitation and
evapotranspiration greatly influence the moisture
availability and depth of seasonal moisture
fluctuation. Greatest seasonal heave occurs in
semiarid climates that have short wet periods.
Groundwater
Shallow water tables provide source of moisture
and fluctuating water tables contribute to
moisture.
Vegetation
Trees, shrubs and grasses deplete moisture from
the soil through transpiration, and cause the soil to
be differentially wetted in areas of varying
vegetation.
Permeability
Soils with higher permeability, particularly due to
fissures and cracks in the field soil mass, allow
faster migration of water and promote faster rates
of swell.
Temperature
Increasing temperatures cause moisture to diffuse
to cooler areas beneath pavements and buildings.

References

Johnson (1969)

Holland and Lawrence

(1980)

Buckley (1974)

Wise
and
Hudson
(1971); De Bruijn (1965)

Johnson and Stroman

(1976); Hamilton (1969)

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Table 3: Stress conditions affecting swell potential

Factor
Stress History

In situ Conditions

Loading

Soil Profile

Description
An overconsolidated soil is more expansive than the
same soil at the same void ratio, but normally
consolidated. Swell pressures can increase on aging of
compacted clays, but amount of swell under light loading
has been shown to be unaffected by aging. Repeated
wetting and drying tend to reduce swell in laboratory
samples, but after a certain number of wetting-drying
cycles, swell is unaffected.
The initial stress state state in a soil must be estimated in
order to evaluate the probable consequences of loading
the soil mass and/or altering the moisture environment
therein. The effective stresses can be roughly
determined through sampling and testing in a laboratory,
or by making in-situ measurements and observations.
Magnitude of surcharge load determines the amount of
volume change that will occur for a given moisture
content and density. An externally applied load acts to
balance inter-particle repulsive forces and reduces swell.

References
Mitchell (1976); Kassif
and Baker (1971)

Holtz (1959)

The thickness and location of potentially expansive layers Holland and Lawrence
in the profile considerably influence potential (1980)
movements. Greatest movement will occur in profiles
that have expansive clays extending from the surface to
depths below the active zone. Less movement will occur
if expansive soil is overlain by non-expansive material or
overlies bedrock at shallow depth

4) VOLUME CHANGE BEHAVIOR

Volume change in soils are important because they determine settlements due to compression, heave
due to expansion, and contribute to deformations caused by shear stresses. Changes in volume cause
changes in strength and deformation properties that, in turn influence stability. Volume changes are
induced by changes in applied stresses, chemical and moisture environments, and temperature. The
effects of stress changes are generally the most important.
Particle size and shape, which together determine specific surface area, are the most important factors
influencing both the void ratio at any pressure and the effects that physicochemical and mechanical
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factors have on consolidation and swelling. Particle size and shape are direct manifestations of
composition, with increasing colloidal activity and expansiveness associated with decreasing particle sizes.

4.1 Factors controlling resistance to volume change:

Volume change are mainly influenced by both compositional and environmental factors. So meaningful
quantitative predictions of field are possible only if undisturbed samples or in situ tests are used for
determination of properties. The following factors are essential to determine resistance to volume change.

Physical Interactions between Particles: Physical interactions include bending, sliding, rolling, and
crushing of soil particles. Physical interactions are more important than physicochemical
interactions at high pressures and low void ratios.
Physicochemical Interactions Between particles: These interactions depend on particle surface
forces that are responsible for double-layer interactions, surface and ion hydration, and
interparticle attractive forces.
Chemical and Organic Environment: Chemical precipitates cement particles together. Organic
matter influences surface forces and water adsorption properties, which, in turn, increase the
plasticity and compressibility. Temperature changes may cause changes in hydration states of
some salts leading to volume changes.
Mineralogical Detail: Small differences in certain characteristics of expansive clay minerals can
have major effects on the swelling of a soil.

4.2 PHYSICAL INTERACTIONS IN VOLUME CHANGE

Physical interactions between particles include bending, sliding, rolling, and crushing. In general, the
coarser the gradation, the more important are physical particle interactions relative to chemically induced
particle interactions. Particle bending is important in soils with platy particles. Even small amounts of mica
in coarse-grained soils can greatly increase the compressibility. Mixtures of a dense sand having rounded
grains with mica flakes can even duplicate the form of the compression and swelling curves of clays.

