Ufc+3 220 01 PDF

DRAFT UFC 3-220-01
14 May 2002
UNIFIED FACILITIES CRITERIA (UFC)
DRAFT
GEOTECHNICAL ENGINEERING
PROCEDURES FOR FOUNDATION
DESIGN OF BUILDINGS AND
STRUCTURES
APPROVED FOR PUBLIC RELEASE; DISTRIBUTION UNLIMITED

DRAFT UFC 3-220-01
14 May 2002
UNIFIED FACILITIES CRITERIA (UFC)
GEOTECHNICAL ENGINEERING PROCEDURES FOR FOUNDATION DESIGN OF

BUILDINGS AND STRUCTURES
Any copyrighted material included in this UFC is identified at its point of use.
Use of the copyrighted material apart from this UFC must have the permission of the
copyright holder.
U.S. ARMY CORPS OF ENGINEERS
NAVAL FACILITIES ENGINEERING COMMAND (Preparing Activity)
AIR FORCE CIVIL ENGINEER SUPPORT AGENCY
Record of Changes (changes are indicated by \1\ ... /1/)
Change No. Date Location
_____________
This UFC supersedes DM 7.02, MIL-HDBK-1007/3, DM-38.4, TM 5-818-1, TM 5-818-
2, TM 5-818-3, TM 5-818-4, TM 5-818-6, TM 5-818-7, TM5-849-1, AFM 88-3-7, AFM
88-5-5, AF JMAN 32-1032.
UFC 3-220-01
14 May 2002
FOREWORD
The Unified Facilities Criteria (UFC) system is prescribed by MIL-STD 3007, provides planning,
design, construction, operations, and maintenance criteria, and applies to all service commands
having military construction responsibilities. UFC will be used for all service projects and work
for other customers where appropriate.
UFC are living documents and will be periodically reviewed, updated, and made available to
users as part of the Services’ responsibility for providing technical criteria for military
construction. Headquarters, U.S. Army Corps of Engineers (HQUSACE), Naval Facilities
Engineering Command (NAVFAC), and Air Force Civil Engineer Support Agency (AFCESA) are
responsible for administration of the UFC system. Technical content of UFC is the responsibility
of the cognizant DoD working group. Recommended changes with supporting rationale should
be sent to the respective service proponent office, as noted below. Defense agencies should
contact the preparing service for document interpretation and improvements.
• HQUSACE, ATTN: CECW-E, 441 G Street, NW, Washington, DC 20314-1000, by electronic

Criteria Change Request (CCR) form on the TECHINFO site listed below.
• Commander, Atlantic Division, Naval Facilities Engineering Command, 1510 Gilbert Street (ATTN:
NAVFAC Engineering Innovation and Criteria Office), Norfolk, Virginia 23511-2699, or
[email protected], by commercial telephone (757) 322-4200 or DSN 262-4200, or by
facsimile machine to (757) 322-4416
• Air Force Civil Engineer Support Agency, 139 Barnes Drive, Tyndall Air Force Base, Florida
32403-5319, or [email protected].
UFC are effective upon issuance. UFC are distributed only in electronic media from the
following sources:
• USACE TECHINFO Internet site http://www.hnd.usace.army.mil/techinfo/index.htm.

• NAVFAC Engineering Innovation and Criteria Office Internet site
http://criteria.navfac.navy.mil/criteria.
• Construction Criteria Base (CCB) system maintained by the National Institute of Building
Sciences at Internet site http://www.nibs.org/ccb.
Hard copies of UFC printed from electronic media should be checked against the current
electronic version prior to use to ensure that they are current.
AUTHORIZED BY:
______________________________________ ______________________________________
Dwight A. Beranek, P.E. Dr. James W Wright, P.E.
Chief, Engineering and Construction Division Chief Engineer
U.S. Army Corps of Engineers Naval Facilities Engineering Command
______________________________________ ______________________________________
Kathleen Ferguson, P.E. Frank Lane
Deputy Civil Engineer Director of Analysis & Investment
Deputy Chief of Staff, Installations & Logistics Deputy Under Secretary of Defense
Department of the Air Force for Installations
Department of Defense
UFC 3-220-01
14 May 2002
CONTENTS
Page
CHAPTER 1 INTRODUCTION
Paragraph 1-1 PURPOSE ............................................................................... 1-1

1-2 SCOPE .................................................................................... 1-1
1-3 REFERENCES ........................................................................ 1-1
1-4 GENERAL GUIDANCE............................................................ 1-1
1-4.1 Content Guidance.................................................................... 1-1
CHAPTER 2 SOILS AND GEOLOGY
Paragraph 2-1 INTRODUCTION ..................................................................... 2-1

2-1.1 Purpose ................................................................................... 2-1
2-1.2 Scope ...................................................................................... 2-1
2-1.3 References .............................................................................. 2-1
CHAPTER 3 SELECTION OF FOUNDATION TYPES
Paragraph 3-1 SELECTION OF FOUNDATION TYPE ................................... 3-1

3-1.1 Foundation Selection Consideration ........................................ 3-1
3-1.2 Adverse Subsurface Conditions............................................... 3-2
3-1.3 Cost Estimates and Final Selection ......................................... 3-2
CHAPTER 4 SHALLOW FOUNDATIONS

4-1.1 Purpose ................................................................................... 4-1
4-1.2 Scope ...................................................................................... 4-1
4-1.3 References .............................................................................. 4-1
CHAPTER 5 DEEP FOUNDATIONS

5-1.1 Purpose ................................................................................... 5-1
5-1.2 Scope ...................................................................................... 5-1
5-1.3 References .............................................................................. 5-1
CHAPTER 6 RETAINING WALLS

6-1.1 Purpose ................................................................................... 6-1
6-1.2 Scope ...................................................................................... 6-1
6-1.3 References .............................................................................. 6-1
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CHAPTER 7 SLOPE STABILITY ANALYSIS

7-1.1 Purpose ................................................................................... 7-1
7-1.2 Scope ...................................................................................... 7-1
7-1.3 References .............................................................................. 7-1
CHAPTER 8 EXCAVATION, FILL, BACKFILL, AND SOIL STABILITIZATION FOR

STRUCTURES
Paragraph 8-1 EXCAVATIONS ....................................................................... 8-1

8-1.1 Introduction and Scope............................................................ 8-1
8-1.1.1 Methodology ............................................................................ 8-1
8-1.1.2 Related Criteria........................................................................ 8-1
8-1.2 Open Cuts ............................................................................... 8-1
8-1.2.1 Sloped Cuts ............................................................................. 8-1
8-1.2.2 Vertical Cuts ............................................................................ 8-2
8-1.3 Trenching................................................................................. 8-2
8-1.3.1 Site Exploration ....................................................................... 8-2
8-1.3.2 Trench Stability........................................................................ 8-2
8-1.3.3 Support Systems ..................................................................... 8-6
8-1.4 Rock Excavation...................................................................... 8-11
8-1.4.1 Preliminary Considerations...................................................... 8-11
8-1.4.2 Rippability ................................................................................ 8-12
8-1.4.3 Blasting.................................................................................... 8-12
8-1.5 Excavation Stabilization, Monitoring, and Safety ..................... 8-16
8-1.5.1 Stabilization ............................................................................. 8-16
8-1.5.2 Monitoring................................................................................ 8-16
8-1.5.3 Safety ...................................................................................... 8-16
8-1.6 Embankment Cross-Section Design ........................................ 8-17
8-1.6.1 Influence of Material Type ....................................................... 8-17
8-1.6.2 Embankments on Stable Foundations ..................................... 8-17
8-1.6.3 Embankments on Weak Foundations ...................................... 8-17
8-1.6.4 Embankment Settlement ......................................................... 8-18
8-1.6.5 Earth Dam Embankments........................................................ 8-26
8-1.7 BORROW EXCAVATON ......................................................... 8-30
8-1.7.1 Borrow Pit Exploration ............................................................. 8-30
8-1.7.2 Excavation Methods ................................................................ 8-30
8-1.7.3 Utilization of Excavated Materials............................................ 8-30
8-2 FILL ......................................................................................... 8-31
8-2.1 Types of Fill ............................................................................. 8-31
8-2.2 Foundations on Compacted Fill ............................................... 8-32
8-2.2.1 Compacted Fill Beneath Foundations...................................... 8-32
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8-2.2.2 Foundations Partly on Fill ........................................................ 8-32

8-2.2.3 Design of Foundations on Fill .................................................. 8-32
8-2.2.4 Site Preparation ....................................................................... 8-32
8-2.2.5 Site Problems .......................................................................... 8-32
8-2.3 Compaction Requirements ...................................................... 8-33
8-2.3.1 General.................................................................................... 8-33
8-2.3.2 Compaction Specifications ...................................................... 8-33
8-2.3.3 Compacted Rock ..................................................................... 8-34
8-2.4 Placing and Control of Backfill ................................................. 8-34
8-2.5 Fill Settlements ........................................................................ 8-34
8-2.6 Hydraulic Fills .......................................................................... 8-34
8-2.6.1 Pervious Fills ........................................................................... 8-35
8-2.6.2 Fine Grained Fills .................................................................... 8-35
8-2.6.3 Settlements of Hydraulic Fills .................................................. 8-35
8-2.6.4 Compaction of Hydraulic Fills .................................................. 8-36
8-2.6.5 Underwater Hydraulic Fills....................................................... 8-36
8-3 BACKFILL................................................................................ 8-40
8-3.1 Introduction.............................................................................. 8-40
8-3.2 Planning and Design of Structures and Excavations to
Accommodate Backfill Operations ........................................... 8-40
8-3.2.1 Effect of Excavation ................................................................. 8-41
8-3.2.2 Structure Configuration............................................................ 8-41
8-3.2.3 Backfill Problem Areas............................................................. 8-46
8-3.3 Evaluation, Design, and Processing of Backfill Materials ........ 8-52
8-3.3.2 Evaluation of Backfill Materials ................................................ 8-52
8-3.4 Selection of Backfill Materials .................................................. 8-61
8-3.4.1 Primary Considerations ........................................................... 8-61
8-3.4.2 Compaction Characteristics..................................................... 8-61
8-3.4.3 Workability ............................................................................... 8-61
8-3.4.4 Types of Material ..................................................................... 8-61
8-3.5 Processing of Backfill Materials ............................................... 8-64
8-3.5.1 Material Type........................................................................... 8-64
8-4 EARTHWORK: EXCAVATION AND PREPARATION FOR
FOUNDATIONS....................................................................... 8-65
8-4.1 Excavation ............................................................................... 8-65
8-4.1.1 General.................................................................................... 8-65
8-4.1.2 Good Construction Practices ................................................... 8-65
8-4.2 Foundation Preparation ........................................................... 8-68
8-4.2.1 Good Construction Practices ................................................... 8-68
8-5 BACKFILL OPERATIONS ....................................................... 8-69
8-5.1 Placement of Backfill ............................................................... 8-69
8-5.2 Good Construction Practices ................................................... 8-70
8-5.2.1 Backfilling Procedures ............................................................. 8-70
8-5.2.2 Compaction Equipment ........................................................... 8-70
8-5.2.3 Lift Thickness........................................................................... 8-71
8-5.2.4 Density..................................................................................... 8-71
8-5.2.5 Cold Weather........................................................................... 8-72
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8-5.2.6 Zones....................................................................................... 8-73

8-5.3 Special Problems..................................................................... 8-76
8-5.4 Installation of Instruments........................................................ 8-77
8-5.5 Post Construction Distress ...................................................... 8-77
8-6 SPECIFICATIONS PROVISIONS............................................ 8-78
8-6.1 General.................................................................................... 8-78
8-6.2 Preparation of Specifications ................................................... 8-78
8-6.2.1 Excavation ............................................................................... 8-78
8-6.2.2 Drainage .................................................................................. 8-78
8-6.2.3 Shoring and Bracing ................................................................ 8-79
8-6.2.4 Stockpiling ............................................................................... 8-79
8-6.3 Foundation Preparation ........................................................... 8-80
8-6.3.1 Structures on Soil .................................................................... 8-80
8-6.4 Backfill Operations................................................................... 8-80
8-6.4.1 Compacting ............................................................................. 8-80
8-6.4.2 Backfill Against Structures ....................................................... 8-81
8-6.4.3 Protection from Freezing ......................................................... 8-81
8-7 STABILIZATION OF SUBGRADE SOILS................................ 8-81
8-7.1 General.................................................................................... 8-82
8-7.2 Vibrocompaction...................................................................... 8-82
8-7.2.1 Blasting.................................................................................... 8-82
8-7.2.2 Vibrating Probe........................................................................ 8-83
8-7.2.3 Vibrating Rollers ...................................................................... 8-83
8-7.3 Vibrodisplacement Compaction ............................................... 8-83
8-7.3.1 Displacement Piles .................................................................. 8-83
8-7.3.2 Heavy Tamping ....................................................................... 8-83
8-7.3.3 Vibroflotation............................................................................ 8-84
8-7.4 Grouting and Injection.............................................................. 8-99
8-7.4.1 Grout Types............................................................................. 8-99
8-7.4.2 Cement and Soil Cement.......................................................8-100
8-7.4.3 Chemical Grouting .................................................................8-100
8-7.5 Precompression.....................................................................8-100
8-7.5.1 Preloading .............................................................................8-100
8-7.5.2 Vertical Drains .......................................................................8-101
8-7.5.3 Dynamic Consolidation ..........................................................8-101
8-7.5.4 Electroosmosis ......................................................................8-101
8-7.6 Reinforcement .......................................................................8-104
8-7.6.1 Mix in Place ...........................................................................8-104
8-7.6.2 Vibroreplacement Stone Columns .........................................8-104
8-7.6.3 Strips and Membranes...........................................................8-104
8-7.6.4 Thermal Methods...................................................................8-105
8-7.7 Miscellaneous Methods .........................................................8-105
8-7.7.1 Remove and Replace ............................................................8-105
8-7.7.2 Lime Treatment .....................................................................8-105
8-7.7.3 Portland Cement....................................................................8-105
8-7.7.4 Stabilization Using Fills..........................................................8-105
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CHAPTER 9 DEWATERING AND GROUNDWATER CONTROL

9-1.1 Purpose ................................................................................... 9-1
9-1.2 Scope ...................................................................................... 9-1
9-1.3 References .............................................................................. 9-1
CHAPTER 10 FOUNDATIONS IN EXPANSIVE SOILS
Paragraph 10-1 INTRODUCTION ................................................................... 10-1

10-1.1 Purpose ................................................................................. 10-1
10-1.2 Scope .................................................................................... 10-1
10-1.3 References ............................................................................ 10-1
CHAPTER 11FOUNDATIONS IN AREAS OF SIGNIFICANT FRONT PENETRATION

11-1.1 Types of Areas....................................................................... 11-1
11-1.1.1 Seasonal Frost Areas ............................................................ 11-1
11-1.1.2 Permafrost Areas................................................................... 11-1
11-1.2 General Nature of Design Problems ...................................... 11-2
11-1.2.1 Permafrost Areas................................................................... 11-2
11-2 FACTORS AFFECTING DESIGN OF FOUNDATIONS......... 11-4
11-2.1 Physiography and Geology.................................................... 11-4
11-2.2 Temperature .......................................................................... 11-4
11-2.3 Foundation Materials ............................................................. 11-5
11-2.3.1 Soils....................................................................................... 11-5
11-2.3.1.1Permafrost Soils .................................................................... 11-5
11-2.3.2 Ice.......................................................................................... 11-7
11-2.3.3 Rock ...................................................................................... 11-7
11-2.4 Water Conditions ................................................................... 11-7
11-2.4.1 Free Water............................................................................. 11-7
11-2.4.2 Free Water in Permafrost Areas ............................................ 11-7
11-2.4.3 Soil Water Content................................................................. 11-7
11-2.5 Frost Heave and Effect of Surcharge..................................... 11-8
11-2.6 Type pf Structure ................................................................... 11-8
11-3 SITE INVESTIGATIONS........................................................ 11-8
11-3.1 General.................................................................................. 11-8
11-3.2 Remote Sensing and Geophysical Investigations.................. 11-9
11-3.3 Direct Site Investigations ....................................................... 11-9
11-3.3.1 Bedrock ................................................................................. 11-8
11-3.3.2 Discontinuous Permafrost...................................................... 11-8
11-3.3.3 Frozen Soils........................................................................... 11-9
11-3.3.5 Special Site Investigations ..................................................... 11-9
11-4 FOUNDATION DESIGN ...................................................... 11-10
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11-4.1 Selection of Foundation Type .............................................. 11-10

11-4.1.1 Foundations in Seasonal Frost Areas.................................. 11-10
11-4.1.2 Foundations in Permafrost Areas ........................................ 11-10
11-4.2 Foundation Freeze and Thaw and Techniques for Control.. 11-11
11-4.2.1 Design of Ordinary Frost Penetration .................................. 11-11
11-4.2.2 Design Depth of Ordinary Frost Penetration ........................ 11-13
11-4.2.3 Thaw or Freeze Beneath Structures .................................... 11-13
11-4.2.4 Foundation Insulation .......................................................... 11-14
11-4.2.5 Granular Mats ...................................................................... 11-14
11-4.2.6 Sollar Radiation Thermal Affects ......................................... 11-14
11-4.3 Control of Movement and Distortion .................................... 11-14
11-4.3.1 Frost Heave and Thaw-Settlement Deformations ................ 11-14
11-4.3.2 Controlling Frost Heave ....................................................... 11-15
11-4.3.3 Permafrost ........................................................................... 11-15
11-4.3.4 Creep Information ................................................................ 11-15
11-4.4 Vibration Problems and Seismic Effects .............................. 11-15
11-4.5 Design Criteria for Various Specific Features ...................... 11-16
CHAPTER 12 FOUNDATIONS FOR VIBRATING EQUIPEMENT AND

SEISMIC LOADINGS

12-1.1 Introduction ............................................................................ 12-1
12-1.1.1 Vibration Criteria .................................................................... 12-1
12-1.1.2 Equipment Vibration Criteria .................................................. 12-1
12-1.1.3 Vibration Effect on Personnel ................................................ 12-1
12-1.2 Single Degree of Freedom, Damped Force Systems ............ 12-1
12-1.3 Foundations on Elastic Soils.................................................. 12-3
12-1.3.1 Foundations on Elastic Half-Space........................................ 12-3
12-1.3.2 Effects of Shape on Foundations........................................... 12-7
12-1.3.3 Computations......................................................................... 12-7
12-1.3.4 Effect of Embedment ............................................................. 12-7
12-1.3.5 Effect of Finite Thickness of Elastic Layer ............................. 12-8
12-1.3.6 Coupled Modes of Vibration .................................................. 12-9
12-1.3.7 Examples ............................................................................. 12-10
12-1.4 Wave Transmission, Attenuation and Isolation .................... 12-12
12-1.4.1 Half Space ........................................................................... 12-12
12-1.4.2 Layered Media ..................................................................... 12-13
12-1.4.3 Isolation ............................................................................... 12-14
12-1.5 Evaluation of S-wave Velocity in Soils ................................. 12-14
12-1.5.1 Modulus at Low Strain Levels .............................................. 12-14
12-1.5.2 Field Wave Velocity Tests ................................................... 12-15
12-1.5.3 Laboratory Measurement of Dynamic Stress-Strain ............ 12-17
12-1.5.4 Correlations ......................................................................... 12-19
12-1.5.5 Damping in Low Strain Levels ............................................. 12-20
12-1.5.6 Modulus and Damping at High Strain Levels ....................... 12-22
12-1.6 Settlement and Liquefaction ................................................ 12-22
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12-1.6.1 Settlement ........................................................................... 12-22