4.3 FABRIC, STRUCTURE AND VOLUME CHANGE

Collapse, shrinkage, and compression are due to particle rearrangements from shear and sliding at
interparticle contacts, distribution of particle aggregates, and grain crushing. Thus, both the arrangement
of particles and particle groups and the force s holding them in place are important. Swelling depends
strongly on physicochemical interactions between particles, but fabric also plays a role.

a) Shrinkage:
Drying shrinkage of fine-grained soils is caused by particle movements resulting from pore water
tensions developed by capillary menisci. If two samples of clay are at the same initial water content but
have different fabrics, the one that is more deflocculated and dispersed shrinks the most. This is because
the average pore sizes are smaller in the deflocculated sample, thus allowing greater capillary stresses,
and because of easier relative movements of particles and particle groups. The substantially lower dry
void ratios for the remolded samples indicate greater shrinkage than in the undisturbed samples.

b) Collapse:
Collapse, as a result of wetting under constant total stress, is an apparent contradiction to the principal
of effective stress. The addition of water increases the pore water pressure and reduces the effective
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stress; hence, expansion might be expected. The apparent anomaly of volume decrease under decreased
effective stress is because of the application of continuum concepts to a phenomenon that is controlled
by particulate behavior at contact levels for unsaturated soils. Collapse requires:
1. An open, low-density, partly unstable, partly saturated fabric
2. A high enough total stress that the structure is metastable
3. A strong enough clay binder or other cementing agent to stabilize the structure when dry
When water is added to a collapsing soil in which the silt and grains are stabilized by clay coatings or
buttresses, the effective stress in the clay is reduced, and the clay swells, become weaker, and contacts
fail in shear, thereby allowing the coarser silt and sand particles to assume a denser packing. Thus,
compatibility with the principle of effective stress is maintained on microscale.
c) Swelling :
The structure influences swelling of fine-grained soils that is initiated by reduction of effective stress by
unloading and/ or addition of water. For example, an expansive soil that is compacted dry of optimum
water content can swell more than if compacted to the same density wet of optimum. This difference
cannot be accounted for in terms of differences in initial water content and, therefore, must be ascribed
to differences in structure.
A swell sensitivity has been observed in some clays wherein the swelling index for the remolded clay is
higher than that of the same clay undisturbed. The increased swelling of the disturbed material can result
both from the rupture of interparticle bonds that inhibit swelling in the undisturbed state and from
differences in fabric. Old, unweathered, overconsolidated clays may be particularly swell sensitive.

5) IDENTIFICATION AND CLASSIFICATION OF EXPANSIVE SOILS:

For engineers, it is essential to identify expansive soils during the reconnaissance and preliminary stages
of a project. Otherwise, sampling, testing and design in later stages could be done inappropriately. The
first step of the investigation is the recognition and identification of the soil as expansive soil. The second
is sampling and measurement of material properties to be used as the basis for design predictions. In this
section, some identification test will presented.

5.1 Engineering Classification Tests:

For identifying and classifying expansive soils, classification tests for soil index properties such as grain
size distribution, clay content, and plasticity are the most widely used in practice.
The Atterberg limits define moisture content boundaries between states of consistency of fine-grained
soils. Figure 2 illustrates the concept originated by A.Atterberg that a clay soil can exist in four distinct
states of consistency depending on its water content. The water content at the boundaries between the
different states are defined as the shrinkage, plastic and liquid limits.
The plasticity index (PI) and the liquidity index (LI) may be computed from the Atterberg limits and the
natural moisture content. This two indices are very useful for soil identification. The PI is used extensively
for classifying expansive soils and should always be determined during preliminary investigations.

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Figure 2: States of consistency and Atterberg limits of line-grained soils (Lambe and Whitman,1969)

Atterberg limits and clay content can be combined into a single parameter called Activity. This term
was defined by Skempton (1953). The Activity is defined as follows:

() = % 2

Equation 1 (Skempton,1953)

Skempton suggested three classes of clays according to activity as inactive, for activities less than 0.75;
normal, for activities between 0.75 and 1.25; and active, for activities greater than 1.25. Active clays
provide the most potential for expansion. Typical values of activities for various clay mineral are as
follows:
Table 4: Typical values of activities for various clay minerals (Skempton, 1955)

Mineral
Kaolinite
Illite
Montmorillonite (Ca)
Montmorillonite (Na)

Activity
0.33 to 0.46
0.9
1.5
7.2

5.2 Mineralogical Methods:

Clay mineralogy is a fundamental factor controlling expansive soil behavior. The table 5 presents some
common techniques used to identify the clay minerals.
Table 5: Laboratory tests used in identification of expansive soils

Test

Reference

Properties Investigated

Parameters Determined

Atterberg Limits
Liquid Limit (LL)

ASTM Standards 1991

ASTM D-4308

Plasticity, consistency
Upper limit water content of PI=LL-PL
plasticity
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Plastic limit (PL)

ASTM D-4318

Shrinkage limit (SL)

ASTM D-427

Clay content

ASTM D-422

Mineralogical tests
X-ray diffraction

Whittig (1964)
ASTM STP 479 (1970)

Free swell test

Holtz and Gibbs (1956)

Expansion index test

Uniform Building code

The design and construction of foundations on

Lower limit water content of

plasticity
Lower limit water content of
shrinkage
Distribution of fine-grained
particle sizes
Mineralogy of clay particles
Characteristic
crystal
dimensions
Swell upon wetting of
unconsolidated unconfined
sample of air dried soil
One-dimensional swell under
1 psi surcharge of sample
compacted to 50% saturation
initially

LI=

R = shrinkage ratio
Ls = linear shrinkage
Percent finer than 2 m

Basal spacings
Free swell (%)=
(

Expansion index (EI)

X-Ray diffraction, the most popular method, works on the principle that beams of X-Rays diffracted
from crystals are similar to light reflections from the crystal lattice planes. X-Ray analysis is well suited
for identification of clay minerals because the wavelength of X-Rays is of the same order of magnitude
(about 10e-09 mm) as the atomic plane spacings of these minute crystals. The basal plane spacing is
characteristic for each clay mineral group and gives the most intense reflections.

a) Free Swell
The free swell test consists of placing a known volume of dry soil passing the No.40 sieve into a
graduated cylinder filled with water and measuring the swelled volume after it has completely settled.
The free swell of the soil is determined as the ratio of the change in volume to the initial volume,
expressed as a percentage.

b) Potential Volume Change (PVC)

The soil PVC meter is a standardized apparatus for measuring the swelling pressure of a compacted
sample. The PVC meter can be used in the field or laboratory. The tests consists of placing a remolded
sample into a consolidometer ring with a modified Proctor compactive effort of 55,000 ft-lb/ft3 (2600
KJ/m3), at its natural moisture content. The sample is then wetted in the device and allowed to swell
against a proving ring. The swell index is reported as the pressure on the ring and is correlated to
qualitative ranges of potential volume change (PVC).

c) Expansion Index Test

The expansion index test consists of breaking down the soil through a No. 4 sieve and bringing the
material to approximately optimum moisture content, as determined by ASTM designation D-155766T. The soil is cured for 6 to 30 hr, and compacted into a standardized, 4-in. (10.2-cm)-diameter mold.
The moisture content is then adjusted, if necessary, to bring the sample to approximately 50%
saturation. A 144 psf (6.9 KPa) surcharge is applied, and the simple is wetted. Volume change is
monitored for up to 24 hr. The expansion index, reported to the nearest whole number, is calculated
as follows:
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EI= 100 h X F

The design and construction of foundations on

Equation 2 (ASTM, 1991)

Where h = percent swell

F = fraction passing No. 4 sieve
The expansion potential of the soil is classified according to the expansion index as follows.
EI
0-20
21-50
51-90
91-130
>130

Expansion Potential
Very low
Low
Medium
High
Very high

5.2 CLASSIFICATION SCHEMES:

The term swelling potential refers to the relative capacity for expansion of the different soils. The
amount of swell that may be realized in the field is a function of the environmental conditions. Soils
are classified in the general schemes. Some of the methods are discussed in the following sections.

a) Classification Using Engineering Index Properties:

The use of Atterberg limits to predict the swell potential is definitely the most popular approach. Clay
content is also included in many procedures. Holtz and Gibbs (1956) presented the criteria shown in
table 6 based on undisturbed soil samples. Almeyer (1995) suggested the use of the shrinkage limit or
linear shrinkage as shown in Table 7
Table 6: Expansive soil classification based on colloid content,plasticity index, and shrinkage limit (Holtz and Gibbs, 1956)

Data from Index Tests

Colloid Content Plasticity
% minus 0.0001 index
mm)
>28
>35
20-31
25-41
13-23
15-28
<11
<11

Shrinkage
Limit
<11
7-12
10-16
>28

Probable
Expansion (%
Total Volume
Change)
>30
20-30
10-20
<11

Degree
of Expansion
Very high
High
Medium
Low

Table 7: Expansive soil classification based on shrinkage limit or linear shrinkage (Altmeyer ,1955.)

Linear
Shrinkage
<5
5-8
>8

SL
(%)
>12
10-12
<11

Probable Swell
(%)
<11
0.5-1.5
<1.5

Degree of expansion
Noncritical
Critical

Marginal

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Chen (1965) developed a correlation between percent finer than No. 200 sieve size, liquid limit, and
standard penetration blow counts to predict potential expansion. He also presented a single index
method for identifying expansive soils solely by plasticity index (Table 8). Raman (1967) presented the
degree of expansion as a function of plasticity index and shrinkage index as shown in Table 9.
Table 3.5 Expansive soil classification based on plasticity index (Chen (1988).)
Table 8: Expansive soil classification based on plasticity index (Chen (1988).)

Swelling Potential
Low
Medium
High
Very High

Plasticity Index
0-15
10-35
20-55
35 and above

Table 9: Expansive soil classification based on plasticity and shrinkage index (Raman ,1967.)