12-1.6.2 Liquefaction of Sands .......................................................... 12-23
12-1.6.3 Liquefaction due to Seismic Activity..................................... 12-23
12-1.7 Seismic Effects on Foundations........................................... 12-25
CHAPTER 13 PILE DRIVING EQUIPMENT

13-1.1 Purpose ................................................................................. 13-1
13-1.2 Scope .................................................................................... 13-1
13-1.3 References ............................................................................ 13-1
CHAPTER 14 GROUTING METHODS AND EQUIPMENT

14-1.1 Purpose ................................................................................. 14-1
14-1.2 Scope .................................................................................... 14-1
14-1.3 References ............................................................................ 14-1
APPENDIX A REFERENCES….……………………………………………..… A-1

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FIGURES
Figure Title
8-1.1 Sliding Trench Shield................................................................................. 8-7

8-1.2 Skeleton Shoring ....................................................................................... 8-9
8-1.3 Close (Tight) Sheeting............................................................................... 8-9
8-1.4 Box Shoring............................................................................................... 8-10
8-1.5 Telescopic Shoring .................................................................................... 8-10
8-1.6 General Guidance for Underpinning .......................................................... 8-11
8-1.7 Rippability of Subsurface Materials Related to Longitudinal Seismic
Velocity for a Heavy Duty Ripper (Tractor-Mounted) ................................. 8-13
8-1.8 Suggested Guide for Ease of Excavation .................................................. 8-14
8-1.9 Cube Root Scaling Versus Maximum Particle Velocity.............................. 8-14
8-1.10 Guideline for Assessing Potential for Damage Induced by Blasting
Vibration to Residential Structure Founded on Dense Soil or Rock .......... 8-15
8-1.11 Guide for Predicting Human Respose to Vibrations and Blast Effects....... 8-15
8-1.12 Resistance of Earth Dam Embankment Materials To Piping and
Cracking .................................................................................................... 8-27
8-3.1 Open Backfill Zones .................................................................................. 8-43
8-3.2 Confined Backfill Zones............................................................................. 8-44
8-3.3 Complex Structures ................................................................................... 8-45
8-3.4 Excavation Subject to Bottom Heave ........................................................ 8-47
8-3.5 Excess Lateral Pressure Against Vertical Walls Induced by Compaction.. 8-48
8-7.1 Applicable Grain-size Ranges for Different Stabilization Methods............. 8-88
8-7.2 Range of Particle-size Distributions Suitable for Densification by
Vibrocompaction........................................................................................ 8-89
8-7.3 Sand Densification Using Vibratory Rollers ............................................... 8-90
8-7.4 Relative Density as a Function of Vibroflot Hole Spacings ........................ 8-91
8-7.5 Allowable Bearing Pressure on Cohesionless Soil Layer Stabilized by
Vibroflotation ............................................................................................. 8-96
8-7.6 Soil Particle Sizes Suitable for Different Grout Types and Several
Concentrations and Viscosities Shown......................................................8-97
11-1 Frost and Permafrost in North America ..................................................... 11-3
11-2 Ground Temperatures During Freezing Season in Limestone, Maine....... 11-6
11-3 Ground Temperatures During Freezing Season in Fairbanks, Alaska....... 11-6
11-4 Design Alternatives.................................................................................... 11-12
11-5 Heave Force Tests……………………………………………………………. 11-16
12-1 Response Spectra for Vibration Limits…………………………………….. 12-3
12-2 Response Curves for the Single-degree-of-Freedom System with Viscous
Damping .................................................................................................... 12-5
12-3 Six Modes of Vibration for a Foundation.................................................... 12-5
12-4 Equivalent Damping Ratio for Oscillation of Rigid Circular Footing on Elastic
Half-space ................................................................................................. 12-6
12-5 Examples of Computations for Vertical and Rocking Motions. .................. 12-9
12-6 Coupled Rocking and Sliding Motion of Foundation .................................. 12-11
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12-7 Distribution of Displacement Waves from a Circular Footing on the Elastic

Half-space ................................................................................................12-14
12-8 Theoretical Relation Between Shear Velocity Ratio Vp/Vp and Poisson’s
Ratio .........................................................................................................12-16
12-9 Idealized Cyclic Stress-Strain Loop for Soil..............................................12-18
12-10 Variation of Shear Modulus with Cyclic Strain Amplitude;
Gmax =Gatε=1 to 3 x 10-4 Percent; Scatter in Data up to about ±0.1
On the Vertical Scale................................................................................12-23
12-11 Variation of Viscous Damping with Cyclic Strain Amplitude; Data
Scatter up to About ±50 Percent of Average Damping Values Shown for any
Strain 12-23
TABLES
Table Title
3-1 Foundation Possibilities for Different Subsoil Conditions..............................3-3

3-2 Checklist for Influence of Site Charactertics on Foundation Selection for Family
Housing ........................................................................................................3-4
8-1.1 Factors Controlling Stability of Sloped Cut in Some Problem Soils ..............8-3
8-1.2 Factors Controlling Excavation Stability .......................................................8-4
8-1.3 OSHA Requirements (Minimum) for Trench Shoring....................................8-8
8-1.4 Typical Properties of Compacted Soils...................................................... 8-19
8-1.5 Relative Desirability of Soils as Compacted Fill......................................... 8-23
8-1.6 Clay Dispersion Potential .......................................................................... 8-29
8-2.1 A Summary of Densification Methods for Building Foundations ................ 8-37
8-2.2 Compaction Density as a Percent of ASTM 1557Laboratory Density........ 8-40
8-3.1 Typical Engineering Properties of Compacted Materials ........................... 8-56
8-5.1 Summary of Compaction Criteria............................................................... 8-71
8-7.1 Stabilization of Soils for Foundations of Structures ................................... 8-82
8-7.2 Applicability of Foundation Soil Improvement for Different Structures
And Soil types (for Efficient Use of Shallow Foundations)......................... 8-86
8-7.3 Vibroflotation Patterns for Isolated Footings for an Allowable Bearing
Pressure .................................................................................................... 8-96
12-1 Mass Ratio, Damping Ratio, and Spring Constant for Rigid Circular Footing on
the Semi-Infinite Elastic Body....................................................................12-7
12-2 Values of kl/L for Elastic Layer (k from Table 12-1) ................................... 12-11
12-3 Attenuation Coefficients for Earth Materials ............................................. 12-14
12-4 Values of Constant ηUsed with Equation (12-23).....................................12-20
12-5 Values of Constant K2 Used with Equation (12-24) to Estimate cyclic
Shear Modulus at Low Strains for Sands .................................................12-21
12-6 Criteria for Excluding Need for Detailed Liquefaction Analyses................12-24
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CHAPTER 1
INTRODUCTION
1-1 PURPOSE. This criteria manual presents guidance for selecting and
designing foundations and associated features for buildings such as earth
embankments and slopes, retaining structures, and machinery. Foundations for
hydraulic structures are not included; however, foundations for piers, wharves and
waterfront structures are covered. Foundation design differs considerably from design
of other elements of a structure because of the interaction between the structure and
the supporting medium (soil and/or rock)
1-2 SCOPE. Information contained in this criteria manual is directed toward

construction usually undertaken on military reservations, although it is sufficiently
general to permit its use on a wide variety of construction projects. Some of the
references are directed toward highway construction, but are also general enough to be
applied to any construction foundation items. Effort has been made to refer the user to
as many non-government standards as possible, when they appear to cover the topics
as well as the former manuals or provide new and innovative methods for the design of
foundations on soil and rock. When there is no non-government criteria or insufficient
coverage of the topic in the non-government criteria, the existing government criteria
from either the U.S. Army Corps of Engineers or Naval Facilities Engineering Command
publications are either referenced or have been inserted totally in the document.
1-3 REFERENCES. Appendix A contains a list of references used in this

UFC.
1-4 GENERAL GUIDIANCE. This Geotechnical criteria is intended for a

graduate civil engineer who has had some Geotechnical engineering exposure in the
classroom and in the field of construction and/or engineering design for approximately
three years. He should have access to a textbook in Geotechnical engineering from the
college attended and have access to the Internet to obtain the references mentioned in
the text.
1-4.1.1 Content Guidance. This Geotechnical engineering criteria has been

organized starting with a referenced textbook for background to shallow foundations,
deep foundations, retaining structures, and slopes with settlement analysis covered in
each section. Specialty areas follow for foundations in expansive soils, frost areas and
seismic or vibration environments.
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CHAPTER 2
SOILS AND GEOLOGY
2-1 INTRODUCTION
2-1.1 Purpose. The criteria presented herein are the basic building blocks of
Geotechnical engineering. .
2-1.2 Scope. This Geotechnical criteria should be applied to all projects for the
military services. Issues concerning foundation investigations, and physical and
strength properties and classification of soils and rocks, and reporting on these are
covered in the referenced publications.
2-1.3 References. The main reference for this chapter is Reference 20,
NAVFAC TEXT BOOK DM7.01, “Soil Mechanics”. You can find this reference at
http://www.efdlant.navfac.navy.mil/criteria/. Other references Reference 19, ASTM
D2487, D 2488, and D 5878 found at http://www.astm.org/. Reference 7, “Soil
Sampling, Technical Engineering and Design Guides as adapted from the U.S. Army
Corps of Engineers, No. 30, Published by the AMERICAN SOCIETY OF CIVIL
ENGINEERS/GEO-INSTITUTE. Also, see Reference 14 Geophysical Exploration for
Engineering and Environmental Investigations, Technical Engineering and Design
guides as Adapted from the U.S. Army Corps of Engineers, N0. 23, published by the
AMERICAN SOCIETY OF CIVIL ENGINEERS/GEO-INSTITUTE. Reference 22 is also
available, “Fundamentals of Geotechnical Engineering”, Braja Das, 1999.
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CHAPTER 3
SELECTION OF FOUNDATION TYPES
3-1 SELECTION OF FOUNDATION TYPE
3-1.1 Foundation Selection Considerations. Selection of an appropriate

foundation depends upon the structure’s function, existing soil and groundwater
conditions, construction schedules, construction economy, the value of basement area,
and other factors. On the basis of preliminary information concerning the purpose of the
structure, foundation loads, and subsurface soil conditions, alternative types of
foundations for the bearing capacity and total and differential settlements should be
evaluated. Some foundation alternatives for different subsoil conditions are summarized
in table 3-1. When making foundation selections consider the following:
• Some foundation alternatives may not be initially obvious. For example,

preliminary plans may not provide for a basement, but when cost studies show
that a basement permits a floating foundation that reduces consolidation
settlements at little or no increase in construction cost, or even at a cost
reduction, the value of a basement may be substantial. Benefits of basement
areas include needed garage space, office or storage space, and space for air
conditioning and other equipment. The last item otherwise may require valuable
building space or disfigure a roofline.
• While mat foundations are more expensive to design than individual spread
footings, they usually result in considerable cost reduction, provided the total
area of spread footings is a large percentage of the basement area. Mat
foundations may decrease the required excavation area, compared with spread
footings.
• The most promising foundation types should be designed, in a preliminary

manner, for detailed cost comparisons. Carry these designs far enough to
determine the approximate size of footings, length and number of piles required,
etc. Estimate the magnitude of differential and total foundation movements and
the effect on structure. The behavior of similar foundation types in the area
should be ascertained.
• Final foundation design should not be started until alternative types have been
evaluated. Also, the effect of subsurface conditions (bearing capacity and
settlement) on each alternative should be at least qualitatively evaluated.
• A checklist of factors that could influence foundation selection for family housing
is shown in table 3-2.
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3-1.2 Adverse Subsurface Conditions. If poor soil conditions are
encountered, procedures that may be used to ensure satisfactory foundation
performance include the following:
• Bypass the poor soil by means of deep foundations extending to or into a

suitable bearing material (chap. 11).
• Design the structure foundations to accommodate expected differential

settlements. Distinguish between settlements during construction that affect a
structure and those that occur during construction before a structure is affected
by differential settlements.
• Remove the poor material, and either treat and replace it or substitute good
compacted fill material.
• Treat the soil in place prior to construction to improve its properties. This
procedure generally requires considerable time. The latter two procedures are
carried out using various techniques of soil stabilization described in chapter 16.
3-1.3 Cost Estimates and Final Selection
• On the basis of tentative designs, the cost of each promising alternative should
be estimated. Estimate sheets should show orderly entries of items, dimensions,
quantities, unit material and labor cost, and cost extensions. Use local labor and
material costs.
• The preliminary foundation designs that are compared must be sufficiently

completed to include all relevant aspects. For example, the increased cost of
piling may be partially offset by pile caps that are smaller and less costly than
spread footings. Similarly, mat or pile foundations may require less excavation.
Foundation dewatering during construction may be a large item that is
significantly different for some foundation alternatives.
• The most appropriate type of foundation generally represents a compromise

between performance, construction cost, design cost, and time. Of these, design
cost is generally the least important and should not be permitted to be a
controlling factor. If a lower construction cost can be achieved by an alternative
that is more expensive to design, construction cost should generally govern.
• Foundation soils pretreatment by precompression under temporary surcharge fill,

regardless of whether vertical drains are provided to accelerate consolidation,
requires a surcharge loading period of about 6 months to a year. The time
required may not be available unless early planning studies recognized the
possible foundation cost reduction that may be achieved. Precompression is
frequently advantageous for warehouses and one-story structures.
Precompression design should be covered as a separate design feature and not
considered inherent in structure design.
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Table 3-1 Foundation Possibilities for Different Subsoil Conditions
Foundation Possibilities
Subsoil Conditions Light, Flexible Structure Heavy, Rigid Structure
Deep Compact or Stiff Deposit Footing Foundations Footing Foundations or
Shallow Mat
Deep Compressible Strata Footing Foundations on Deep Mat with Possible Rigid
Compacted Granular Zonea, or Construction in Basementa, or
Shallow Mata, or Long Piles or Caissons to By-
Friction Piles Pass, or
Friction Piles
Soft or Loose Strata Overlying Bearing Piles or Piers, or Bearing Piles or Piers, or
Firm Strata Footing Foundations on Deep Mat
Compacted Granular Zonea, or
Shallow Mata
Compact or Stiff Layer Overlying Footing Foundationsa, or Deep Mat (Floating), or
Soft Deposit Shallow Mata Long Piles or Caissons to By-
pass Soft Deposit
Alternating Soft and Stiff Layers Footing Foundationsa, or Deep Mat, or
Shallow Mata Piles or Caissons to Underlying
Firm Stratum to provide
Satisfactory Foundation
a
Consider possible advantages of site pre-loading, with or without vertical drains to accelerate
consolidation.
(Courtesy L.J. Goodman and R.H. Kerol, Theory and Practice of Foundation Engineering, 1968, P.312
Reprinted by permission MacMillan Company, Inc., New York)
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Table 3-2 Checklist for Influence of Site Characteristics on Foundation Selection
for Family Housing
Foundations
Site Characteristics Post Spread Slab-on-Grade Basement
(all)
Natural Ground Grading
Level None -- -- -- 1, 2, 3, 4, 5
Rolling None -- -- Requires Grading 1, 2, 3, 4, 5
Rolling Cut and -- 1, 2, 3, 4, 5 1, 2, 3, 4, 5 1, 2, 3, 4, 5
Fill
Hilly None -- -- Requires Grading 1, 2, 3, 4, 5
Hilly Cut and -- 1, 2, 3, 4, 5 1, 2, 3, 4, 5 1, 2, 3, 4, 5
Fill
Groundwater
Surface -- Requires -- Do Not Use
Temporary
Lowering
Footing Level Below Water -- -- -- Use Perimeter
Level Drainage
Soil type
GW, GP, GM, GC, SW, SP, 1, 2 1, 2 1, 2 1, 2
SM, SC
ML, CL, OL, MH, CH, OH 3, 4, 5, 6 3, 4, 5, 6 3, 4, 5, 6 3, 4, 5, 6
1. Compaction control – increase density if required, use compaction control in fills.
2. Check relative density of cohesionless (GW, GP, SW, SP) soils, generally based on standard
penetration resistance.
3. Use undrained shear strength to estimate stress and bearing capacity ratio for slab design.
4. Check if settlement is a problem.
5. Check liquidity index as indication of normally or pre-consolidated clay.
6. Check expansive properties.
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CHAPTER 4
SHALLOW FOUNDATIONS
4-1 INTRODUCTION
4-1.1 Purpose. The criteria presented herein is to be used by the engineer to

develop the bearing capacity, settlement potential and size of shallow foundations for
buildings or structures.
military services. The questions of settlement potential, bearing capacity and size of the
foundations will be answered.
4-1.3 References. The main references for this chapter are References 1, 2, and
5. Reference 1, Engineering Manual for Shallow Foundations, Driven Piles, Drilled
Shafts, Retaining Walls and Abutments, R.L. Allen, J.M. Duncan, R. T. Sancio, Virginia
Tech, NCHRP VOL 343, Dec 1991. Reference 2, Engineering Manual for Settlement
Studies, J.M. Duncan, A.L. Buchignani, 1987, Virginia Tech, [email protected]. Reference 5,
Shear Strength Correlation for Geotechnical Engineering, J.M. Duncan, R.C, Horz, T.L.
Yang, Virginia Tech, 1989, [email protected]. Secondary references for this chapter are 8, 9,
10, 22
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CHAPTER 5
DEEP FOUNDATIONS
5-1 INTRODUCTION

develop the type, length, diameter or horizontal dimensions, and material of deep
foundations. The materials may be concrete, steel, timber or combinations of these
materials.
deep foundations will be answered.
5-1.3 References. The main references for this chapter are References 1, 2, 5 and
Shear Strength Correlation for Geotechnical Engineering, J.M. Duncan, R.C, Horz, T.L.
Yang, Virginia Tech, 1989, [email protected]. Reference 11, Design of Pile Foundations,
Technical Engineering and Design Guides as Adapted from the U.S. Army Corps of
Engineers, No. 1, published by the AMERICAN SOCIETY OF CIVIL ENGINEERS/GEO-
INSTITUTE. Secondary references are 18, 21, 12, 15, 22, 17 and 16.
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CHAPTER 6
RETAINING WALLS
6-1 INTRODUCTION

develop the type, dimensions, and materials for building retaining walls under conditions
from waterfront to mountainous terrain. The materials may be concrete, metals, timber,
soils, geotextiles and/or combinations of these materials.
retaining walls will be answered.
6-1.3 References. The main references for this chapter are References 1, 2, 6 and
Retaining and Flood Walls, Technical Engineering and Design guides as Adapted from
the U.S. Army Corps of Engineers, No. 4, published by the AMERICAN SOCIETY OF
CIVIL ENGINEERS/GEO-INSTITUTE, and Reference 5, Shear Strength Correlation for
Geotechnical Engineering, J.M. Duncan, R.C, Horz, T.L. Yang, Virginia Tech, 1989,
[email protected]. Secondary references are 12, and 22.
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CHAPTER 7
SLOPE STABILITY ANALYSIS
7-1 INTRODUCTION