Pi (%)
<12
12-23
23-32
>32

SI (%)
<15
15-30
30-40
>40

Degree of Expansion
Low
Medium
High
Very high

Finally, Seed et al. (1962b) have developed a chart based on activity and percent clay sizes. The chart
is shown in Figure 3.

Figure 3: Classification chart for compacted clays based on activity and percent clay (Seed et al.1962)

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Figure 4: Comparison of four identification procedures (Chen,1989)

Figure 4 shows a comparison between the procedures presented by Holtz and Gibbs, Seed et al., and
Chen for predicting swell potential as a function of plasticity index. These curves show a considerable
range of potential volume changes for a given plasticity index. The differences between the curves
can be attributed to different soil types, different initial conditions (remolded or undisturbed) and
different initial moisture contents (air dried, compacted, or natural). There was no standard by which
these swell potential criteria were developed.
Snethen et al. (1977) evaluated seventeen of the published criteria/ for predicting potential swell. The
results of their evaluation showed that liquid limit and plasticity index are the best indicators of
potential swell along with natural conditions and environment. A statistical analysis of laboratory data
correlating potential swell to 31 independent variables resulted in the classification system shown in
table 10. This approach includes consideration of the in-situ soil suction, which is an indicator of the
natural conditions and environment.
Table 10: Expansive soil classification based on liquid limit, plasticity index and in situ suction (Snethen et al. 1977.)

LL (%)

Pi (%)

nat, tsf

Potential Swell (%)

>60
50-60
<50

>35
25-35
<25

>4
1.5-4
<1.5

>1.5
0.5 1.5
<0.5

Potential Swell
Classification
High
Marginal
Low

5.3 COLE Classification Chart:

A new classification scheme, developed by Mckeen and Hamberg (1985), combines engineering index
properties wiith the cation-exchange capacity (CEC). The scheme extended the concepts of a mineralogical
classification chart based on correlations between mineralogy, clay activity (Ac) and a new parameter,
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cation-exchange activity (CEAc =CEC/clay content). The Pearring-Holt classification system designated
mineralogical groups to certain regions on an AC versus CEAC chart, as shown in Figure 5

Figure 5: Mineralogical classification chart based on activity and cation-exchange activity (Mckeen and Hamberg, 1985)

McKeen and Hamberg (1985) extended the Pearring-Holt mineralogical classification scheme by assigning
COLE values to different regions on the CEAC versus AC chart. The mineralogical boundaries were adjusted
based on the SCS X-ray diffraction results plotted on the chart for CEAC vs AC. The new chart boundaries
were drawn for the four mineralogical groups, kaolinite, illite, montmorillonite, and vermiculite. Five
mineralogically similar regions were established on the new chart shown in Figure 6. The mineralogy of
each chart region is summarized in Table 11.
Table 11: Composition of mineralogical regions on the CEAc-Ac chart (tr, trace < 5%)

Region
1
2
3
4
5

Percentage of Clay friction

Smectite
Illite
>50
None
>50
tr-25
5-50
5-25
tr-25
N
tr
Tr-25

Kaolinite
None
tr-25
None
10-50
10-50

Vermiculite
None
None
None
25-5tr

The relationship between COLE and clay content was then computed within each of the five chart regions.
These relationships for each region are plotted in Figure 6. The COLE value can be measured in the
laboratory or estimated for a particular soil from the CEAC versus AC chart shown in Figure 6 and the
corresponding relationship for the appropriate region shown in Figure 7.

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Figure 6: COLE value classification chart (Hamberg, 1985)

Figure 7: COLE value as a function of percent clay for regions shown in Figure 6

Figure 7 was developed to be used as a general classification scheme using the CEAC versus AC chart to
indicate potentially expansive soils. In general, soils that plot in Regions 1 and 2 will have high to very high
expansive potential, moderate potential in Regions 3 and 4, and low expansion potential in Region 5.
Figure 8 was developed from Figure 7 to indicate this classification. Figure 7 and 8 can be used to
determine expansion potential and suction index.

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Figure 8: Expansion potential as indicated by clay activity and CEA, COLE 1985.

5.4 Comparison of Classification Schemes

Many classifications systems exist and they are very helpful for design decisions. However, it is important
to notice that the procedures discussed above are only indicators and that the expansion potential in a
soil may vary considerably. Quantitative systems such as expansion ratings, including potential values or
ranges are commonly used to develop design criteria. Systems that provide only qualitative ratings such
as high, medium or low swell potential may be misused because each region has specific criteria.
Despite the fact classification system are very good indicators, it is unfortunate that classification systems
are often used as a basis for design selection in practice. This can led to inappropriate construction in
many cases.

6) CASE HISTORIES:
6.1 Several structures damaged in Colorado
a) Structural and cost damages
Several structures on the Southern Colorado State University Campus northeast of Pueblo have been
damaged because swelling soils were not recognized or compensated for adequately in design. Floor,
walls, ceilings, sidewalks, water lines, driveways, and other improvements have sustained an estimated
$ 1.5 million in damages.
Surface view of a near-vertical bentonite layer in the Upper Cretaceous Pierre Shale in Jefferson County,
Colorado. The layer heaved with a differential displacement of 3 inches within 24 hours after a rainstorm
at this construction site. The hump in the fence is aligned with the trend of the bentonite layer. Heaving
bedrock damage is occurring in the subdivision in the background. (Photo by Dave Noe)
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The design and construction of foundations on

Figure 9: Layer heaved with a differential displacement of 3 inches, Dave Noe 1976

b) Risk mitigation:
In 1976 at the site of the Colorado State Prison in Fremont County, swelling soils and bedrock were shown
on geologic maps. Field investigations and soils tests resulted in a remedial plan by the geologic and soils
engineers on foundation design, drainage and landscaping. Millions of dollars in potential damages were
avoided.

6.2 Damaged residential building in Australia:

Case study of movement and damage to a residential building founded on expansive clays: (Pr Jie Li School
of civil, Environmental and Chemical Engineering, RMIT University Melbourne, Victoria, 3001, Australia)
This section presents a case study of a residential house damaged by expansive soils. The results of the
back-analysis indicated that a stronger footing was required to limit differential deflection and stress level
in footing to an acceptable level.

a) Damage to structures:
Damage to lightly loaded structures founded on expansive soils has been widely reported throughout the
world. This case study described refers to a single storey articulated masonry veneer dwelling built on a
highly expansive soil. The house was constructed in March 1986 in a northern suburb of Adelaide. The site
classification for reactivity following the Australian Standard for Residential Slab and Footings (AS2870,
1996) was Class E (i.e., extremely reactive).
The footing layout is shown in Figure 10.The external beams were 300 mm wide by 950 mm deep
reinforced with 8/Y16 rods, 4 at the top and 4 at the bottom. The internal beams were 250 mm wide by
950 mm deep reinforced with 6/Y16 rods, 3 top and 3 bottom. The slab was 100 mm thick and was
reinforced with F62 mesh placed 25 mm from the top surface of the slab.
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Figure 10: The footing layer of the single storey, Adelaide 1996

The floor of the house was distorted into a complex pattern, involving both bending and twisting.
Damage to the house superstructure consisted of wall and ceiling cracking, distortion of cornices, and
a slope on the floors in most rooms. Figure11 shows cracking on the ceiling and a wall. The major
cause of movement was found to be a combination of sewer pipe leak and stormwater leak, which
resulted in non-uniform soil moisture conditions.

Figure 11: Case study, crack on ceiling (a) and interior wall (b) due to expansive soil, Adelaide 1996

7) DESIGN ALTERNATIVES:
Life cycle costs and not just initial costs of a project are very important because expansion potential
may not manifest itself until months or years after construction. This aspect of the risk assessment
may affect greatly the selection of a design alternative.

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All decision makers, therefore, must be involved in the decision-making process to the design. It is
essential that the owners of the project understand clearly all the risks and life cycle costs related to
the construction on swelling soils.

7.1 Structural foundation alternatives:

Foundation design alternatives may be subdivided in two categories, structural alternatives and soil
treatment alternatives. In many cases, soil treatment may be used successfully in conjunction with
structural methods.
Two different approaches or design strategies can be used in selecting a foundation design to
minimize the differential movement in the superstructure caused by expansive soils. These two
strategies are:

Isolate the superstructure from the soil movements,

Design a foundation stiff enough to resist differential foundation movement without causing
distress to the superstructure.

The major foundation types used in expansive soils are drilled pier and beam systems, reinforced slabson-grade, and modified continuous perimeter spread footings. Table 12 compares these design
alternatives and summarizes the similarities and differences among foundation systems.

7.2 Drilled Pier and Beam Foundations:

General description: Figure 12 shows a typical detail of a type of drilled pier and beam foundation system
used in the Rocky Mountain Front Range area of Colorado. The grade beam is designed to support to the
structural load and transfer the distributed stress to the piers. A void space must be maintained beneath
the grade beam between the piers. The void isolates the structure from the soil and prevents soil swelling
pressures from uplifting the beams. This void also helps to concentrate the structural load on the piers to
counter uplift pressures.

Figure 12: Drilled pier and beam foundation detail (Rocky Mountain, Colorado)

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The piers themselves are typically uncased, reinforced concrete shafts, designed with or without belled
bottoms. The main function of the piers is to transfer the structural load to sound bearing or anchorage
by a variety of methods. These include
1. Piers drilled into hard bedrock to support high column loads or provide soil anchorage.
2. Friction piers drilled through nonexpansive soil. These may or may not be bottomed on stiff strata
or sand
3. Belled piers bottomed in a stable zone unaffected by moisture change in swelling soil areas.