develop dimensions and details for existing or new slopes, and for predicting their safety
and reliability.
military services. The questions of settlement, reliability, slope dimensions, and safety
will be addressed.
7-1.3 References. The main references for this chapter are References 2, 4, and
5. Reference 2, Engineering Manual for Settlement Studies, J.M. Duncan, A.L.
Buchignani, 1987, Virginia Tech, [email protected]. Reference 4, Engineering Manual for
Slope Stability Studies, J.M. Duncan, A.L. Buchignani, Marios De Wet, Virginia Tech
1987. Reference 5, Shear Strength Correlation for Geotechnical Engineering, J.M.
Duncan, R.c. Horz, T.L. Yang, Virginia Tech, 1989, [email protected]. Secondary
references, are References 21 and 22.
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CHAPTER 8
EXCAVATIONS, FILL, BACKFILL, AND SOIL STABILIZATION FOR STRUCTURES
8-1 EXCAVATIONS
8-1.1 Introduction And Scope
This chapter covers the methods of evaluating the stability of shallow and deep
excavations. There are two basic types of excavations:
(a) “open excavations” where stability is achieved by providing stable side
slopes, and
(b) “braced excavations” where vertical or sloped sides are maintained with
protective structural systems that can be restrained laterally by internal or
external structural elements. Guidance on performance monitoring is given in
Reference 20, Chapter 2.
8-1.1.1 Methodology. In selecting and designing the excavation system, the

primary controlling factors will include:
(a) soil type and soil strength parameters;
(b) groundwater conditions;
(c) slope protection;
(d) side and bottom stability; and
(e) vertical and lateral movements of adjacent areas, and effects on existing
structures.
8-1.1.2 Related Criteria. For additional criteria on excavations, see Dewatering

and Groundwater Control, Chapter 9.
8-1.2 Open Cuts
8-1.2.1 Sloped Cuts. Depth and slope of an excavation, and groundwater

conditions control the overall stability and movements of open excavations. In granular
soils, instability usually does not extend significantly below the excavation, provided
seepage forces are controlled. In rock, depths and slopes of excavation, particular joint
patterns, in situ stresses, and groundwater conditions control stability. In cohesive soils,
instability typically involves side slopes but may also include materials well below the
base of the excavation. Instability below the base of excavation, often referred to as
bottom heave, is affected by soil type and strength, depth of cut, side slope and/or berm
geometry, groundwater conditions, and construction procedures. Methods for controlling
bottom heave are given in Reference 20, Chapter 6.
Methods described in Reference 20, Chapter 7 may be used to evaluate the stability of
open excavations in soils where behavior of such soils can be reasonably determined
by field investigation, laboratory testing, and analysis. In certain geologic formations
(stiff clays, shales, sensitive clays, clay tills, etc.) stability is controlled by construction
procedures, side effects during and after excavation and inherent geologic planes of
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weaknesses - Table 8-1.1 (modified from Reference 24, Effects of Construction on
Geotechnical Engineering, by Clough and Davidson) presents a summary of the primary
factors controlling excavation slopes in some problem soils. Table 8-2 (modified from
Reference 1) summarizes measures that can be used for excavation protection for both
conventional and problem soils.
8-1.2.2 Vertical Cuts. Many cuts in clays will stand with vertical slopes for a
period of time before failure occurs. However, changes in the shear strength of the clay
with time and stress release resulting from the excavation can lead to progressive
deterioration in stability. This process can be rapid in stiff, highly fissured clays, but
relatively slow in softer clays. (See Reference 20, Chapter 7 for critical heights for
vertical cuts in cohesive soils.) For cuts in hard unweathered rock, stability is mostly
controlled by strength along bedding planes, groundwater condition, and other factors
(see Reference 20, Chapter 6, and Reference 25 Stability of Steep Slopes on Hard
Unweathered Rock, by Terzaghi for detailed discussion on the effects of rock
discontinuities). Cuts in rock can stand vertical without bolting or anchoring depending
on rock quality and joint pattern.
8-1.3 TRENCHING
8-1.3.1 Site Exploration. Individual trenching projects frequently extend over

long distances. An exploration program should be performed to define the soil and
groundwater conditions over the full extent of the project, so that the design of the
shoring system can be adjusted to satisfy the varying site conditions.
8-1.3.2 Trench Stability. Principal factors influencing trench stability are the
lateral earth pressures on the wall support system, bottom heave, and the pressure and
erosive effects of infiltrating groundwater (see Chapter 6 and Reference 20, Chapter 6).
External factors that influence trench stability include:
• Surface Surcharge. The application of any additional load between the edge of
the excavation and the intersection of the ground surface with the possible failure
plane must be considered in the stability analyses for the excavation.
• The effects of vibrating machinery, blasting or other dynamic loads in the vicinity
of the excavation must be considered. The effects of vibrations are cumulative
over periods of time and can be particularly dangerous in brittle materials such as
clayey sand or gravel.
• Ground Water Seepage. Improperly dewatered trenches in granular soils can
result in quick conditions and a complete loss of soil strength or bottom heave.
(See Reference 20, Chapter 6.)
• Surface Water Flow. This can result in increased loads on the wall support
system and reduction of the shear strength of the soil. Site drainage should be
designed to divert water away from trenches.
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TABLE 8-1.1
Factors Controlling Stability of Sloped Cut in Some Problem Soils
SOIL TYPE PRIMARY CONSIDERATIONS FOR SLOPE DESIGN

Stiff-fissured Field shear resistance may be less than suggested by laboratory tests. Slope failures
Clays may occur progressively and shear strengths reduced to residual values compatible
and Shales with relatively large deformations. Some case histories suggest that the long-term
performance is controlled by the residual friction angle which for some shales may be
as low as 12 deg. The most reliable design procedure would involve the use of local
experience and recorded observations.
Loess and Strong potential for collapse and erosion of relatively dry material upon wetting. Slopes
Other in loess are frequently more stable when cut vertical to prevent infiltration. Benches at
Collapsible intervals can be used to reduce effective slope angles. Evaluate potential for collapse
Soils as described in Reference 20, Chapter 1. (See Chapter 8-1.3)
Residual Soils Significant local variations in properties can be

expected depending on the weathering profile from parent rock. Guidance based on
recorded observation provides prudent basis for design.
Sensitive Clays Considerable loss of strength upon remolding generated by natural or man-made
disturbance. Use analyses based on unconsolidated undrained tests or field vane tests.
Talus Talus is characterized by loose aggregation of rock that accumulates at the foot of rock
cliffs. Stable slopes are commonly between 1-1/4 to 1-3/4 horizontal to 1 vertical.
Instability is associated with abundance of water, mostly when snow is melting.
Loose Sands May settle under blasting vibration, or liquify,
settle, and lose strength if saturated. Also prone to erosion and piping.
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TABLE 8-1.2
Factors Controlling Excavation Stability
Construction Objectives Comments

Activity
Dewatering To prevent boiling, Investigate soil compressibility and
softening, or heave effect of dewatering on settlement of nearby structures;
in excavation consider recharging or slurry wall cutoff. Examine for
bottom, reduce presence of lower aquifer and need to dewater. Install
lateral pressures on piezometer if needed. Consider effects of dewatering in
sheeting, reduce cavity-laden limestone. Dewater in advance of excavation.
seepage pressures
on face of open cut,
and eliminate
piping of fines
through sheeting.
Excavation and Pipe trenching, Analyze safe slopes (see Reference 20, Chapter 7) or
Grading basement bracing requirement (see Chapter 3), effects of stress
excavation, site reduction on over-consolidated, soft or swelling soils and
grading. shales. Consider horizontal and vertical movements in
adjacent areas due to excavation and effect on nearby
structures. Keep equipment and stockpiles a safe distance
from top of excavation.
Excavation Wall To support vertical See Chapter 6 for wall design. Reduce earth movements and
Construction excavation walls, to bracing stresses, where necessary, by installing lagging on
stabilize trenching front flange of soldier pile. Consider effect of vibrations due to
in limited space. driving sheet piles or soldier piles. Consider dewatering
requirements as well as wall stability in calculating sheeting
depth. Movement monitoring may be warranted.
Dewatering To prevent boiling, Investigate soil compressibility and effect of dewatering on
softening, or heave settlement of nearby structures; consider recharging or slurry
in excavation wall cutoff. Examine for presence of lower aquifer and need
bottom, reduce to dewater. Install piezometer if needed. Consider effects of
lateral pressures on dewatering in cavity-laden limestone. Dewater in advance of
sheeting, reduce excavation.
seepage pressures
on face of open cut,
and eliminate
piping of fines
through sheeting.
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TABLE 8-1.2
Factors Controlling Excavation Stability
Construction Objectives Comments

Activity
Excavation and Pipe trenching, Analyze safe slopes (see Reference 20, Chapter 7) or
Grading basement bracing requirement (see Chapter 8-1.3), effects of stress
excavation, site reduction on over consolidated, soft or swelling soils and
grading. shales. Consider horizontal and vertical movements in
adjacent areas due to excavation and effect on nearby
structures. Keep equipment and stockpiles a
safe distance from top of excavation.
Excavation Wall To support vertical See Chapter 6 for wall design. Reduce earth movements and
Construction excavation walls, to bracing stresses,where necessary, by installing laggingon
stabilize trenching in front flange of soldier pile. Consider effect of vibrations due to
limited space. driving sheet piles or soldier piles. Consider dewatering
requirements as well as wall stability in calculating sheeting
depth. Movement monitoring may be
warranted.
Blasting To remove or to Consider effect of vibrations on settlement or damage to

facilitate the adjacent areas. Design and monitor or require the contractor
removal of rock in to design and monitor blasting in critical areas; require a pre
the excavation. construction survey of nearby structures.
Anchor or Strut To obtain support Major excavations require careful installation and monitoring,
Installation, system e.g., case anchor holes in collapsible soils; measure stress in
Wedging of Struts, stiffness and ties and struts; wedging, etc.
Pre-stressing Ties interaction.
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8-1.3.3 Support Systems. Excavation support systems commonly used are as

follows:
• Trench Shield. A rigid prefabricated steel unit used in lieu of shoring, which
extends from the bottom of the excavation to within a few feet of the top of the
cut. Pipes are laid within the shield, which is pulled ahead, as trenching
proceeds, as illustrated in Figure 8-1.1 (from Reference 4, Cave-In! by Petersen).
Typically, this system is useful in loose granular or soft cohesive soils where
excavation depth does not exceed 12 feet. Special shields have been used to
depths of 30 feet.
• Trench Timber Shoring. Table 8-1.3 illustrates the Occupational Safety and
Health Act's minimum requirements for trench shoring. Braces and shoring of
trench are carried along with the excavation. Braces and diagonal shores of
timber should not be subjected to compressive stresses in excess of:
S = 1300 - 20 L/D
where:
L = unsupported length (inches)
D = least side of the timber (inches)
S = allowable compressive stress in pounds per square inch of cross
section
Maximum Ratio L/D = 50
• Skeleton Shoring. Used in soils where cave-ins are expected. Applicable to most
soils to depth up to 20 feet. See Figure 8-1.2 (from Reference 4) for illustration
and guidance for skeleton shoring. Structural components should be designed to
safely withstand earth pressures.
• Close (Tight) Sheeting. Used in granular or other running soils, compared to

skeleton shoring, it is applicable to greater depths. See illustration in Figure 8-1.3
(from Reference 30)
• Box Shoring. Applicable to trenching in any soil. Depth limited by structural

strength and size of timber. Usually limited to 40 feet. See illustration in Figure 8-
1.4 (from Reference 30)
• Telescopic Shoring. Used for excessively deep trenches. See illustration in

Figure 8-1.5 (Reference 30).
• Steel Sheeting and Bracing. Steel sheeting and bracing can be used in lieu of
timber shoring. Structural members should safely withstand water and lateral
earth pressures. Steel sheeting with timber wales and struts has also been used.
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FIGURE 8-1.1
Sliding Trench Shield
8-7
Table 8-1.3
OSHA Requirements (Minimum) for Trench Shoring
Size and Spacing of Members

Uprights Stringers Cross Braces1 Maximum Spacing
Width of Trench (feet)
Depth of Kind or Condition
Trench of Earth Vertical Horizontal
Minimum Maximum Minimum Maximum
Up to 3 4 to 6 7 to 9 10 to 12 13 to 15
Dimension Spacing Dimension Spacing
Feet Inches Feet Inches Feet Inches Inches Inches. Inches Inches Feet Feet
5 to 10 Hard, compact 3 x 4 or 2 x 6 6 -- -- 2x6 4x4 4x6 6x5 6x8 4 6
Likely to crack 3 x 4 or 2 x 6 3 4x6 4 2x6 4x4 4x6 6x6 6x8 4 6
Soft, sandy, or filled 3 x 4 or 2 x 6 Close 4x6 4 4x4 4x6 6x6 6x8 8x8 4 6
Sheeting
Hydrostatic 3 x 4 or 2 x 6 Close 6x8 4 4x4 4x6 6x6 6x8 8x8 4 6

Pressure Sheeting
11 to 15 Hard 3 x 4 or 2 x 6 4 4x6 4 4x4 4x6 6x6 6x8 8x8 4 6
Likely to crack 3 x 4 or 2 x 6 2 4x6 4 4x4 4x6 6x6 6x8 8x8 6
Soft, sandy or 3 x 4 or 2 x 6 Close 4x6 4 4x6 6x6 6x8 8x8 8 x 10 4 6

Filled Sheeting
Hydrostatic 3x6 Close 8 x 10 4 4x6 6x6 6x8 8x8 8 x 10 4 6

Pressure Sheeting
16 to 20 All kinds or 3x6 Close 4 x 12 4 4 x 12 6x8 8x8 8 x 10 10 x 10 4 6

Conditions Sheeting
Over 20 All kinds or 3x6 Close 6x8 4 4 x 12 8 x 8 8 x 10 10 x 10 10 x 12 4

Conditions Sheeting
1
Trench jacks may be used in lieu of, or in combination with, cross braces. Where desirable, steel sheet piling and bracing of equal strength
may be substituted for wood.
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Figure 8-1.2
Skeleton Shoring
Figure 8-1.3
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Close (Tight) Sheeting
Figure 8-1.4
Box Shoring
Figure 8-1.5
Telescopic Shoring
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8-1.4 Rock Excavation
8-1.4 ROCK EXCAVATION
8-1.4.1 Preliminary Considerations. The primary objective is to conduct work in

such a manner that a stable excavation will be maintained and that rock outside the
excavation prism will not be adversely disturbed. Rock excavation planning must be
based on detailed geological data at the site. To the extent possible, structures to be
constructed in rock should be oriented favorably with the geological setting. For
example, tunnels should be aligned with axis perpendicular to the strike of faults or
major fractures. Downslope dip of discontinuities into an open cut should be avoided.
In general, factors that must be considered in planning, designing and constructing a

rock excavation are as follows:
• Presence of strike, dip of faults, folds, fractures, and other discontinuities;

• In situ stresses;
• Groundwater conditions;
• Nature of material filling joints;
• Depth and slope of cut;
• Stresses and direction of potential sliding; surfaces;
• Dynamic loading, if any;
• Design life of cut as compared to weathering or deterioration rate of rock
face;
• Rippability and/or the need for blasting; and
• Effect of excavation and/or blasting on adjacent structures.
The influence of most of these factors on excavations in rock is similar to that of

excavations in soil; see Reference 20, Chapter 7.
FIGURE 8-1.6
General Guidance for Underpinning
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8-1.4.2 Rippability. Excavation ease or rippablility can be assessed
approximately from field observation in similar materials or by using seismic velocity,
fracture spacing, or point load strength index. Figure 8 (from Reference 32, Handbook
of Ripping, by Caterpillar Tractor Co.) shows an example of charts for heavy duty ripper
performance (ripper mounted on tracked bulldozer) as related to seismic wave velocity.
Charts similar to Figure 8-1.8 are available from various equipment manufacturers.
Figure 8-1.8 is for guidance and restricted in applicability to large tractors heavier than
50 tons with engine horsepower greater than 350 Hp. Ripper performance is also
related to configuration of ripper teeth, equipment condition and size, and fracture
orientation.
Another technique of relating physical properties of rock to excavation ease is shown on

Figure 8-1.9 (from Reference 33), Logging the Mechanical Character of Rock, by
Franklin, et al.) Where fracture frequency (or spacing) is plotted against the point load
strength index corrected to a reference diameter of 50 mm. (See Reference 34, The
Point-Load Strength Test, by Broch and Franklin.)
A third and useful technique is exploration trenching in which the depth of unrippable
rock can be established by digging test trenches in rock using rippers (or other
excavation equipment) anticipated to be used for the project. The size and shape of the
area to be excavated is a significant factor in determining the need for blasting, or the
equipment needed to remove the rock.
8-1.4.3 Blasting. Of major concern is the influence of the blasting on adjacent

structures. The maximum particle velocity (the longitudinal velocity of a particle in the
direction of the wave that is generated by the blast) is accepted as a criterion for
evaluating the potential for structural damage induced by blasting vibration. The critical
level of the particle velocity depends on the frequency characteristics of the structure,
frequency of ground and rock motion, nature of the overburden and capability of the
structure to withstand dynamic stress. Figure 8-1.9 can be used for estimating the
maximum particle velocity, which can then be used in Figure 8-1.10 (from Reference 35,
Blasting Vibrations and Their Effects on Structures, by Bureau of Mines) to estimate
potential damage to residential structures. Guidance for human response to blasting
vibrations is given in Figure 8-1.11 (from Reference 36, Engineering of Rock Blasting on
Civil Protects, by Hendron).
Once it has been determined that blasting is required, a pre-blasting survey should be
performed. At a minimum, this should include:
• Examination of the site

• Detailed examination and, perhaps, photographic records of adjacent structures
• Establishment of horizontal and vertical survey control points
• Consideration of vibration monitoring, and monitoring stations and schedules
established.
During construction, detailed records should be kept of:

• charge weight,
8-12
UFC 3-220-01
14 May 2002
• Location of blast point(s) and distance(s) from existing structures,
• Delays
• Response as indicated by vibration monitoring. For safety, small charges should
be used initially to establish a site-specific relationship between charge weight,
distance, and response.
TOPSOIL
CLAY
GLACIAL TILL
IGNEOUS ROCKS
GRANITE
BASALT
TRAP ROCK
SEDIMENTARY ROCKS
SHALE
SANDSTONE
SILTSTONE
CLAYSTONE
CONGLOMERATE
BRECCIA
CALICHE
LIMESTONE
METAMORHIC ROCKS
SCHIST
SLATE
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
RIPPABLE LONGITUDINAL VELOCITY IN FEET PER SECOND
MARGINAL (THOUSANDS)
NON-RIPPABLE
FIGURE 8-1.7
Rippability of Subsurface Materials Related to Longitudinal
Seismic Velocity for a Heavy Duty Ripper (Tractor-Mounted)
8-13
UFC 3-220-01
14 May 2002
FIGURE 8-1.8
Suggested Guide for Ease of Excavation
Example: Weight of Explosive Charge: 8 Lbs. = W; Distance from Blast Point: 100 feet = R
R/(W)1/3 = 50; Peak Vr = 0.5 in/sec (from chart)
FIGURE 8-1.9
Cube Root Scaling Versus Maximum Particle Velocity
8-14
UFC 3-220-01
14 May 2002
FIGURE 8-1.10
Guideline for Assessing Potential for Damage Induced by Blasting Vibration to
Residential Structure Founded on Dense Soil or Rock
FIGURE 8-1.11
Guide for Predicting Human Response to Vibrations and Blasting Effects
8-15
UFC 3-220-01
14 May 2002
8-1.5 EXCAVATION STABILIZATION, MONITORING, AND SAFETY
8-1.5.1 Stabilization. During the planning and design stage, if analyses indicate
potential slope instability, means for slope stabilization or retention should be
considered. Some methods for consideration are given in Chapter 6.
On occasion, the complexity of a situation may dictate using very specialized

stabilization methods. These may include grouting and injection, ground freezing, deep
drainage and stabilization, such as vacuum wells or electro-osmosis, and diaphragm
walls.
8-1.5.2 Monitoring. During excavation, potential bottom heave, lateral wall or

slope movement, and settlement of areas behind the wall or slope should be inspected
carefully and monitored if critical. Monitoring can be accomplished by conventional
survey techniques, or by more sophisticated means such as heave points, settlement
plates, extensometers or inclinometers, and a variety of other devices. See Reference
20.
8-1.5.3 Safety. Detailed safety requirements vary from project to project. As a

guide, safety requirements are specified by OSHA, see Reference 39, Public Law
91-596. A summary of the 1980 requirements follows:
• Banks more than 4 feet high shall be shored or sloped to the angle of repose
where a danger of slides or cave-ins exists as a result of excavation.
• Sides of trenches in unstable or soft material, 4 feet or more in depth, shall be
shored, sheeted, braced, sloped, or otherwise supported by means of sufficient
strength to protect the employee working within them.
• Sides of trenches in hard or compact soil, including embankments, shall be
shored or otherwise supported when the trench is more than 4 feet in depth and
8 feet or more in length. In lieu of shoring, the sides of the trench above the
4-foot level may be sloped to preclude collapse, but shall not be steeper than a
1-foot rise to each 1/2-foot horizontal. When the outside diameter of a pipe is
greater than 6 feet, a bench of 4-foot minimum shall be provided at the toe of the
sloped portion.
• Materials used for sheeting and sheet piling, bracing, shoring, and underpinning
shall be in good serviceable condition. Timbers used shall be sound and free
from large or loose knots, and shall be designed and installed so as to be
effective to the bottom of the excavation.
• Additional precautions by way of shoring and bracing shall be taken to prevent
slides or cave-ins when:
o Excavations or trenches are made in locations adjacent to backfilled
excavations; or
o Where excavations are subjected to vibrations from railroad or highway
traffic, operation of machinery, or any other source.
• Employees entering bell-bottom pier holes shall be protected by the installation of
a removable-type casing of sufficient strength to resist shifting of the surrounding
earth. Such temporary protection shall be provided for the full depth of that part
8-16
UFC 3-220-01
14 May 2002
of each pier hole that is above the bell. A lifeline, suitable for instant rescue and
securely fastened to the shafts, shall be provided. This lifeline shall be
individually manned and separate from any line used to remove materials
excavated from the bell footing.
• Minimum requirements for trench timbering shall be in accordance with Table 8-
1.3.
• Where employees are required to be in trenches 3 feet deep or more, ladders
shall be provided which extend from the floor of the trench excavation to at least
3 feet above the top of the excavation. They shall be located to provide means of
exit without more than 25 feet of lateral travel.
• Bracing or shoring of trenches shall be carried along with the excavation.
• Cross braces or trench jacks shall be placed in true horizontal position, spaced
vertically, and secured to prevent sliding, falling, or kickouts.
• Portable trench boxes or sliding trench shields may be used for the protection of
employees only. Trench boxes or shields shall be designed, constructed, and
maintained to meet acceptable engineering standards.
• Backfilling and removal of trench supports shall progress together from the
bottom of the trench. Jacks or braces shall be released slowly, and in unstable
soil, ropes shall be used to pull out the jacks or braces from above after
employees have cleared the trench.
8-1.6 Embankment Cross-Section Design
8-1.6.1 Influence of Material Type. Table 8-1.4 lists some typical properties of
compacted soils that may be used for preliminary analysis. For final analysis
engineering property tests are necessary. See Table 8-1.5 for relative desirability of
various soil types in earth fill dams, canals, roadways and foundations. Although
practically any non-organic insoluble soil may be incorporated in an embankment when
modern compaction equipment and control standards are employed, the following soils
may be difficult to use economically:
• Fine-grained soils may have insufficient shear strength or excessive
compressibility.
• Clays of medium to high plasticity may expand if placed under low confining
pressures and/or at low moisture contents. See Reference 20, Chapter I for
identification of soils susceptible to volume expansion.
• Plastic soils with high natural moisture are difficult to process for proper moisture
for compaction
• Stratified soils may require extensive mixing of borrow.
8-1.6.2 Embankments on Stable Foundation. The side slopes of fills not

subjected to seepage forces ordinarily vary between 1 on 1-1/2 and 1 on 3. The
geometry of the slope and berms are governed by requirements for erosion control and
maintenance. See Reference 4 for procedures to calculate stability of embankments.
8-1.6.3 Embankments on Weak Foundations. Weak foundation soils may

require partial or complete removal, flattening of embankment slopes, or densification.
Analyze cross-section stability by methods of Reference 20, Chapter 7.
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UFC 3-220-01
14 May 2002
8-1.6.4 Embankment Settlement. Settlement of an embankment is caused by

foundation consolidation, consolidation of the embankment material itself, and
secondary compression in the embankment after its completion.
• See Reference 20, Chapter 5 for procedures to decrease foundation settlement

or to accelerate consolidation.
• Significant excess pore pressures can develop during construction of fills
exceeding about 80 feet in height or for lower fills of plastic materials placed wet
of optimum moisture. Dissipation of these excess pore pressures after
construction results in settlement. For earth dams and other high fills where
settlement is critical, construction pore pressures should be monitored by the
methods of Reference 20, Chapter 2.
• Even for well-compacted embankments, secondary compression and shear
strain can cause slight settlements after completion. Normally this is only of
significance in high embankments, and can amount to between 0.1 and 0.2
percent of fill height in three to four years or between 0.3 and 0.6 percent in 15 to
20 years. The larger values are for fine-grained plastic soils.
8-18
Table 8-1.4
Typical Properties of Compacted Soils
Group Soil Range of Range of Typical Typical Strength Characteristics Typical Range Range of
Symbol Type Maximum Optimum Value of Coefficient of C?? Subgrade
Dry Unit Moisture, Compression of Values Modulus
Weight, Percent At At Cohesion Cohesion Effective Tan Permeability k
lbs/ft3 1.4 3.6 (as (Saturated) Stress ft/min lbs/in3
tsf tsf Compacted) Envelope
GW Well 125 – 11 – 8 0.3 0.6 0 0 >38 >0.79 3 x 10-2 40 – 300 –

graded, 135 80 500
clean
gravel –
sand
mixtures
GF Poorly 115 – 14 – 11 0.4 0.9 0 0 >37 >0.74 10-1 30 – 250 –

graded, 125 60 400
clean
gravel –
sand
mixtures
GM Silty 120 – 12 – 8 0.5 1.1 --- --- >34 >0.67 >10-5 20 – 100 –
gravels, 135 60 400
poorly
graded
gravel-
sand-silt
GC Clayey 115 – 14 – 9 0.7 1.6 --- --- >31 >0.60 >10-7 20 – 100 –
gravels, 130 40 300
poorly
graded
gravel-
sand-silt
Table 8-1.4
ML Well 110 –130 16 – 9 0.6 1.2 0 0 38 0.39 >10-3 20 – 200 –

graded 40 300
clean
sands,
gravelly
sands
ML - Poorly 100 – 21 – 12 1.0 2.2 1350 460 32 0.52 5 x >10-7 *** ***
CL graded 120
clean
sands,
sand
gravel
mix
Table 8-1.4
SW Well 110 –130 16 – 9 0.6 1.2 0 0 38 0.79 >10-3 20 – 200 –

graded 40 300
clean
sands,
gravelly
sands
SP Poorly 100 – 21 – 12 0.8 1.4 0 0 37 0.74 >10-3 10 – 200 –

graded 120 40 300
clean
sands,
sand
gravel
mix
SM Silty 110 – 16 – 11 0.8 1.6 1050 420 34 0.67 5 x > 10-5 10 – 200 –
soils, 125 40 300
poorly
graded
sand-silt
mix
SM – Sand- 110-130 15 – 11 0.8 1.4 1050 300 33 0.68 2 x >10-6 5-30 100-300
SC silt clay
mix with
slightly
plastic
fines
Table 8-1.4
SC Clay like 105-125 19-11 1.1 2.2 1550 230 31 0.60 2 x >10-7 5-20 100-300
sands,
poorly
graded
sand/
clay
mix.
CL Inorgan- 95-120 24-12 1.3 2.5 1800 270 28 0.54 >10—7 15 or 50-200
ic clays less
of low to
medium
plasti-
city
OL Organic 80-100 33-21 *** *** **** ***** *** *** *** 5 or 50-100
silts and less
silt clays
low
plasti-
city
Table 8-1.4
Symbol Type Maximum Optimum Value of Coefficient of Subgrade
Dry Unit Moisture, Compression of CBR Modulus
Weight, Percent At At Cohesion Cohesion Effective Tan Permeability Values k
MH Inorga- 70-95 40-24 2.0 3.8 1500 420 25 0.47 5 x >10-7 10 or 50-100
nic clay less
silts/el-
astic silt
CH Inorga- 75-105 36-19 2.6 3.9 7150 230 19 0.35 >10-7 15 or 50-150
nic less
clays of
high
plasti-
city
OH Organic 65-100 45-21 *** *** ***** ***** **** **** **** 5 or 25-100
& silty less
clays
Notes:
1. All properties are for conditions of “Standard Proctor” maximum density, except volume of “ k “ and CBR which are for “Modified Proctor”
maximum density.
2. Typical strength characteristics are for effective envelopes and are obtained USBR data.
3. Compression values are for vertical loading with complete lateral containment.
4. (>) indicates that typical property I greater than the value shown. Asterisks (*) indicate insufficient data available for an estimate.
Table 8-1.5
Relative Desirability of Soils as Compacted Fill
Relative Desirability for Various Uses
Soil Type
Rolled Earth Fill Canal Sections Foundations Roadways
Dams
Fills
Group
Symbol
Core
Shell
Lining
Seepage
Important
Important
Surfacing
Possible
Seepage Not
Embankment
Homogeneous
Frost Heave
Frost Heave
Not Possible
Compacted Earth
Erosion Resistance
GW Well graded gravels, - - 1 1 - - 1 1 1 3
gravel-sand mixture, little
or fines
GF Poorly graded gravels, - - 2 2 - - 3 3 3 -
gravel-sand mixture, little
or no fines
GM Silty gravels, poorly graded 2 4 - 4 4 1 4 4 9 5
gravel-sand-silt mixtures
GC Clayey gravels, poorly 1 1 - 3 1 2 6 5 5 1
graded gravel-sand-clay
mixtures
SW Well graded sands, gravel - - 3 if 6 - - 2 2 2 4
like sands, little or no fines gravelly
SP Poorly graded sands, - - 4 if 7 if - - 5 6 4 -
gravel like sands, little or gravelly gravelly
no fines
SM Silty sands, poorly graded 4 5 - 8 if 5 3 7 6 10 6
sand-silt mixtures gravelly erosi
on
critic
al
SC Clay like sands, poorly 3 2 - 5 2 4 8 7 6 2
graded sand-clay mixtures
Table 8-1.5
Relative Desirability of Soils as Compacted Fill
Relative Desirability for Various Uses
Group Soil Type

Rolled Earth Fill Canal Foundations Roadways
Symbol
Dams Sections
Fills
Core
Shell
Lining
Seepage
Important
Important
Surfacing
Possible
Seepage Not
Embankment
Homogeneous
Frost Heave
Frost Heave
Not Possible
Compacted Earth
Erosion Resistance
ML Inorganic silts and very 6 6 - - 6 6 9 10 11 _
fine sands. Rock flower, Erosion
silty or clayey fine sands critical
with slight plasticity.
CL Inorganic clays of low to 5 3 - 9 3 5 10 9 7 7
medium plasticity,
gravelly clays, sandy
clays, silty clays, lean
clays.
OL Organic silts and organic 8 8 - - 7 7 11 11 12 -
silts-clays of low plasticity Erosion
critical
MH Inorganic silts, micaceous 9 9 - - - 8 12 12 13 -
or diatomaceous fine
sandy or silty soils, elastic
silts.
CH Inorganic clays of high 7 7 - 10 8 9 13 13 8 -
plasticity, fat clays volume
change
critical
OH Organic clays of medium 10 10 - - - 10 14 14 14 -
high plasticity
(-) indicates not appropriate for this type of use
UFC 3-220-01
14 May 2002
8-1.6.5 Earth Dam Embankments. Evaluate stability at three critical stages; the
end of construction stage, steady state seepage stage, and rapid drawdown stage. See
Reference 20, Chapter 7 for pore pressure distribution at these stages. Seismic forces
must be included in the evaluation. Requirements for seepage cutoff and stability dictate
design of cross section and utilization of borrow materials.
8-1.6.5.1 Seepage Control. Normally the earthwork of an earth dam is zoned with
the least pervious, fine-grained soils in the central zone and coarsest, most stable
material in the shell. Analyze seepage by the methods of Reference 20, Chapter 6.
• Consider the practicability of a positive cutoff trench extending to

impervious strata beneath the embankment and into the abutments.
• For a properly designed and constructed zoned earth dam, there is little
danger from seepage through the embankment. Drainage design generally is
dictated by necessity for intercepting seepage through the foundation or
abutments. Downstream seepage conditions are more critical for homogeneous
fills. See Reference 20, Chapter 6 for drainage and filter requirements.
8-1.6.5.2 Piping and Cracking. A great danger to earth dams, particularly those of
zoned construction, is the threat of cracking and piping. Serious cracking may result
from tension zones caused by differences in stress-strain properties of zoned material.
See Figure 1 (Reference 1, Influence of Soil Properties and Construction Methods on
the Performance of Homoaeneous Earth Dams, by Sherard) for classification of
materials according to resistance to piping or cracking. Analyze the embankment
section for potential tension zone development. Place an internal drainage layer
immediately downstream of the core to control seepage from possible cracking if
foundation settlements are expected to be high.
8-1.6.5.3 Dispersive soil. Dispersive clays should not be used in dam

embankments. Determine the dispersion potential using Table 3. A hole through a
dispersive clay will increase in size as water flows through (due to the breakdown of the
soil structure), whereas the size of a hole in a non-dispersive clay would remain
essentially constant. Therefore, dams constructed with dispersive clays are extremely
susceptible to piping.
8-26
UFC 3-220-01
14 May 2002
FIGURE 8-1.12
Resistance of Earth Dam. Embankment Materials To Piping and Cracking
8-27
UFC 3-220-01
14 May 2002
FIGURE 8-1.12 (continued)

Resistance of Earth Dam Embankment Materials To Piping and Cracking
8-28
UFC 3-220-01
14 May 2002
Table 8-1.6
Clay Dispersion Potential
*Percent Dispersion Dispersive Tendency
Over 40 Highly Dispersive (do not use)
15 to 40 Moderately Dispersive
0 to 15 Resistant to Dispersion
*The ratio between the fraction finer than 0.005 mm in a soil-water

suspension that has been subjected to a minimum of mechanical
agitation, and the total fraction finer than 0.005 mm determined
from a regular hydrometer test x 100.
8-29
UFC 3-220-01
14 May 2002
8-1.7 BORROW EXCAVATION
8-1.7.1 Borrow Pit Exploration. Exploratory investigations should be made to

determine the suitable sources of borrow material. Laboratory tests to determine the
suitability of available materials include natural water contents, compaction
characteristics, grain-size distribution, Atterberg limits, shear strength, and consoli-
dation. Typical properties of compacted materials for use in preliminary analyses are
given in table 3-1. The susceptibility to frost action also should he considered in
analyzing the potential behavior of fill material. The scope of laboratory testing on
compacted samples depends on the size and cost of the structure, thickness and extent
of the fill, and also strength and compressibility of underlying soils. Coarse-grained soils
are preferred for fill; however, most fine-grained soils can be used advantageously if
attention is given to drainage, compaction requirements, compaction moisture, and
density control.
The number and spacing of borings or test pits for borrow exploration must be sufficient
to determine the approximate quantity and quality of construction materials within an
economical haul distance from the project. For mass earthwork, initial exploration
should be on a 200-foot grid. If variable conditions are found during the initial
explorations, intermediate borings or test pits should be done. Explorations should
develop the following information:
• A reasonably accurate subsurface profile to the anticipated depth of
excavation.
• Engineering properties of each material considered for use.
• Approximate volume of each material considered for use.
• Water level.
• Presence of salts, gypsums, or undesirable minerals.
• Extent of organic or contaminated soils, if encountered.
8-1.7.2 Excavation Methods. The following should be considered when

determining excavation methods:
• Design and efficiency of excavation equipment improves each year. Check
various construction industry publications for specifications.
• Determine rippability of soil or rock by borings (RQD and core recovery, see
Reference 20, Chapters 1 and 2), geophysical exploration, and/or trial
excavation.
8-1.7.3 Utilization of Excavated Materials. In the process of earthmoving there

may be a reduction of the volume ("shrinkage") because of waste and densification, or
an increase of volume ("swell") in the case of rock or dense soils, because the final
density is less than its original density.
Determine total borrow volume, VB, required for compacted fill as follows:
8-30
UFC 3-220-01
14 May 2002
The volume of borrow soil required should be increased according to the volume
change indicated above. A "shrinkage" factor of 10 to 15 percent may be used for
estimating purposes. Note that a large percentage of cobble size material will increase
the waste, because sizes larger than 3 inches are generally excluded from compacted
fill.
For Rock Fill the following should be noted:

• Maximum expansion ("swell") from in-situ conditions occurs in dense, hard
rock with fine fracture systems that breaks into uniform sizes. Unit volume in a
quarry will produce approximately 1.5 volumes in fill.
• Minimum expansion occurs in porous, friable rock that breaks into broadly
graded sizes with numerous spalls and fines. Unit volume in quarry will
produce approximately 1.1 volumes in fill.
8-2 FILL
8-2.1 Types of Fill. Fills include conventional compacted fills; hydraulic fills;
and uncontrolled fills of soils or industrial and domestic wastes, such as ashes, slag,
chemical wastes, building rubble, and refuse. Properly placed compacted fill will be
more rigid and uniform and have greater strength than most natural soils. Hydraulic fills
may be compacted or uncompacted and are an economical means of providing fill over
large areas. Except when cohesionless materials, i.e., clean sands and gravels, are
placed under controlled conditions so silty pockets are avoided and are compacted as
they are placed, hydraulic fills will generally require some type of stabilization to ensure
adequate foundations.
Uncontrolled fills are likely to provide a variable bearing capacity and result in a
nonuniform settlement. They may contain injurious chemicals and, in some instances,
may be chemically active and generate gases that must be conducted away from the
structure. Foundations on fills of the second and third groups (and the first group if not
adequately compacted) should be subjected to detailed investigations to determine their
suitability for supporting a structure, or else they should be avoided. Unsuitable fills
often can be adequately stabilized.
8-31
UFC 3-220-01
14 May 2002
8-2.2 Foundations on Compacted Fills
8-2.2.1 Compacted Fill Beneath Foundations. Compacted fills are used

beneath foundations where it is necessary to raise the grade of the structure above
existing ground or to replace unsatisfactory surface soils. Fills constructed above the
natural ground surface increase the load on underlying soils, causing larger settlements
unless construction of the structure is postponed until fill-induced settlements have
taken place. Settlements beneath a proposed fill can be computed using methods
outlined in Chapter 4. If computed settlements are excessive, consider surcharging and
postponing construction until the expected settlement under the permanent fill loading
has occurred. Extend the fill well beyond the loading area, except where the fill is placed
against a cut slope. Where the fill is relatively thick and is underlain by soft materials,
check its stability with respect to deep sliding. If the fill is underlain by weaker materials,
found the footings on the fill unless settlement is excessive. If the fill is underlain by a
stronger material, the footings may be founded on the fill or on the stronger material.
8-2.2.2 Foundations Partially on Fill. Where a sloping ground surface or

variable foundation depths would result in supporting a foundation partially an natural
soil, or rock, and partially on compacted fill, settlement analyses are required to
estimate differential settlements. In general, a vertical joint in the structure should be
provided, with suitable architectural treatment, at the juncture between the different
segments of foundations. The subgrade beneath the portions of foundations to be
supported on natural soils or rock should be undercut about 3 feet and replaced by
compacted fill that is placed at the same time as the fill for the portions to be supported
on thicker compacted fill.
8-2.2.3 Design Of Foundations on Fill. Foundations can be designed on the

basis of bearing capacity and settlement calculations described in chapter 10. The
settlement and bearing capacity of underlying foundation soils also should be evaluated.
Practically all types of construction can be founded on compacted fills, provided the
structure is designed to tolerate anticipated settlements and the fill is properly placed
and compacted. Good and continuous field inspection is essential.
8-2.2.4 Site Preparation. The site should be prepared by clearing and grubbing
all grass, trees, shrubs, etc, Save as many trees as possible for environmental
considerations. The topsoil should be stripped and stockpiled for later landscaping of fill
and borrow areas. Placing and compacting fills should preferably be done when the
area is still unobstructed by footings or other construction. The adequacy of compacted
fills for supporting structures is dependent chiefly on the uniformity of the compaction
effort. Compaction equipment generally can be used economically and efficiently only
on large areas. Adverse weather conditions may have a pronounced effect on the cost
of compacted fills that are sensitive to placement moisture content, i.e., on materials
having more than 10 to 20 percent finer than the No. 200 sieve, depending on
gradation.
8-2.2.5 Site Problems. Small building areas or congested areas where many
small buildings or utility lines Surround the site present difficulties in regard to
8-32
UFC 3-220-01
14 May 2002
maneuvering large compaction equipment. Backfilling adjacent to structures also
presents difficulties, and power hand-tamping equipment must be employed, with
considerable care necessary to secure uniform compaction. Procedures for backfilling
around structures are discussed in Chapter 8.
8-2.3 Compaction Requirements
8-2.3.1 General. Guidelines for selecting compaction equipment and for

establishing compaction requirements for various soil types are given in table 8-2.1.
When fill materials have been thoroughly investigated and there is ample local
experience in compacting them, it is preferable to specify details of compaction
procedures, such as placement water content, lift thickness, type of equipment, and
number of passes. When the source of the fill or the type of compaction equipment is
not known beforehand, specifications should be based on the desired compaction
result, with a specified minimum number of coverage of suitable equipment to assure
uniformity of compacted densities.
8-2.3.2 Compaction Specifications. For most projects the placement water

content of soils sensitive to compaction moisture should be within the range of - 1 to + 2
percent of optimum water content for the field compaction effort applied. Each layer is
compacted to not less than the percentage of maximum density specified in table 8-2.2.
It is generally important to specify a high degree of compaction in fills under
structures to minimize settlement and to ensure stability of a structure. In addition to
criteria set forth in Chapter 8, the following factors should be considered in establishing
specific requirements:
• The sensitivity of the structure to total and differential settlement as related to
structural design is particularly characteristic of structures to be founded
partly on fill and partly on natural ground.
• If the ability of normal compaction equipment to produce desired densities in
existing or locally available materials within a reasonable range of placement
water content is considered essential, special equipment should be specified.
• The compaction requirements for clean, cohesionless, granular materials will
be generally higher than those for cohesive materials, because cohesion less
materials readily consolidate, or liquefy, when subjected to vibration. For
structures with unusual stability requirements and settlement limitations, the
minimum density requirements indicated in table 15-2 should be increased.
For coarse-grained, well-graded, cohesionless soils with less than 4 percent
passing the No. 200 sieve, or for poorly graded cohesionless soils with less
than 10 percent, the material should be compacted at the highest practical
water content, preferably saturated. Compaction by vibratory rollers generally
is the most effective procedure. Experience indicates that pervious materials
can be compacted to an average relative density of 85 ± 5 percent with no
practical difficulty. For cohesionless materials, stipulate that the fill be
compacted to either a minimum density of 85 percent relative density or 95
percent of compaction effort, whichever giver, the greater density.
• If it is necessary to use fill material having a tendency to swell, the material
should be compacted at water contents somewhat higher than optimum and
8-33
UFC 3-220-01
14 May 2002
to no greater density than required for stability under proposed loadings (table
8-2.1). The bearing capacity and settlement characteristics of the fill under
these conditions should be checked by laboratory tests and analysis. Swelling
clays can, in some instances, be permanently transformed into soils of lower
plasticity and swelling potential by adding a small percentage of hydrated lime
(chap 16).
8-2.3.3 Compacted Rock. Compacted crushed rock provides an excellent

foundation fill. Vibratory rollers are preferable for compacting rock. Settlement of fill
under the action of the roller provides the most useful in formation for determining the
proper loose lift thick ness, number of passes, roller type, and material gradation.
Compaction with a 10-ton vibratory roller is generally preferable. The rock should be
kept watered at all times during compaction to obviate collapse settlement on loading
and first wetting. As general criteria for construction and control testing of rock fill are
not available, test fills should be employed where previous experience is inadequate
and for large important rock fills.
8-2.4 Placing And Control Of Backfill. Backfill should be placed in lifts no

greater than shown in table 8-2.1, preferably 8 inches or less and depending on the soil
and type of equipment available. No backfill should be placed that contains frozen
lumps of soil, as later thawing will produce local soft spots. Backfill should not be placed
on muddy, frozen, or frost-covered ground. Methods of compaction control during
construction are described in 8-3.
8-2.5 Fill Settlements. A fill thickness of even 3 feet is a considerable soil load,
which will increase stresses to a substantial depth (approximately 2B, where B =
smallest lateral dimension of the fill). Stress increases from the fill may be larger than
those from structure footings placed on the fill. Use procedures outlined in chapter 10 to
obtain expected settlements caused by fill loading. Many fills are of variable thickness,
especially where an area is landscaped via both cutting and filling to obtain a
construction site. In similar cases, attention should be given to building locations with
respect to crossing cut and fill lines so that the proper type of building settlement can be
designed (building may act as a cantilever, or one end tends to break off, or as a beam
where the interior sags). Proper placing of reinforcing steel in the wall footings (top for
cantilever action or bottom for simple beam action) may help control building cracks
where settlement is inevitable; building joints can be provided at critical locations if
necessary. The combined effect of structure (one- and two-story residences) and fill
loading for fills up to 10 feet in thickness on sound soil and using compaction control
should not produce a differential settlement of either a smooth curved hump or sag of 1
inch in 50 feet or a uniform slope of 2 inches in 50 feet.
8-2.6 Hydraulic Fills. Hydraulic fills are placed on land or underwater by

pumping material through a pipeline from a dredge or by bottom dumping from barges.
Dredge materials vary from sands to silts and fine-grained silty clays and clays.
Extensive maintenance dredging in the United States has resulted in disposal areas for
dredge materials, which are especially attractive from an economic standpoint for
development purposes. Dikes are usually required to retain hydraulic fills on land and
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UFC 3-220-01
14 May 2002
may be feasible for underwater fills. Underwater dikes may be constructed of large
stones and gravel.
8-2.6.1 Pervious Fills. Hydraulically placed pervious fills with less than 10
percent fines will generally be at a relative density of 50 to 60 percent but locally may be
lower. Controlled placement is necessary to avoid silt concentrations. Compaction can
be used to produce relative densities sufficient for foundation support (table 8-2.1).
Existing uncompacted hydraulic fills of pervious materials in seismic areas are subject
to liquefaction, and densification will be required if important structures are to be
founded on such deposits. Rough estimates of relative density may be obtained using
standard penetration resistance. Undisturbed borings will be required to obtain more
precise evaluation of in situ density and to obtain undisturbed samples for cyclic triaxial
testing, if required. For new fills, the coarsest materials economically available should
be used. Unless special provisions are made for removal of fines, borrow containing
more than 10 percent fines passing the No. 200 sieve should be avoided, and even then
controlled placement is necessary to avoid local silt concentrations.
8-2.6.2 Fine-Grained Fills. Hydraulically placed overconsolidated clays

excavated by suction dredges produce a fill of clay balls if fines in the wash water are
permitted to run off. The slope of such fills will be extremely flat ranging from about 12
to 16H on 1V. These fills will undergo large immediate consolidation for about the first 6
months until the clay balls distort to close void spaces. Additional settlements for a one
year period after this time will total about 3 to 5 percent of the fill height.
Maintenance dredgings and hydraulically placed normally consolidated clays will initially
be at water contents between 4 and 5 times the liquid limit. Depending on measures
taken to induce surface drainage, it will take approximately 2 years before a crust is
formed sufficient to support light equipment and the water content of the underlying
materials approaches the liquid limit. Placing 1 to 3 feet of additional cohesionless
borrow can be used to improve these areas rapidly so that they can support surcharge
fills, with or without vertical sand drains to accelerate consolidation. After consolidation,
substantial one- or two-story buildings and spread foundations can be used without
objectionable settlement. Considerable care must be used in applying the surcharge so
that the shear strength of the soil is not exceeded (i.e., use light equipment).
8-2.6.3 Settlements of Hydraulic Fills. If the coefficient of permeability of a

hydraulic fill is less than 0.0002 foot per minute, the consolidation time for the fill will be
long and prediction of the behavior of the completed fill will be difficult. For coarse-
grained materials with a larger coefficient of permeability, fill consolidation and strength
buildup will be relatively rapid and reasonable strength estimates can be made. Where
fill and foundation soils are fine-grained with a low coefficient of permeability,
piezometers should be placed both in the fill and in the underlying soil to monitor pore
pressure dissipation. It may also be necessary to place settlement plates to monitor the
settlement. Depending on the thickness of the fill, settlement plates may be place both
on the underlying soil and within the fill to observe settlement rates and amounts.
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14 May 2002
8-2.6.4 Compaction of Hydraulic Fills. Dike-land hydraulic fills can be
compacted as they are placed by use of the following:
• Driving track-type tractors back and forth across the saturated fill.
(Relative densities of 70 to 80 percent can be obtained in this manner for
cohesionless materials.)
• Other methods such as vibratory rollers, vibro-flotation, terraprobing, and
compaction piles (Chapter 16). Below water, hydraulic fills can be
compacted by use of terraprobing, compaction piles, and blasting.
8-2.6.5 Underwater Hydraulic Fills. For structural fill placed on a dredged

bottom, remove the fines dispersed in dredging by a final sweeping operation,
preferably with suction dredges, before placing the fill. To prevent extremely flat slopes
at the edge of a fill, avoid excessive turbulence during dumping of the fill material by
placing with clamshell or by shoving off the sides of deck barges. To obtain relatively
steep slopes in underwater fill, use mixed sand and gravel. With borrow containing
about equal amounts of sand and gravel, underwater slopes as steep as 1V on 2H may
be achieved by careful placement. Uncontrolled bottom dumping from barges through
great depths of water will spread the fill over a wide area. To confine such fill, provide
berms or dikes of the coarsest available material or stone on the fill perimeter.
8-36
Table 8-2.1
A Summary of Densification Methods for Building Foundations
Soil Soil Degree of Fill and Backfill Deep Foundation Deposits

Group Types Compaction
Typical Equipment and Procedures for Field Compaction Field Control
Compaction Control Methods
Equipment No. of Comp. Placement
Phases or Lift Water
Coverages Thick., Content
in.
GW 90 to 95% Vibratory Indefinite Indefinite Saturate Control None available except
ASTM D rollers and by flooding samples at for near surface
GP
1557 compactors intervals to (down to approximate
SW maximum determine depth of five feet)
density Rubber tired 2-5 12 degree of Compaction by
SP rollersa coverages
compaction equipment and
75 to 85%
Crawler type 2-5 5 or relative procedure shown at
Compacted
of relative
tractorc coverages density left
density
Power hand Indefinite 6
tamperc
85 to 90% Rubber tired 2-5 14 Saturate Control Vibroflotation, Undisturbed
ASTM D rollera coverages by flooding samples per compaction piles, samples from
1557 above, if sand piles, explosives borings or test pits
Crawler type 1-2 10
maximum needed to determine
tractor coverages Surface compaction
density degree of
Pervious (Free Draining)

as per above
compaction or
65 to
Power hand Indefinite 8 relative density
75% of
relative tamper
density
Semi compacted
Controlled Indefinite 8-10
routing of
construction
equipment
GM 90 – 95% Rubber tired 2-5 8 Optimum water Control samples (A) Surface compaction by equipment
ASTM D roller (a) coverages content based at intervals to and procedures shown @ left is feasible
GC
1557 on ASTM D determine only if material is at proper water
maximum Sharpefoot 4-8 passes 6 1557 degree of content.
SM
roller (d)
density compaction
(B) Densification of soils is controlled by
Compacted
SC
Power hand Indefinite 4 consolidation process:
ML tamper ( c )
Preload fills*
CL 85-90% Rubber tired 2-4 10 (A) Optimum (A) Control
ASTM D roller (a) coverages water content samples as Lowering of groundwater table
OL
1557 based on ASTM noted above, if Drying
OH maximum Sharpefoot 4-8 passes 8 D 1557. needed.
roller (d) ___________________________
density * Consolidation may be
MH (B) By Obser- (B) Field control
Crawler type 3 6 vation: wet side exercised by accelerated by means of vertical
CH tractor(b) coverages drains.
maximum water visual inspection
Power hand Indefinite 6 content at which of action of Field control exercised by observation of
tamper (d) one material can compaction pore pressures and surface settlements.
satisfactorily equipment.
operate, dry side
Controlled Indefinite 6-8 minimum water
routing of content required
Semi-Impervious and Impervious

Semicompacted
construction to bond particles
equipment and which will
not result in
voids or honey-
combed
materials.
Note: The above requirements will be adequate in relation to most construction. In special cases where tolerable settlements are unusually small, it may be necessary to
employ additional compaction equivalent to 95-100% of CE55 compaction effort. A coverage consists of one application of the wheel of a rubber tired roller of the treads
of a crawler type tractor over each point in the area being compacted. For a sharp foot roller drum over the area being compacted.
a. Rubber tired rollers having a wheel load between 18,000 and 25,000 lbs. and a tire pressure between 80 and 100 psi.
b. Crawler type tractors weighing not less than 20,000 lbs and exerting a foot pressure not less than 6 ½ psi.
c. Power hand tamper weighing more than 100 lbs: pneumatic or operated by gasoline engine.
d. Sharpfoot rollers having a foot pressure between 250 and 500 psi and tamping 7-10 tamp lengths with a face area between 7 and 16 sq. inches.
UFC 3-220-01
14 May 2002
Table 8-2.2
Compaction Density as a Percent of ASTM D 1557 Laboratory Test Density
ASTM D 1557 Maximum Density, in Percentage
Cohesive Soils Cohesionless Soils

Fill/Embankment/Backfill
Under proposed structures, building

Slabs, steps, paved areas 90 95a
Under sidewalks and grassed areas 85 90
Sub-grade
Under building slabs, steps and

Paved areas / top 12inches 90 95
Under sidewalks, top 6 inches 85 90
a
Maybe 85% relative density / whichever is higher
8-3 BACKFILL
8-3.1 Introduction. The greatest deficiencies in earthwork operations around deep-

seated or subsurface structures occur because of improper backfilling procedures and
inadequate construction control during this phase of the work. Therefore, primary emphasis in
this section is on backfilling procedures. Design and planning considerations, evaluation and
selection of materials, and other phases of earthwork construction are discussed where
pertinent to successful backfill operations. Although the information in this section is primarily
applicable to backfilling around large and important deep-seated or buried structures, it is also
applicable in varying degrees to backfilling operations around all structures, including conduits.
8-3.2 Planning and Design of Structures and Excavations to Accommodate

Backfill Operations. Many earthwork construction problems can be eliminated or minimized
through proper design, thorough planning, and recognition of problem areas effecting backfill
operations. Recognition and consideration must be given in planning to design features that
will make backfilling operations less difficult to accomplish. Examples of problem areas and
how forethought in design and planning can help to eliminate backfill deficiencies are
presented in the following paragraphs.
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UFC 3-220-01
14 May 2002
8-3.2.1 Effect Of Excavation And Structural Configuration On Backfill Operations.