Straight shaft or belled bottom piers are used in different areas, depending on the soil conditions, depth
to bedrock, and groundwater conditions. The pier diameter is typically kept small, usually between 12 and
18 in (300 to 450 mm), to minimize the area on which uplift pressures develop. Pier diameters should
always be greater than 12 in. (300mm), and preferably larger, to allow for proper placement of concrete
along the entire length. Overly small pier diameters result in void spaces, honeycombed concrete, or
excessive mixing with soil from the sides of the holes.
Belled bottom, or underreamed, piers are also an excellent alternative in areas where the upper soils are
highly expansive, or if there is the possibility of loss of skin friction along the lower anchorage portion of
the shaft. Belled piers must have a minimum shaft diameter of 18 to 24 in. (450 to 600 mm) to allow
inspection of the bored hole. The ideal bell is shaped like a frustum with a vertical side at the bottom as
shown in Figure 5.2. The vertical side should be a minimum of 6 in. (150 mm) high. The sloping sides of
the bell are typically formed at either 60 or 45 angle with the horizontal. Most drillers are capable of
forming bells with diameters up to three times the diameter of the shaft. (Chen, 1988).
In situation where there is the possibility off loss of skin friction, particularly due to a rise in the ground
water table, the belled pier is definitely the best option. However, this alternative is very expensive and
inspection is difficult compared to straight shaft piers.

7.3 Design Considerations:

The design of drilled piers in compressible soils is based on the applied structural load plus additional
downdrag due to settlement of soil adjacent to the pier shaft. These loads are resisted by a combination
of end bearing capacity and positive skin friction at lower depths. In contrast, the major concern in
expansive soils is the uplift force exerted by soil swelling along the pier shaft within the active zone. The
estimate of the depth of the active zone when designing drilled piers must be done carefully.
Two criteria should be considered in the design of drilled piers in expansive soils: upward movement on
the top of the pier and the tensile forces developed in the pier. Two different cases will be considered:

The rigid pier case, in which deformation of the pier is considered to be zero, and
The elastic pier case, in which the pier and the soil are both considered to be elastic.

Rigid Pier: The forces acting on a rigid pier are shown in Figure 13 Within the active zone, uplift skin friction
will be developed. Chen (1988) assumed that the stress is constant throughout the active zone. This
approach is more conservative and prudent.
The frictional stress fu acting between the soil and the pile was defined by Chen (1988) as
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Figure 13: Forces acting on a rigid pier in expansive soil

fu = 1 s. Equation 3 ( Chen, 1988)

Where 1 = coefficient of uplift between the pier and the soil
s = the swelling pressure in terms of effective stresses.
The total uplift force, U, can then be computed by integration of the skin friction, fu, over the area of the
pier within the active zone depth, za, as
U = d1sza Equation 4
Where d = pier shaft diameter
The uplift force must be resisted by skin friction in the anchorage zone beneath the active zone, uplift
resistance of the bell, and applied load. Chen (1988) expresses this for straight shaft piers as
W=

2
4

qdl + ( ) Equation 5 ( Chen, 1988)

Where: W = withholding force, qdl= unit dead load pressure, fs= skin friction below active zone,
L = length of pier
Setting Equations 4 and 5 equal gives, for straight shaft piers,
L = za +

[1sza -

Equation 6 (ONeill, 1988)

or
1

L = za + [1sza -

Equation 7 (ONeill, 1988)

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The design and construction of foundations on

In the design of a rigid pier it is necessary to assign values to 1, fs, s, k and qdl. A diameter of reasonable
size can be assumed, and then, an iterative process can be used to arrive at a reasonable balance between
pier length and diameter.
Elastic Pier and Soil: Poulos and Davis (1980) present solutions for pier movement in an elastic medium
considering soil-pier slip. These solutions utilize the maximum free field soil heave, stiffness of the pier,
and the geometry of the system.
The general case for which solutions are presented by Poulos and Davis (1980) is shown in Figure 14 In
this case, the pier may or may not be belled.

Figure 14: General case of elastic pier in elastic expansive soil (Poulos and Davis, 1980)

Dimensionless curves prepared by Poulos and Davis (1980) are presented in Figures 15 and Figure 16.
These curves can be used to predict maximum pier load and movement for piers in expansive soil.
Comparisons between predictions and measurements have been presented. The results shows good
results.

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The design and construction of foundations on

Figure 15: Design chart for piers in expansive soil_linearly increasing pier-soil shear strength with depth (Poulos and Davis, 1980:
Modified by H.Poulos, 1991).

Figure 16: Design chart for piers in expansive soil_uniform pier-soil strength with depth (Poulos and Davis, 1980: Modified by
H.Poulos, 1991).

The maximum load, Pmax, is presented as a ratio of the load, PFS , that would occur if full adhesion was
mobilized along the entire shaft. Thus,

PFS = 0 ()

Equation 8 (H.Poulos, 1991)

For the case where the pier-soil strength increases linearly with depth,
1

PFS = - 2

Equation 9 (H.Poulos, 1991)

If the pier-soil strength is uniform over the length of the pier,

PFS = -

Equation 10 (H.Poulos, 1991)

In most cases, the maximum load Pmax occurs at or near the bottom of the active zone for piers imbedded
well below the active zone.
Poulos and Davis (1980) present solutions to determine movement and axial loading for piers in a elastic
medium. Figure 17 shows the pier movement in the form of a dimensionless parameter (pEsd)/Pdl. Pdl is
the axial dead load on the pier, and p is the pile movement.

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Figure 17: Design chart for predicting pier movement due to axial load (Poulos and Davis, 1980)

7.4 MOISTURE CONTROL AND SOIL STABILIZATION FOR FOUNDATIONS

a) Moisture Control Methods for Foundations
Because the source of swelling derives from an increase in water content of the expansive foundation
subsoils, one obvious method for controlling swell would be to control the moisture. However, it is
virtually impossible to prevent an increase in water content of the foundation soils. It is possible to control
the rate of increase and minimize seasonal fluctuations.
In some areas, it is recommended to use drains around foundations so as to avoid the presence of free
water in the subsoil. But for expansive soils, the permeability is very and this approach becomes virtually
useless.
An innovative scheme has been developed by Schmertmann in Gainesville, Florida to provide for the
stabilization of water contents. In this scheme, small-diameter wells are drilled at intervals around the
foundation. A header pipe is connected to each of these wells and it is connected to a sump with a
controlled water level. This provides a constant low head water supply to the soil. It is a low maintenance
system and has been shown to be effective in stabilizing water contents in relatively wet climates.
Another scheme for controlling and stabilizing water contents beneath slabs has been the utilization of
horizontal and vertical barriers. Horizontal barriers are membranes that extend outward for considerable
distances around the edges of the foundation or floor slab.

c) Soil Stabilization:
Techniques are also available in which the characteristics of the expansive soils can be altered or the soil
can be removed and replaced. These methods can be used alone or in conjunction with specific design
alternatives.
Removal and Replacement: The problematic soils are removed to some depth and replaced with a
compacted nonexpansive fill. Factors that need to be considered are depth of removal, and the amount,
location, and cost of the fill. Laboratory tests and engineering judgment can be used to determine the
depth of the active zone and the potential uplift necessary to evaluate the depth of soil to be removed.
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The maximum practical depth of removal is about 4 ft (1.5 m). If nonexpansive fill is not available the swell
characteristics of the expansive soils on the site can be altered by excavating and recompacting using
compaction control. Compacting the material wet of optimum can decrease the swell potential.
Prewetting: In many cases, it is recommended to cause heave to occur prior to construction. Ponding or
prewetting the soil can be used to reach this condition. However, a large number of potential problems
can be associated with the prewetting technique. If the soil has low permeability, as do expansive clay
shales, excessive time will be required for wetting. The soil mass and the depth of wetting will be very
limited. Futhermore the soil can undergo a serious reduction in bearing capacity as the soil becomes
saturated.
Fissured and fractured soils respond more favorably to prewetting because of access paths for water. A
grid of sand drains can also be installed to increase the wetting surface and decrease the time factor. This
method is more effective when used in soils of low expansivity and relatively high permeability.
Chemical Stabilization: The most common chemical admixtures used in soil stabilization are lime and
cement. There are other organic and inorganic compounds available, but generally they are not
economically viable.
If soils are lime reactive, the addition of 2 to 8 % lime can reduce the plasticity and swell potential of the
soil and increase its shrinkage limit. Hydration reactions will increase the shear strength of the soil. The
most effective method

8) DESIGN EXERCICE:
The exercise illustrate the design of a foundation under expansive soil (John D. Nelson, 1992).
Given
A pier and grade beam foundation will be utilized in a deep deposit of clayshale. The depth of the active
zone is 20 ft. The corrected swelling pressure of the clayshale is 7400 psf, and the swelling modulus , Cs =
0.038. The clayshale has a saturated unit weight of 130 pcf and a void ratio of 0.62 throughout the entire
depth. The coefficient of uplift, 1 = 0.16. Below the active zone the skin friction between the soil and the
pier is 800 psf. The minimum dead load on the pier is 30,000 lb, all of which can act on the pier (k=1.0).
Assume that the soil suction can go to zero over the entire depth of the active zone after construction,
but that no water table develops.