Some of the problems encountered in earthwork construction are related to the excavation and
the configuration of the structures around which backfill is to be placed. It is the designer’s
responsibility to recognize these problems and to take the necessary measures to minimize
their impact on the backfill operations.
8-3.2.1.1 Open Zones. An open zone is defined as a backfill area of sufficient dimensions
to permit the operation of heavy compaction equipment without endangering the integrity of
adjacent structures around which compacted backfill operations are conducted. Figure 8-3.1
shows examples of open zones. In these zones where large compaction equipment, can
operate, it is generally not too difficult to obtain the desired density if appropriate materials and
proper backfill procedures are used. For areas that can be economically compacted by heavy
equipment, the designer can avoid problems by including in the design provisions sufficient
working space between structures or between excavation slopes and structures to permit
access by the heavy compaction equipment. Generally, a working space of at least 12 feet
between structure walls and excavation slope and at least 15 feet between structures is
necessary for heavy equipment to maneuver. In addition to maneuvering room, the designer
must also consider any adverse loading caused by the operation of heavy equipment too close
to structure walls, as discussed in paragraph 2-3d.
8-3.2.1.2 Confined zones. Confined zones are defined as areas where backfill operations
are restricted to the use of small mechanical compaction equipment (fig 8-3.2) either because
the working room is limited or because heavy equipment (fig. 8-3.1) would impose excessive
soil pressures that could damage the structure. Most deficiencies in compacted backfill around
subsurface structures have occurred in confined zones where required densities are difficult to
achieve because of restricted working room and relatively low compaction effort of equipment
that is too lightweight. The use of small equipment to achieve required compaction is also
more expensive than heavy equipment since thinner lifts are required. However, because
small compaction equipment can operate in spaces as narrow as 2 feet in width, such
equipment is necessary to achieve the required densities in some areas of most backfill
projects. Therefore, the designer should plan structure and excavation areas to minimize the
use of small compaction equipment.
8-3.2.2 Structure Configuration. The designer familiar with backfilling operations can
avoid many problems associated with difficult to reach confined zones, which are created by
structural shapes obstructing the placement and compaction of backfill, by considering the
impact of structural shape on backfill operations. In most cases, structural shapes and
configurations that facilitate backfill operations can be used without significantly affecting the
intended use of the structure.
8-3.2.2.1 Curved Bottom and Wall Structures. Areas below the spring line of circular,
elliptical, and similar shaped structures are difficult to compact backfill against because
compaction equipment cannot get under the spring line. If possible, structures should be
designed with continuously curved walls and flat floors such as in an igloo-shaped structure.
For structures where a curved bottom is required to satisfy the intended function, it may be
8-40
UFC 3-220-01
14 May 2002
advisable for the designer to specify that a template shaped like the bottom of the structure be
used to guide the excavation below the spring line so that uniform foundation support will be
provided.
8-3.2.2.2 Complex Structures. Complex structures have variable shaped walls and
complex configurations in plan and number of levels. These structures can also be simple
structures interconnected by access shafts, tunnels, and utility conduits. Because of their
irregular shapes and configurations the different types of structures significantly increase
excavation and backfill problems.
Typical examples of complex structures are stepped multilevel structures and

multichambered structures with interconnecting corridors (fig. 8-3.3). Complex structures are
generally more difficult to compact backfill around and are more likely to have settlement
problems (8-3.2.3.1). Although the multilevel step structure (fig 8-3.3(a)) is not particularly
difficult to compact backfill around, at least for the first level, the compaction of backfill over the
offset structure will generally require the use small equipment. Small equipment will also be
required for compaction of backfill around and over the access corridor and between the two
chambers (fig. 2-3b). Where possible, the design should accommodate intended functions into
structures with uniformly shaped walls and a simple configuration.
Where structures of complex configurations are necessary, construction of a

three-dimensional model during the design and planning phases will be extremely beneficial.
From the model, designers can more easily foresee and eliminate areas in which it would be
difficult to place and compact backfill.
8-3.2.2.3 Service Conduits. Since compaction of backfill is difficult around pipes and
conduits, utility lines should be grouped together or placed in a single large conduit where
feasible rather than allowed to form a haphazard maze of pipes and conduits in the backfill.
Utility lines should be run either horizontally or vertically wherever possible. Plans for
horizontally run appurtenances, such as utility lines, access tunnels, and blast-delay tubing,
should be coordinated with the excavation plans so that wherever feasible these
appurtenances can be supported by undisturbed soils rather than by compacted backfill.
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UFC 3-220-01
14 May 2002
Figure 8-3.1 Open backfill zone
8-3.2.2.4 Excavation Plans. Excavation plans should be developed with the backfill
operations and the structure configurations in mind. The excavation and all completed
structures within the excavation should be conducive to good backfill construction procedures,
8-42
UFC 3-220-01
14 May 2002
and access should be provided to all areas so that compaction equipment best suited to the
size of the area can be used. The plans for excavation should also provide for adequate haul
roads and ramps. Positive excavation slopes should be required in all types of soil deposits to
facilitate compaction of backfill against the slope and to ensure good bond between the backfill
and the excavation slopes. Loose material should be removed from the excavation slopes; in
some case, benches may be required to provide a firm surface to compact backfill against.
Figure 8-3.2 Confined backfill zones
8-43
UFC 3-220-01
14 May 2002
Figure 8-3.3 Complex structures
8-44
UFC 3-220-01
14 May 2002
8-3.2.2.5 Lines and Grades. Care should be exercised in planning lines and grades for
excavation to ensure that uniform, adequate support is provided at the foundation level of
important structures. Generally, foundations consisting of part backfill and part undisturbed
materials do not provide uniform bearing and should be avoided wherever possible. The
foundation should be overexcavated where necessary, and backfilled with compacted select
material to provide uniform support for the depth required for the particular structure. Where
compacted backfill is required beneath a structure, the minimum depth specified should be at
least 18 inches.
8-3.2.2.6 Thin-walled Metal Structures. Thin-walled, corrugated metal structures are

susceptible to deflections of structural walls when subjected to backfill loads. Adverse
deflections can be minimized, by planning backfill operations so that compacted backfill is
brought up evenly on both sides of the structure to ensure uniform stress distribution.
Temporary surcharge loads applied to the structure crown may also be required to prevent
vertical distortions and inward deflection at the sides.
8-3.2.3 Backfill Problem Areas. Other features that have the potential to become
problem areas are discussed in the following paragraphs. These potential problem areas have
to be considered during the planning and design phases to minimize deficiencies in structure
performance associated with backfill placement and to make backfilling operations less
difficult.
8-3.2.3.1 Settlement and Downdrag. In the construction of underground structures and

particularly missile launch-site facilities, tolerances to movement are often considerably less
than those in normal construction. The design engineer must determine and specify allowable
tolerances in differential settlement and ensure that differential settlement is minimized and/or
accommodated. Settlement analysis procedures are outlined in Chapter 4.
8-3.2.3.2 Critical Zones. Critical backfill zones are those immediately beneath most
structures. Consolidation and swelling characteristics of backfill materials should be thoroughly
investigated so that materials having unfavorable characteristics will not be used in those
zones. Some settlement can be expected to take place, but it can be minimized by requiring a
higher than normal compacted density for the backfill. Cohesive backfill compacted at a water
content as little as 3 to 4 percentage points below optimum may result in large settlements
caused by collapse of non-swelling soil material or heave of swelling materials upon saturation
after construction. Compacting cohesive backfill material at optimum water content or slightly
on the wet side of optimum generally will reduce the amount of settlement and swelling that
would occur. The reduction should be confirmed by consolidation and swell tests on
compacted specimens.
8-3.2.3.3 Service Conduits. Settlement within the backfill around structures will also
occur. A proper design will allow for the estimated settlement as determined from studies of
consolidation characteristics of the compacted backfill. Where service conduits, access
corridors, and similar facilities connect to the structure oversize sleeves, flexible connections
and other protective measures, as appropriate, may be used to prevent damage within the
8-45
UFC 3-220-01
14 May 2002
structure.
8-3.2.3.4 Differential Settlement. Complex structures are more susceptible to differential

settlement because of the potential for large variations in loads carried by each component
foundation. In the multilevel stepped structure (fig. 2-3a), the foundation supporting the lower
level offset component must also support the volume of backfill over that part of the structure.
Measures must be taken to ensure that the proper functioning of all elements is not hampered
by differential settlement. The increased cost of proper design and construction where unusual
or difficult construction procedures are required is insignificant when compared with the cost of
the structure. The cost of remedial measures to correct deficiencies caused by improper
design and construction usually will be greater than the initial cost required to prevent the
deficienies.
8-3.2.3.5 Downdrag. In addition to conventional service loads, cut and cover subsurface
structures are susceptible to downdrag frictional forces between the structure and the backfill
that are caused by settlement of the backfill material adjacent to and around the structure.
Downdrag loads can be a significant proportion of the total vertical load acting on the structure
and must be considered in the structure settlement analysis. Structure-backfill friction forces
may also generate significant shear forces along the outer surface of structures with
curve-shaped roofs and walls. The magnitude of the friction forces depends upon the type of
backfill, roughness of the structure's surface, and magnitude of earth pressures acting against
the structure. Techniques for minimizing downdrag friction forces generally include methods
that reduce the structure surface roughness such as coating the structure's outer surface with
asphalt or sandwiching a layer of polyethylene sheeting between the structure's outer surface
and fiberboard (blackboard) panels. Backfill settlement and associated downdrag can also be
minimized by requiring higher backfill densities adjacent to the structure.
Figure 8-3.4 Excavation subject to bottom heave
8-46
UFC 3-220-01
14 May 2002
Figure 8-3.5 Excess lateral pressure against vertical walls induced by compaction
8-3.2.3.6 Groundwater. Groundwater is an important consideration in planning for
8-47
UFC 3-220-01
14 May 2002
construction of subsurface structures. If seepage of groundwater into the excavation is not

adequately controlled, backfilling operations will be extremely difficult. The ground water level
must be lowered sufficiently (at least 2 to 3 feet for granular soils and as much as 5 to 10 feet
for fine-grained soils below the lowest level of backfilling) so that a firm foundation for backfill
can be established. If the level is not lowered, the movement of hauling or compaction
equipment may pump seepage water through the backfill, or the initial backfill layers may be
difficult to compact because of an unstable foundation. Since the proper water content of the
backfill is essential for achieving proper compaction, prevention of groundwater seepage into
the excavation during backfilling operations is mandatory.
(1) The contractor is generally responsible for the design, installation, and operation of
dewatering equipment. Inadequate dewatering efforts can be minimized by adequate
planning and implementation of groundwater investigations.
(2) The possibility of hydraulic heave in cohesive material must also be investigated to
ensure stability of the excavation floor. Hydraulic heave may occur where an excavation
overlies a confined permeable stratum below the groundwater table 8-3.3a. If the
upward hydrostatic pressure acting at the bottom of the confining layer exceeds the
weight of overburden between the bottom of the excavation and the confining layer, the
bottom of the excavation will rise bodily even though the design of the dewatering
system is adequate for control of groundwater into the excavation. To prevent heave,
the hydrostatic pressure beneath the confined stratum must be relieved.
(3) Subsurface structures located in part or wholly below the groundwater table require
permanent protection against groundwater seepage. The type of protection may range
from simple impermeable barriers to complex permanent dewatering systems.
(4) Dewatering and groundwater control procedures are described in Chapter 9.
8-3.2.3.7 Gradation and Filter Criteria for Drainage Materials. Groundwater control is
often accomplished by ditches positioned to intercept the flow of groundwater and filled with
permeable granular material. The water is generally collected in perforated pipes located at the
bottom of the ditch and pumped to a suitable discharge area. Such drainage systems are
referred to as filter drains. The gradation of the granular filter material is critical for the
functioning of the system. Selection of the proper gradation for the filter material is dependent
upon the gradation of the material that is being drained. Drainage of silts and clays usually re-
quires a graded filter made up of several layers of granular material with each layer having
specific requirements for maximum grain size and gradation. De- tails on the design of filter
drains are presented in Chapter 9.
8-3.2.3.7.1 Selected Material. If materials at the jobsite do not meet the designed filter
requirements, select material must be purchased from commercial sources and shipped to the
jobsite. Filter material must be stockpiled according to gradation. For graded filter systems, the
materials must be placed with care to minimize mixing of individual components.
8-48
UFC 3-220-01
14 May 2002
8-3.2.3.7.2 Filter Cloths. Both woven and non-woven filter cloths, which have been found
satisfactory for use as a filter media for subsurface drains, are available. When granular filter
materials are not economically available, a single wrap of filter cloth around a pipe may be
used in lieu of a coarser backfill. When available granular filter material is too coarse to satisfy
filter criteria for the protected soil, a single layer of filter cloth may be used adjacent to the
protected soil. To reduce the chance of clogging, no filter cloth should be specified with an
open area less than 4 percent and or equivalent opening size (EOS) of less than the No. 100
sieve (0.0059 inch). A cloth with openings as large as allowable should be specified to permit
drainage and prevent clogging. Additional information on air- field drainage is contained in TM
5-820-2/AFM 88-5, Chapter 2.
Filter cloth can also provide protection for excavated slopes and serve as a filter
to prevent piping of fine-grained soils. In one project, sand was not available for backfill behind
a wall and coarse gravel had to be used to collect seepage. The filter cloth used to protect the
excavated slope served as a filter against piping of the natural silty clay under seepage
gradients out of the excavated slope after the coarse gavel backfill was placed.
8-3.2.3.8 Earth Pressures. The rationale design of any structure requires the designer to
consider all loads acting on the structure. In addition to normal earth pressures associated with
the effective pressure distribution of the backfill materials, subsurface cut-and- cover structures
may also be subjected to surcharge loads caused by heavy equipment operating close to the
structure and by increased permanent lateral earth pressures caused by compaction of backfill
material with heavy equipment. Procedures for predicting normal earth pressures associated
with the effective pressure of backfill materials are discussed in Chapter 6.
8-3.2.3.8.1 Surcharge Earth Pressures. Exact solutions for surcharge earth pressures
generated by heavy equipment (or other surcharge loads) do not exist. However,
approximations can be made using appropriate theories of elasticity such as Boussinesq's
equations for load areas of regular shape or Newmark's charts for irregular shaped load areas
as given in Reference 20. As a conservative guide, heavy-equipment surcharge earth
pressures may be ~ minimized by specifying that heavy compaction equipment maintain a
horizontal distance from the structure equivalent to the height of the backfill above the
structure's foundation.
8-3.2.3.8.2 Compaction Induced Pressures. Compaction-induced earth pressures can

cause a significant increase in the permanent lateral earth pressures acting on a vertical wall
of a structure (fig. 8-3.5). This diagram is based on the assumption that the equipment can
operate to within 6 inches of the wall. Significant reductions in lateral pressures occur as the
closest allowable distance to the wall is increased (Fig 8-3.5). For an operating distance 5 feet
from the wall, the induced horizontal earth pressure is much less than that caused by the
backfill. The magnitude of the increase in lateral pressure is dependent, among other factors,
on the effective weight of the compaction equipment and the weight, earth pressure coefficient,
and Poisson's ratio of the backfill material. Compaction-induced earth pressures against walls
are also described in Chapter 6.
8-49
UFC 3-220-01
14 May 2002
The designer must evaluate the economics of the extra cost of structures
designed to withstand very close-in operation of heavy compaction equipment versus the extra
cost associated with obtaining required compaction of backfill in thin lifts with smaller
compaction equipment. A more economical alternative might be to specify how close to the
walls different weights of compaction equipment can be operated.
One method of reducing lateral earth pressures behind walls has been to use
about 4 feet of uncompacted granular (sand or gravel) backfill above the base of the wall. Soil
backfill can then be compacted in layers above the granular backfill. Compression of the
granular material prevents the buildup of excessive lateral pressures against the wall.
8-50
UFC 3-220-01
14 May 2002
8-3.3 Evaluation, Design, And Processing of Backfill Materials. The evaluation,

design, and proper processing of backfill materials are extremely important phases of the pre-
construction operations. The purpose of the evaluation phase is to determine the engineering
characteristics of potential backfill materials. The design phase must take into account the
engineering characteristics required of the backfill and specify materials that, when compacted
properly, will have these characteristics. Proper processing of the backfill material will ensure
that desirable engineering characteristics will be obtained as the material is placed.
8-3.3.2 Evaluation of Backfill Materials. Evaluation of backfill materials consists of

exploration, sampling, and laboratory testing to determine the engineering characteristics of
potential backfill materials. Detailed instructions for exploration, sampling, laboratory testing,
and foundation design are presented in Chapters 2 and 3. However, to emphasize the need for
an adequate investigation, some aspects of planning and investigation that should be
considered are discussed in the following paragraphs.
8-3.3.2.1 Field Exploration and Sampling. Field exploration and sampling are extremely
important to the design of foundations, selection of backfill, and planning for construction. A
great amount of material will be available from required excavations, and the investigation for
foundation conditions should include the sampling and evaluation of these materials for
possible use as backfill. Where an adequate volume of suitable backfill cannot be obtained
from the construction excavation, the exploration and sampling program must be expanded to
find other sources of suitable material whether from nearby borrow areas or commercial
sources.
The purpose of the investigation is to delineate critical conditions and provide

detailed information on the subsurface deposits so that proper design and construction,
including backfilling operations, can be accomplished with minimum difficulty. Thus careful
planning is required prior to the field exploration and sampling phase of the investigation.
Available geologic and soil data should be studied, and if possible, preliminary borings should
be made. Once a site has been tentatively selected, orientation of the structure to the site
should be established. The engineer who plans the detailed field exploration program must
have knowledge of the structure, i.e., its configuration and foundation requirements for design
loads and settlement tolerances. The planning engineer should also know the type and
quantity of backfill required. The importance of employing qualified field exploration personnel
cannot be overemphasized. The exploration crews should be supervised in the field by a soils
engineer or geologist familiar with the foundation and backfill requirements so that changes
can be made in the exploration program where necessary to provide adequate information on
subsurface conditions. The field engineer should also know the location of significant features
of the structure so that sampling can be concentrated at these locations. In addition, he should
have an understanding of the engineering characteristics of subsurface soil and rock deposits
that are important to the design of the structure and a general knowledge of the testing
program so that the proper type and quantity of samples will be obtained for testing.
(1) From the samples, the subsurface deposits can be classified and boring logs prepared.
The more continuous the sampling operation, the more accurate will be the boring logs.
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All borings should be logged with the description of the various strata encountered as
discussed in ASTM D 1586 and ASTM D 2487. Accurate logging and correct evaluation
of all pertinent information are essential for a true concept of subsurface conditions.
(2) When the exploratory borings at the construction site have been completed, the
samples and logs of borings should be examined to determine if the material to be
excavated will be satisfactory and in sufficient quantity to meet backfill requirements.
Every effort should be made to use the excavated materials; however, if the excavated
materials are not satisfactory or are of insufficient quantity, additional exploration should
be initiated to locate suitable borrow areas. If borrow areas are not available, convenient
commercial sources of suitable material should be found. Backfill sources, whether
excavation, borrow, or commercial, should contain several times the required volume of
compacted backfill.
(3) Groundwater studies prior to construction of subsurface structures are of the utmost
importance, since groundwater control is necessary to provide a dry excavation in which
construction and backfilling operations can be properly conducted. Data on groundwater
conditions are also essential for forecasting construction dewatering requirements and
stability problems. Groundwater studies must consist of investigations to determine:
groundwater levels to include any seasonal variations and artesian conditions; the
location of any water-bearing strata; and the permeability and flow characteristics of
water-bearing strata. Methods for investigating groundwater conditions are described in
Chapter 9.
8-3.3.2.2 Laboratory Testing. The design of any foundation is dependent on the

engineering characteristics of the supporting media, which may be soil or rock in either its
natural state or as compacted backfill. The laboratory-testing program will furnish the engineer
information for planning, designing, and constructing subsurface structures. Laboratory testing
programs usually follow a general pattern and to some extent can be standardized, but they
should be adapted to particular problems and soil conditions. Special tests and research
should be utilized when necessary to develop needed information. The testing program should
be well planned with the engineering features of the structure and backfill in mind; testing
should be concentrated on samples from areas where significant features will be located but
should still present a complete picture of the soil and rock properties. The laboratory test
procedures and equipment are described in ASTM D 2487 and its references.
8-3.3.2.2.1 Identification and Classification of Soils. The Unified Soil Classification

System used for classifying soils for military projects (ASTM D 2487) is a means of identifying
a soil and placing it in a category of distinctive engineering properties. Table 8-3.1 shows the
properties of soil groups pertinent to backfill and foundations Using these characteristics, the
engineer can prepare preliminary designs based on classification and plan the laboratory
testing program intelligently and economically.
The Unified Soil Classification System classifies soils according to their

grain-size distribution and plasticity characteristics and groups them with respect to their
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engineering behavior. With experience, the plasticity and gradation properties can be
estimated using simple, expedient tests (See ASTM D 2487) and these estimates can be
confirmed using simple laboratory tests. The principal laboratory tests performed for
classification are grain-size analyses and Atterberg limits.
The engineering properties in table 8-3.1 are based on "Standard Proctor"