Find
a.
b.
c.
d.

Required length and diameter for a straight shaft pier (db/d =1).
Maximum force in the pier
Uplift movement of the pier
End bearing load at the tip of the pier

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Solution.
The active zone is divided into five layers. Compute the free field heave, o, using the following equation:

=
=1 (1+) log(

0 to 4 ft
f = 130 x 2= 260 psf
1 =
=1

0.038 4.0
(1+0.62)

log(

260

) = -0.14 ft

7400

The same equations are applied to the 5 layers, and the following values are computed
Layers
0 to 4 ft
4 to 8 ft
8 to 12 ft
12 to 16 ft
16 to 20 ft

f (psf)
260
780
1300
1820
2340

i (ft)
-0.14
-0.09
-0.07
-0.06
-0.05

Then o = = -0.41 ft = 5in.

a. Length and diameter can be determined using Equation 7. Assume that d= 2.0 ft for initial
estimate.
1

L = 20 + 800 [0.16 7400 20

1.0 30,000
2.0

] = 43.6 ft

b. Pmax can be determined from Figure 16. Consider the pier-soil strength to be uniform with depth.
From Equation 3

fu = 1 s = 0.16 7400 = 1184

From Equation 10

PFS = - 1184 2.0 40 = 297

Assume Es = 100 = 118,400

0.41 118,400
2.0 1184

= 20.5

For za/L = 0.5, from Figure 16a :

= 0.36 and Pmax 0.36 297 = 107

The negative sign indicates tension in the pier.

c. Uplift movement of the pier can be determined from Figures 16b and figure 17. For no dead load
(Figure 16b):

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0.41
=
= 0.2

2.0
Reading from Figure 16b

= 0.14 and = 0.14 0.41 = 0.06 = 0.69 .

The effect of dead load on the pier movement can be determined from Figure 17.
For L/d = 20 and deep soil,
From which p =

0.095 30,000
118,400 2.0

= 0.095

= 0.01 = 0.14

The dead load will cause settlement whereas the expansion will cause heave. Therefore,
total = 0.69 0.14 = 0.55
d. End bearing on the pier can be determined from Fifure 5.12. For db/d = 1, s = 0.3, and L/d = 20,

= 0.05 and Pb = 0.05 30,000 = 1500

8. CONCLUSION:
Expansive soils are a worldwide problem and a real challenge for engineers. Despite the fact that the
problem of expansive soil was recognized only in the latter part of 1930, a lot of search and improvements
have been made in this area since that time. For engineers, it is essential to identify expansive soils during
the reconnaissance and preliminary stages of a project. For identifying and classifying expansive soils,
classification tests for soil index properties such as grain size distribution, clay content, and plasticity have
been presented. Despite the fact this classification system are very good indicators, it is unfortunate that
classification systems are often used as a basis for design selection in practice. As highlighted in this paper,
this can led to inappropriate construction in many cases.
Two cases study of damaged structures have been presented to illustrate the negative impact of swelling
soils on structures. Where expansive soils could cause foundation movement on future structures, it is
essential for engineers to develop design alternatives. All decision makers, therefore, must be involved in
the decision-making process to the design. It is essential that the owners of the project understand clearly
all the risks and life cycle costs related to the construction on swelling soils. Two different approaches or
design strategies have been discussed. The purpose of this two approaches is the selection of a foundation
design to minimize the differential movement in the superstructure caused by expansive soils. Techniques
are also available in which the characteristics of the expansive soils can be altered or the soil can be
removed and replaced. These methods can be used alone or in conjunction with specific design
alternatives. In order to stabilize the soil, prewetting, chemical stabilization, removal and replacement are
often recommended.

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The design and construction of foundations on

REFERENCES:

James k. Mitchell and Kenichi Soga, ( 2005) Fundamentals of soil behavior third edition
Malcolm Steinberg, (2011). Geomembranes and the control of expansive soils in construction
John D. Nelson and Debora J.Miller, (1992) Expansive soils: Problems and practice in foundation and
pavement engineering
J. David Rogers, Robert Olshnsky, and Robert B. Rogers (2012), Damage to foundations from expansive
soils
Dave Noe,(2011). Southern Colorado State University: Case history http://coloradogeologicalsurvey.org/
ASTM (1971), Sampling of Soil and Rock. American Society for Testing and materials, Special technical
publication 483
ASTM Standards (1991). Natural Buiding Stones: Soil and Rock. Annual Book of ASTM Standards, Vol. 4,
Philadelphia
Chen, F.H. (1988). Foundations on Expansive. American Elsevier Science Publ,. New York
Mitchell, J.K. (1979). In situ techniques for site characterization. Proc. ASCE Speciality workshop Site
charact.

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