(ASTM D 2487) maximum density except that the California Bearing Ratio (ASTM D 1883) and
the subgrade modulus are based on ASTM D 1557 maximum density. This information can be
used for initial design studies. However, for final design of important structures, laboratory
tests are required to determine actual performance characteristics, such as ASTM D 1557
compaction properties, shear strength, permeability, compressibility, swelling characteristics,
and frost susceptibility where applicable, under expected construction conditions.
The Unified Soil Classification System is particularly useful in evaluating, by

visual examination, the suitability of potential borrow materials for use as compacted backfill.
Proficiency in visual classification can be developed through practice by comparing estimated
soil properties with results of laboratory classification tests.
8-3.3.2.2.2 Compaction Testing. Compaction test procedures are described in detail in

ASTM D 1557 (app. A). It is important that the designer and field inspection personnel
understand the basic principles and fundamentals of soil compaction. The principles of soil
compaction are discussed in appendix B of this manual.
The purpose of the laboratory compaction tests are to determine the compaction
characteristics of available backfill materials. Also, anticipated field density and water content
can be approximated in lab oratory-compacted samples in order that other engineering
properties, such as shear strength, compressibility, consolidation, and swelling, can be
studied. For most soils there is an optimum water content at which a maximum density is
obtained with a particular compaction effort. A standard five-point compaction curve relating
density and water content can be developed by the procedures outlined in ASTM D 1557.
The impact compaction test results normally constitute the basis on which field
compaction control criteria are developed for inclusion in the specifications. However, for some
cohesionless soils, higher densities can be obtained by the vibratory compaction method
(commonly referred to as maximum relative density), described in appendix XII of EM
1110-21906. The required field compaction is generally specified as a percentage of laboratory
maximum dry density and referred to as percent ASTM D 1557 maximum density. Water
content is an important controlling factor in obtaining proper compaction. The required
percentage of maximum dry density and the compaction water content should be selected on
the basis of the engineering characteristics, such as compression moduli, settlement, and
shear strength, desired in the compacted backfill. It should be noted that these characteristics
could be adversely affected by subsequent increases in water content after placement. This
situation could result from an increase in the groundwater level after construction.
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Density control of placed backfill in the field can be facilitated by the use of rapid
compaction check tests (ASTM D 5080). A direct rapid test is the one-point impact compaction
test. Rapid indirect tests, such as the Proctor needle penetration for cohesive soils or the cone
resistance load for cohesionless soils, can also be used when correlations with ASTM D 1557
maximum density have been established.
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Table 8-3.1 Typical Engineering Properties of Compacted Materialsa
Typical Value of
Compression
(Percent of
Range of Range of Original Height) Typical Strength Characteristics Typical Range of Range of
Maximum Optimum Coefficient CBR Subgrade
At 2.5 At 7.2 Cohesion Cohesion Effective
Dry Unit Water, of Values Modulus k
Weight, Content ksf ksf (as (saturated) Stress Permeability lb/cu in
Group Soil Type
pcf Percent (20 (50 psi) compacted) psf Envelope ft/min
Symbol
psi) psf deg
GW Well 125-135 11-8 0.3 0.6 0 0 >38 5x10-2 40-80 300-500
graded,clean
gravels,
gravel-sand
mixtures
GP Poorly 115-125 14-11 0.4 0.9 0 0 >37 10-1 30-60 250-400

graded clean
gravel-sand
mix
GM Silty gravels, 120-135 12-8 0.5 1.1 ----- ----- >34 >10-6 20-60 100-400
poorly graded
gravel-sand-
silt
GC Clayey 115-130 14-9 0.7 1.6 ----- ----- >31 >10-7 20-40 100-300
gravels,
poorly graded
gravel-sand-
clay
SW Well graded 110-130 16-9 0.6 1.2 0 0 38 >10-3 20-40 200-300

clean sands,
gravelly
sands
Typical Value of
Compression
(Percent of
Range of Range of Typical Range Range of
Original Height) Typical Strength Characteristics
Maximum Optimum Coefficient of CBR Subgrade
Dry Unit Water, At 2.5 At 7.2 Cohesion Cohesion Effective of Values Modulus k
Group Soil Type Weight, Content ksf ksf (as (saturated) Stress Permeability lb/cu in
Symbol pcf Percent (20 psi) (50 compacted) psf Envelope ft/min
psi) psf deg
SM Silty sands, 110-125 16-11 0.8 1.6 1050 420 34 5x10-5 10-40 100-300
poorly
graded
sand-salt
mix
SM-SC Sand-silt 110-130 15-11 0.8 1.4 1050 300 33 2x10-6 ----- ------
clay mix
with slightly
plastic fines
SC Clayey 105-125 19-11 1.1 2.2 1550 230 31 5x10-7 5-20 100-300
sands,
poorly
graded
sand-clay-
mix
ML Inorganic 95-120 24-12 0.9 1.7 1400 190 32 10-5 15 or < 100-200
silts and
clayey silts
ML-CL Mixture of 100-200 22-12 1.0 2.2 1350 460 32 5x10-5 ----- 100-200
inorganic silt
and clay
Typical Value of
Compression
(Percent of
Range of Range of Original Height) Typical Strength Characteristics Typical Range of Range of
Maximum Optimum Coefficient CBR Subgrade
At 2.5 At 7.2 Cohesion Cohesion Effective
Dry Unit Water, of Values Modulus k
Weight, Content ksf ksf (as (saturated) Stress Permeability lb/cu in
Group Soil Type
pcf Percent (20 (50 psi) compacted) psf Envelope ft/min
Symbol
psi) psf deg
CL Inorganic 95-120 34-12 1.3 2.5 1800 270 28 10-7 15 or < 50-200
clays of low
to medium
plasticity
OL Organic silts 80-100 33-21 ----- ----- ----- ----- ----- ----- 5 or < 50-100
and silt-clays
of low
plasticity
MH Inorganic 75-95 40-24 2.0 3.8 1500 420 25 5x10-7 10 or < 50-100
clayey silts,
elastic silts
CH Inorganic 80-105 36-19 2.6 3.9 2150 230 19 10-7 15 or < 50-150
clays of high
plasticity
OH Organic and 75-100 45-21 ----- ----- ----- ----- ----- ----- 5 or < 25-100
silty clays
Notes: 1. All properties are for condition of Standard Proctor maximum density except values of k and CBR, which are for CE55 maximum density.
2. Typical strength characteristics are for effective strength envelopes and are obtained from USBR data.
3. Compression values are for vertical loading with complete lateral reinforcement.
4. (>) Indicates that typical property is greater than the value shown. (…..) Indicates insufficient data available for an estimate.
UFC 3-220-01
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8-3.3.2.2.3 Shear Strength Testing. When backfill is to be placed behind structure walls or
bulkheads or as foundation support for a structure, and when fills are to be placed with
unrestrained slopes, shear tests should be performed on representative samples of the backfill
materials compacted to expected field densities and water contents to estimate as-constructed
shear strengths. The appropriate type of test required for the conditions to be analyzed is
presented in ASTM D 3080, 6528 and 4767. Procedures for shear strength testing are
described in EM 1110-2-1906.
8-3.3.2.2.4 Consolidation and Swell Testing. The rate and magnitude of consolidation
under a given load are influenced primarily by the density and type of soil and the conditions of
saturation and drainage. Fine-grained soils generally consolidate more and at a slower rate
than coarse-grained soils. However, poorly graded, granular soils and granular soils composed
of rounded particles will often consolidate significantly under load but usually at a relatively fast
rate.
The procedure for the consolidation test is outlined in ASTM D 2435 and D 4546.
The information obtained in this test can be used in settlement analyses to determine the total
settlement, the time rate of settlement, and the differential settlement under varying loading
conditions. Consolidation characteristics are important considerations in selection of backfill
materials. The results of consolidation tests performed on laboratory compacted specimens of
backfill material can be used in determining the percent compaction to be required in the
specifications.
Swelling characteristics can be determined by a modified consolidation test

procedure. The degree of swelling and swelling pressure should be determined on all backfill
and foundation materials suspected of having swelling characteristics. This fact is particularly
important when a considerable overburden load is removed by excavation or when the com-
pacted backfill with swelling tendencies may become saturated upon removal of the
dewatering system and subsequent rise of the groundwater level. The results of swelling tests
can be used to determine the suitability of material as backfill. When it is necessary to use
backfill materials that have a tendency to swell upon saturation because more suitable
materials are unavailable, the placement water content and density that will minimize swelling
can be determined from a series of tests. FHWA-RD-79-51 (app. A) provides further infor-
mation applicable to compacted backfills.
8-3.3.2.2.5 Permeability Tests. Permeability tests to determine the rate of flow of water
through a material can be conducted in the laboratory by procedures described in ASTM D
2434, D 2335 and D 3152. Permeability characteristics of fine-grained materials at various
densities can also be determined from consolidation tests.
Permeability characteristics for the design D3 of permanent drainage systems for

structures founded below the groundwater level must be obtained from laboratory tests. The
tests should be performed on representative specimens of backfill materials compacted in the
laboratory to densities expected in the field.
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In situ material permeability characteristics for the design of construction

excavation dewatering systems can also be approximated from laboratory tests on
representative undisturbed samples. Laboratory permeability tests on undisturbed samples are
less expensive than in situ pumping tests performed in the field; however, laboratory tests are
less accurate in predicting flow characteristics.
8-3.3.2.2.6 Slake Durability of Shales. Some clay shales tend to slake when exposed to
air and water and must be protected immediately after they are exposed. The extent of slaking
also governs the manner in which they are treated as a backfill material (paragraph 8-3.3.3.3).
Slaking characteristics can be evaluated by laboratory jar-slake tests or slake-durability tests.
The jar-slake testis qualitative with six descriptive degrees of slaking determined
from visual observation of oven dried samples soaked in tap water for as long as 24 hours.
The jar-slake test is not a standardized test. One version of the jar-slake test is discussed in
FHWA-RD-78-141. Six suggested values of the jar-slake index IJ are listed below:
Shales with IJ values of 1 to 3 should be protected when occurring in excavated slopes and
compacted as soil if used for backfill.
The slake-durability test is a standardized test that gives a quantitative

description in percent by weight of material remaining intact at the conclusion of the test.
Details of the test are presented in FHWA-RD-78-141.
8-3.3.2.2.7 Dynamic Tests for Special Projects. Dynamic tests for special projects
The dynamic analysis of projects subject to seismic or blast induced loading conditions
requires special dynamic tests on both in situ and backfill materials. Tests required for dynamic
analysis include: cyclic triaxial tests; in situ density measurements; and tests to determine
shear wave velocities, shear modulus, and damping (ER 1110-2-1806).
8-3.3.2.2.8 In-situ Water Content. The in situ water content, including any seasonal
variation, must be determined prior to construction for materials selected for use as backfill.
Natural in situ water contents will determine the need for wetting or drying the backfill material
before placement to obtain near optimum water contents for placement and compaction.
ASTM D 2216 discusses the test method for determining water content.
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8-3.4 Selection of Backfill Materials. Selection of backfill materials should be based

upon the engineering properties and compaction characteristics of the materials available. The
results of the field exploration and laboratory test programs should provide adequate
information for this purpose. The materials may come from required excavation, adjacent
borrow pits, or commercial sources. In selecting materials to be used, first consideration
should be given to the maximum use of materials from required excavation. If the excavated
materials are deficient in quality or quantity, other sources should be considered. Common
backfill having the desired properties may be found in borrow areas convenient to the site, but
it may be necessary to obtain select backfill materials having particular gradation
requirements, such as filter sands and gravels and pipe or conduit bedding materials from
commercial sources.
8-3.4.1 Primary Considerations. Primary considerations for borrow material sources

are suitability and quantity. Accessibility and proximity of the borrow area to the jobsite should
also be considered. The water contents of the borrow area material should be determined
seasonally, and a source of water should be located if the natural water contents are
considerably less than the required placement water content. If several sources of suitable
backfill are available, other factors to be considered in selecting the borrow materials are ease
of loading and spreading and the means for adding or reducing water. The need for separating
or mixing soil strata from excavation or borrow sources should be considered if necessary to
provide reasonably uniform engineering properties throughout the compacted backfill.
8-3.4.2 Compaction Characteristics. If compaction characteristics of the major portion

of the backfill are relatively uniform, problems of controlling placement of backfill will be
significantly reduced since the inspector will be able to develop more rapidly the ability to
recognize the adequacy of the compaction procedures. In addition, the frequency of testing for
compaction control could be reduced. When available backfill materials are unusual, test
sections of compacted backfill are sometimes justified to develop placement procedures and to
determine the engineering characteristics to be expected in field-compacted materials.
8-3.4.3 Workability. An important factor in choosing backfill materials is the workability

or ease with which the soil can be placed and compacted. Material characteristics that effect
workability include: the ease of adjusting water contents in the field by wetting or aeration; the
sensitivity to the compaction water content with respect to optimum; and the amount of
compaction effort required to achieve specified densities.
8-3.4.4 Types of Backfill Material. A discussion of the many types of backfill and their
compaction characteristics is beyond the scope of this manual since soil types will vary on
each project. However, the compaction characteristics of several rather broad categories of
backfill (table 8-3.1) are discussed briefly.
8-3.4.4.1 Coarse-Grained Soils. Coarse-grained soils include gravelly and sandy soils
and range from clayey sands (SC) through the well-graded gravels of gravelsand mixtures
(GW) with little or no fines (table 8-3.1). They will exhibit slight to no plasticity. All of the
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wellgraded soils falling in this category have fairly good compaction characteristics and when
adequately compacted provide good backfill and foundation support.
One difficulty that might arise with soils in this category would be in obtaining
good compaction of the poorly graded sands and gravels. These poorly graded materials may
require saturation with downward drainage and compaction with greater compaction effort to
achieve sufficiently high densities. Also, close control of water content is required where silt is
present in substantial amounts. Coarse-grained materials compacted to a low relative density
are susceptible upon saturation to liquefaction under dynamic loads.
For sands and gravelly sands with little or no fines, good compaction can be
achieved in either the air-dried or saturated condition. Downward drainage is required to
maintain seepage forces in a downward direction if saturation is used to aid in compaction.
Consideration may be given to the economy of adding cement to stabilize moist clean sands
that are particularly difficult to compact in narrow confined areas. However, the addition of
cement may produce zones with greater rigidity than untreated adjacent backfill and form "hard
spots" resulting in nonuniform stresses and deformations in the structure.
Cohesionless materials are well suited for placement in confined areas adjacent
to and around structures where heavy equipment is not permitted and beneath and around
irregulary shaped structures, such as tunnels, culverts, utilities, and tanks. Clean, granular,
well-graded materials having a maximum size of I inch with 95 percent passing the No. 4 sieve
and 5 percent or less passing the No. 200 sieve are excellent for use in these zones. However,
a danger exists of creating zones where seepage water may accumulate and saturate adjacent
cohesive soils resulting in undesirable consolidation or swelling. In such cases, provisions for
draining the granular backfill, sealing the surface, and draining surface water away from the
structure are necessary.
8-3.4.4.2 Fine-Grained Soils of Low to Medium Plasticity. Inorganic clays (CL) of low
to medium plasticity (gravelly, sandy, or silty clays and lean clays) and inorganic silts and very
fine sands (ML) of low plasticity (silty or clayey fine sands and clayey silts) are included in this
category. The inorganic clays are relatively impervious and can be compacted fairly easily with
heavy compaction equipment to provide a good stable backfill. Soils in the CL group can be
compacted in confined areas to a fairly high degree of compaction with proper water content
and lift thickness control. The clayey sands of the SC group and clayey silts of the ML group
can be compacted to fairly high densities, but close control of water content is essential and
sometimes critical, particularly on the wet side of optimum water content. Some ML soils, if
compacted on the dry side of optimum, may lose considerable strength upon saturation after
compaction. Considerable settlement may occur. Caution must therefore be exercised in the
use of such soils as backfill, particularly below the groundwater level. Also, saturated ML soils
are likely to be highly susceptible to liquefaction when dynamically loaded. Where such soils
are used as backfill in seismic prone areas, laboratory tests should be conducted to determine
their liquefaction potential.
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8-3.4.4.3 Rock. The suitability of rock as backfill material is highly dependent upon the
gradation and hardness of the rock particles. The quantity of hard rock excavated at most
subsurface structure sites is relatively small, but select cohesionless materials may be difficult
to find or may be expensive. Therefore, excavated hard rock may be specified for crusher
processing and used as select cohesionless material.
8-3.4.4.4 Shale. Although shale is commonly referred to as rock, the tendency of some
shales to breakdown under heavy compaction equipment and slake when exposed to air or
water after placement warrants special consideration.
Some soft shales break down under heavy compaction equipment causing the
material to have entirely different properties after compaction than it had before compaction.
This fact should be recognized before this type of material is used for backfill. Establishing the
proper compaction criteria may require that the contractor construct a test fill and vary the
water content, lift thickness, and number of coverages with the equipment proposed for use in
the backfill operation. This type of backfill can be used only in unrestricted open zones where
heavy towed or self-propelled equipment can operate.
Some shales have a tendency to break down or slake when exposed to air.
Other shales that appear rock-like when excavated will soften or slake and deteriorate upon
wetting after placement as rockfill. Alternate cycles of wetting and drying increases the slaking
process. The extent of material breakdown determines the manner in which it is treated as a
backfill material. If the material completely degrades into constituent particles or small chips
and flakes, it must be treated as a soil-like material with property characteristics similar to ML,
CL, or CH materials, depending upon the intact composition of the parent material. Complete
degradation can be facilitated by alternately wetting, drying, and disking the material before
compaction A detailed discussion on the treatment of shales as a fill material is given in
FHWA-RD-78-141.
8-3.4.4.5 Marginal Materials. Marginal materials are these materials that because of
either their poor compaction, consolidation, or swelling characteristics would not normally be
used as backfill if sources of suitable material were available. Material considered to be
marginal include fine-grained soils of high plasticity and expansive clays. The decision to use
marginal materials should be based on economical and energy conservation considerations to
include the cost of obtaining suitable material whether from a distant borrow area or
commercial sources, possible distress repair costs caused by use of marginal material, and the
extra costs involved in processing, placing, and adequately compacting marginal material.
The fine-grained, highly plastic materials make poor backfill because of the
difficulty in handling, exercising water-content control, and compacting. The water content of
highly plastic finegrained soils is critical to proper compaction and is very difficult to control in
the field by aeration or wetting. Furthermore, such soils are much more compressible than
less-plastic and coarse-grained soils; shear strength and thus earth pressures may fluctuate
between wide limits with changes in water content; and in cold climates, frost action will occur
in fine-grained soils that are not properly drained. The only soil type in this category that might
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be considered suitable as backfill is inorganic clay (CH). Use of CH soils should be avoided in
confined areas if a high degree of compaction is needed to minimize backfill settlement or to
provide a high compression modulus.
The swelling (and shrinking) characteristics of expansive clay vary with the type
of clay mineral present in the soil, the percentage of that clay mineral, and the change in water
content. The active clay minerals include montmorillonite, mixed-layer combinations of
montmorillonite and other clay minerals, and under some conditions chlorites and vermiculites.
Problems may occur from the rise of groundwater, seepage, leakage, or elimination of surface
evaporation that may increase or decrease the water content of compacted soil and lead to the
tendency to expand or shrink. If the swelling pressure developed is greater than the restraining
pressure, heave will occur and may cause structural distress. Compaction on the wet side of
optimum moisture content will produce lower magnitudes of swelling and swell pressure.
Expansive clays that exhibit significant volume increases should not be used as backfill where
the potential for structural damage might exist. Suitability should be based upon laboratory
swell tests.
Additives, such as hydrated lime, quicklime, and fly ash, can be mixed with some
highly plastic clays to improve their engineering characteristics and permit the use of some
materials that would otherwise be unacceptable. Hydrated lime can also be mixed with some
expansive clays to reduce their swelling characteristics. Laboratory tests should be performed
to determine the amount of the additive that should be used and the characteristics of the
backfill material as a result of using the additive. Because of the complexity of soil additive
systems and the almost complete empirical nature of the current state of the art, trial mixes
must be varified in the field by test fills.
8-3.4.4.6 Commercial By-Products. The use of commercial by-products, such as

furnace slag or fly ash as backfill material, may be advantageous where such products are
locally available and where suitable natural materials cannot be found. Fly ash has been used
as a lightweight backfill behind a 25-foot-high wall and as an additive to highly plastic clay. The
suitability of these materials will depend upon the desirable characteristics of the backfill and
the engineering characteristics of the products.
8-3.5 Processing Of Backfill Materials. The construction of subsurface structures often

requires the construction of elements of the structure within or upon large masses of backfill.
The proper functioning of these elements are often critically affected by adverse behavioral
characteristics of the backfill. Behavioral characteristics are related to material type, water
content during compaction, gradation, and compaction effort. While compaction effort may be
easily controlled during compaction, it is difficult to control material type, water content, and
gradation of the material as it is being placed in the backfill; control criteria must be established
prior to placement.
8-3.5.1 Material Type. Backfill material should consist of a homogeneous material of

consistent and desirable characteristics. The field engineer must ensure that only the approved
backfill material is used and that the material is uniform in nature and free of any anomalous
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material such as organic matter or clay pockets. Stratified material should be mixed prior to
placing to obtain a uniform blend. Excavated material to be used as backfill should be
stockpiled according to class or type of material.
8-3.3.5.2 Water Content. While water content can be adjusted to some extent after
placing (but before compacting), it is generally more advantageous to adjust the water content
to optimum compaction conditions before placing. Adjustment of water content can be
accomplished by aeriation (disking or turning) or sprinkling the material in 12to 18- inch layers
prior to placing or stockpiling. If the material is stockpiled, provisions should be made to
maintain constant moisture content during wet or dry seasons.
8-3.3.5.3 Ensuring Gradation. Some backfill materials consisting of crushed rock, gravel,
or sand require limitations on maximum and minimum particle-size or gradation distributions.
Where materials cannot be located that meet gradation criteria, it may be advantageous to
require processing of available material by sieving to obtain the desired gradation.
8-4 EARTHWORK: EXCAVATION AND PREPARATION FOR FOUNDATIONS
8-4.1 Excavation
8-4.1.1 General. In general, excavation for subsurface structures will consist of open
excavation and shaft and tunnel excavation. Where excavation to great depths is required, a
variety of soils and rock may be encountered at a single site. Soils may range through a wide
spectrum of textures and water contents. Rock encountered may vary from soft rock, very
similar to a firm soil in its excavation requirements, to extremely hard rock requiring extensive
blasting operations for removal. Groundwater may or may not be present. The groundwater
conditions and the adequacy of groundwater control measures are important factors in
excavation, in maintaining a stable foundation, and in backfilling operations. The extent to
which groundwater can be controlled also influences the slopes to which the open excavation
can be cut, the bracing required to support shaft and tunnel excavation, and the handling of the
excavated material.
8-4.1.2 Good Construction Practices, and Problems. A majority of the problems

encountered during excavation are related to groundwater conditions, slope stability, and
adverse weather conditions. Many of the problems can be anticipated and avoided by
preconstruction planning and by following sound construction practices.
8-4.1.2.1 Groundwater. Probably the greatest source of problems in excavation

operations is groundwater. If the seepage of groundwater into an excavation is adequately
controlled, other problems will generally be minor and can be easily handled. Several points
should be recognized that, if kept in mind, will help to reduce problems attributable to
groundwater. In some instances, groundwater conditions can be more severe than indicated
by the original field exploration investigation since field explorations provide information only
for selected locations and may not provide a true picture of the overall conditions.
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If groundwater seepage begins to exceed the capacity of the dewatering system,

conditions should not be expected to improve unless the increased flow is known to be caused
by a short-term condition such as heavy rain in the area. If seepage into the excavation
becomes excessive, excavation operations should be halted until the necessary corrective
measures are determined and affected. The design and evaluation of dewatering systems
require considerable experience that the contractor or the contracting office often do not
possess, and the assistance of specialists in this field should be obtained.
Groundwater without significant seepage flow can also be a problem since

excess hydrostatic pressures can develop below relatively impervious strata and cause uplift
and subsequent foundation or slope instability. Excess hydrostatic pressures can also occur
behind sheet pile retaining walls and shoring and bracing in shaft and tunnel excavations.
Visual observations should be made for indications of trouble, such as uncontrolled seepage
flow, piping of material from the foundation or slope, development of soft wet areas, uplift of
ground surface, or lateral movements.
Accurate daily records should be kept of the quantity of water removed by the
dewatering system and of the piezometric levels in the foundation and beneath excavation
slopes. Separate records should be kept of the flow pumped by any sump-pump system
required to augment the regular dewatering system to note any increase of flow into the
excavation. Flowmeters or other measuring devices should be installed on the discharge of
these systems for measurement purposes. These records can be invaluable in evaluating
"Changed Condition" claims submitted by the contractor. The contractor should be required to
have "standby" equipment in case the original equipment breaks down.
8-4.1.2.2 Surface Water. Sources of water problems other than groundwater are surface
runoff into the excavation and snow drifting into the excavation. A peripheral, surface-drainage
system, such as a ditch and berm, should be required to collect surface water and divert it from
the excavation, In good weather there is a tendency for the contractor to become lax in
maintaining this system and for the inspection personnel to become lax in enforcing
maintenance. The result can be a sudden filling of the excavation with water during a heavy
rain and consequent delay in construction. The surface drainage system must be constantly
maintained until the backfill is complete. Drifting snow is a seasonal and regional problem,
which can best be controlled by snow fences placed at strategic locations around the
excavation.
8-4.1.2.3 Slope Integrity. Another area of concern during excavation is the integrity of the
excavation slopes. The slopes may be either unsupported or supported by shoring and
bracing. The lines and grades indicated in the plans should be strictly adhered to. The
contractor may attempt to gain additional working room in the bottom of the excavation by
steepening the slopes; this change in the plans must not be allowed.
1) Where shoring and bracing are necessary to provide a stable excavation, and the
plans and specifications do not provide details of these requirements, the
contractor should be required to submit the plans in sufficient detail so that they
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can be easily followed and their adequacy checked. The first principle of
excavation stabilization, using shoring and bracing, is that the placing of supports
should proceed with excavation. The excavation cut should not be allowed to
yield prior to placing of shoring and bracing since the lateral pressures to be
supported would generally be considerably greater after yield of the unshored cut
face than if no movement had occurred prior to placement of the shoring.
Excavation support systems are discussed in 8-1. All safety requirements for
shoring and bracing as contained therein and should be strictly enforced.
2) The inspector must be familiar with stockpiling requirements regarding the

distance from the crest of the excavation at which stockpiles can be established
and heavy equipment operated without endangering the stability of the
excavation slopes. He must also know the maximum height of stockpile or weight
of equipment that can be allowed at this distance.
3) Excessive erosion of the excavation slopes must not be permitted. In areas

subject to heavy rainfall, it may be necessary to protect excavation slopes with
polyethylene sheeting, straw, silt fences, or by other means to prevent erosion.
Excavation slopes for large projects that will be exposed for several seasons
should be vegetated and maintained to prevent erosion.
8-4.1.2.4 Stockpiling Excavated Material. Generally, procedures for stockpiling are left
to the discretion of the contractor. Prior to construction, the contractor must submit his plans
for stockpiling to the contracting officer for approval. In certain cases, such as where there are
different contractors for the excavation and the backfill phases, it may be necessary to include
the details for stockpiling operations in the specifications. In either case, it is important that the
stockpiling procedures be conducive to the most advantageous use of the excavated
materials.
As the materials are excavated, they should be separated into classes of backfill
and stockpiled accordingly. Thus the inspection personnel controlling the excavation should be
qualified to classify the material and should be thoroughly familiar with backfill requirements.
Also, as the materials are placed in stockpiles, water should be added or the materials should
be aerated as required to approximate optimum water content for compaction. Field laboratory
personnel can assist in determining the extent to which this is necessary. The requirements of
shaping the stockpile to drain and sealing it against the entrance of undesirable water by
rolling with spreading equipment or covering with polyethylene sheeting should be enforced.
This step is particularly important for cohesive soils that exhibit poor draining characteristics
and tend to remain wet if once saturated by rains. Stockpiles must be located over an area that
is large enough to permit processing and where they will not interfere with peripheral drainage
around the excavation and will not overload the slopes of the excavation.
In cases where significant energy and cost saving can be realized, special
stockpiling requirements should be implemented. An example would be a large project
consisting of a number of excavation and backfilling operations. The excavation material from
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the first excavation could be stockpiled for use as backfill in the last excavation. The material
from the intermediate excavations could in turn be immediately used as backfill for the first,
second, etc., phases of the project and thereby eliminate double handing of excavated backfill
for all but the first-phase excavation.
8-4.1.2.5 Protection of Exposed Material. If materials that are exposed in areas, such as
walls of a silo shaft, foundation support, or any other area against which concrete will be
placed, are susceptible to deterioration or swell when exposed to the weather, they should be
properly protected as soon after exposure as possible. Depending on the material and
protection requirements, this protection may be pneumatic concrete, asphalt spray, or plastic
membrane In the case of a foundation area, the contractor is required to underexcavate
leaving a cover for protection, as required, until immediately prior to placement of the structure
foundation. Any frost-susceptible materials encountered during excavation should be protected
(para 2-3h (3) and (4)) if the excavation is to be left open during an extended period of freezing
weather.
8-4.1.2.6 Excavation Record. As the excavation progresses, the project engineer should
keep a daily record of the type of material excavated and the progress made.
8-4.2 Foundation Preparation
8-4.2.1 Good Construction Practices, and Problems. As mentioned previously, the

problems associated with foundation preparation are greatly reduced by following such proper
excavation procedures as maintaining a dry excavation and planning ahead. The principles of
good foundation preparation are simple, but enforcing the provisions of the specifications
concerning the work is more difficult. Inspection personnel must recognize the importance of
this phase of the work since, if not properly controlled, problems can result.
8-4.2.1.1 Stable Foundations. It is most important that a stable foundation be provided.

Thus it may be necessary, particularly in the case of sensitive fine-grained materials, to require
that the final excavation for footings be carefully done with hand tools and that no equipment
be allowed to operate on the final cut surface. To provide a working platform on which to begin
backfill placement on these sensitive materials, it may be necessary to place an initial layer of
granular material.
8-4.2.1.2 Foundations Supported on Rock. If the foundation is to be supported on rock,

the soundness of the exposed rock should be checked by a slaking test (soaking a piece of the
rock in water to determine the resulting degree of deterioration (para 8-3.2.2) visual
observation to determine if e rock is in a solid and unshattered condition. If removal of rock
below the foundation level is required, the space should be filled with concrete. A qualified
geological or soils engineer should inspect the area if it is suspected that the material will
deteriorate or swell when exposed to the weather. If necessary, the materials must be
protected from exposure using the methods previously discussed in paragraph 8-4.1.2.
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(1) Before placement of any structure foundation is begun, the plans should be rechecked
to ensure that all required utilities and conduits under or adjacent to the foundation have
been placed, so that excavating under or undermining the foundation to place utilities
and conduits will not become necessary later.
(2) Occasionally, it may be found upon completion of the excavation that if a structure were
placed as shown on the plans, it would be supported on two materials with drastically
different consolidation charactertistics, such as rock and soil, rock and backfill, or
undisturbed soil and backfill. This situation could occur because the predesign
subsurface information was inadequate, because the structure was relocated or
reoriented by a subsequent change in the plans, because of an oversight of the design
engineer, or because of the excavation procedures followed by the contractor.
Regardless of the reason, measures such as overexcavation and placement of
subsequent backfill should be taken, where possible, and in coordination with the
design office to provide a foundation of uniform material. Otherwise, the design office
should evaluate the differences in foundation conditions for possible changes to the
structural foundation elements.
(3) Preparing the area to receive the backfill consists of cleaning, leveling, and compacting
the bottom of the excavation if the foundation is in soil. All debris and foreign material,
such as trash, broken concrete and rock, boulders, and forming lumber, should be
removed from the excavation. All holes, depressions, and trenches should be filled with
the same material as that specified to be placed immediately above such a depression,
unless otherwise designated, and compacted to the density specified for the particular
material used. If the depression is large enough to accommodate heavy compacting
equipment, the sides of the depression should have a positive slope and be flat enough
for proper operation of compaction equipment. After the area is brought to a generally
level condition by compacting in lifts in accordance with specifications, the entire area to
receive backfill should be sacrificed to the depth specified, the water content adjusted if
necessary, and the area compacted as specified. If the foundation is in rock, the area
should be leveled as much as possible and all loose material removed.
(4) All work in the excavation should be accomplished in the dry; therefore, the dewatering
system should be operated for the duration of this work. Under no circumstances should
the contractor be allowed to dry an area by dumping a thick layer of dry material over it
to blot the excess water. If soil exists at the foundation level and becomes saturated, it
cannot be compacted. The saturated soil will have to be removed and replaced or
drained sufficiently so that it can be compacted. Any frozen material in the foundation
should be removed before placement of concrete footings or compacted backfill.
8-5 BACKFILL OPERATIONS
8-5.1 Placement Of Backfill. Backfill construction is the refilling of previously

excavated space with properly compacted material. The areas may be quite large, in which
case the backfilling operation will be similar to embankment construction. On the other hand,
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the areas may be quite limited, such as confined areas around or between and beneath
concrete or steel structures and
areas in trenches excavated for utility lines. Prior to construction of the backfill, the inspection
personnel should become thoroughly familiar with the various classes of backfill to be used.
They should be able to readily identify the materials on sight, know where the various types of
material should be placed, and be familiar with the compaction characteristics of the soil types.
8-5.2 Good Construction Practices, and Problems. Problems with placement of

backfill will vary from one construction project to another. The magnitude of the problems will
depend on the type of materials available such as backfill, density requirements, and the
configuration of the areas in which compaction is to be accomplished. Problems should be
expected during the initial stages of backfill compaction unless the contractor is familiar with
compaction characteristics of backfill materials. The inspector can be of great assistance to the
contractor during this period by performing frequent water content and density checks. The
information from these checks will show the contractor the effects of the compaction
procedures being used and point out any changes that should be made.
8-5.2.1 Backfilling Procedures. Problems associated with the compaction of backfill

can be minimized by following good backfilling procedures. Good backfilling procedures
include: processing the material (8-3.4) before it is placed in the excavation; placing the
material in a uniformly spread loose lift of the proper thickness suited to the compaction
equipment and the type of material to be used; applying the necessary compaction effort to
obtain the required densities; and ensuring that these operations are not performed during
adverse weather. Proper bond should be provided between each lift and also between the
backfill and the sides of the excavation.
8-5.2.2 Compaction Equipment, Backfill Material, and Zones. The type of

compaction equipment used to achieve the required densities will usually depend upon the
type of backfill material being compacted and the type of zone in which the material is placed.
• In open zones, coarse-grained soils that exhibit slight plasticity (clayey sands, silty
sands, clayey gravels, and silty gravels) should be compacted with either sheepsfoot or
rubber-tired rollers; close control of water content is required where silt is present in
substantial amounts. For sands and gravelly sands with little or no fines, good
compaction results are obtained with tractor compaction. Good compaction can also be
achieved in gravels and gravel-sand mixtures with either a crawler tractor or rubber-tired
and steelwheeled rollers. The addition of vibration to any of the means of compaction
mentioned above will usually improve the compaction of soils in this category. In
confined zones, adequate compaction of coliesionless soils in either the air-dried or
saturated condition can be achieved by vibratory-plate compactors with a static weight
of at least 100 pounds. If the material is compacted in the saturated condition, good
compaction can be achieved by internal vibration (for example, by using concrete
vibrators). Downward drainage is required to maintain seepage forces in a downward
direction if the placed material is saturated to aid in compaction.
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• Inorganic clays, inorganic silts, and very fine sands of low to medium plasticity are fairly
easily compacted in open zones with sheepsfoot or rubbertired rollers in the
15,000-pound and above wheel-load class. Some inorganic clays can be adequately
compacted in confined zones using rammer or impact compactors with a static weight of
at least 100 pounds provided close control of lift thickness and water content is
maintained.
• Fine-grained, highly plastic materials, though not good backfill materials, can best be
compacted in open zones with sheepsfoot rollers. Sheepsfoot rollers leave the surface
of the backfill in a rough condition, which provides an excellent bond between lifts. In
confined areas the best results, which are not considered good, are obtained with
rammer or impact compactors.
8-5.2.3 Lift Thickness. The loose-lift thickness will depend on the type of backfill
material and the compaction equipment to be used.
• As a general rule, a loose-lift thickness that will result in a 6-inch lift when compacted
can be allowed for most sheepsfoot and pneumatic-tired rollers. Cohesive soils placed
inapproximately lo-inch loose lifts will compact to approximately 6 inches, and
cohesionless soils placed in approximately 8-inch base lifts will compact to 6 inches.
Adequate compaction can be achieved in cohesionless materials of about 12to 15inch
loose-lift thickness if heavy vibratory equipment is used. The addition of vibration to
rolling equipment used for compacting cohesive soils generally has little effect on the lift
thickness that can be compacted, although compaction to the desired density can
sometimes be obtained by fewer coverages of the equipment.
• In confined zones where clean cohesionless backfill material is used, a loose-lift

thickness of 4 to 6 inches and a vibratory plate or walk-behind, dual-drum vibratory
roller for compaction is recommended. Where cohesive soils are used as backfill in
confined zones, use of rammer compactors and a loose-lift thickness of not more than 4
inches should be specified. Experience has shown that "two-by-four" wood rammers, or
single air tampers (commonly referred to as 11 powder puffs" or "pogo sticks") do not
produce sufficient compaction.
8-5.2.4 Density Requirements. In open areas of backfill where structures will not be
constructed, compaction can be less than that required in more critical zones. Compaction to
90 percent of ASTM D 1557 maximum dry density should be adequate in these areas. If
structures are to be constructed on or within the backfill, compaction of cohesionless soils to
within 95 to 100 percent of ASTM D 1557 maximum dry density and of cohesive soils to at
least 95 percent of ASTM D 1557 should be required for the full depth of backfill beneath these
structures. The specified degree of compaction should be commensurate with the tolerable
amount of settlement, and the compaction equipment used should be commensurate with the
allowable lateral pressure on the structure. Drainage blankets and filters having special
gradation requirements should be compacted to within 95 to 100 percent of ASTM D 1557
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maximum dry density. Table 8-5.1 gives a summary of type of compaction equipment, number
of coverages, and lift thickness for the specified degree of compaction of various soil types.
8-5.2.5 Cold Weather. In areas where freezing temperatures either hamper or halt
construction during the winter, certain precautions can and should be taken to prevent damage
from frost penetration and subsequent thaw. Some of these precautions are presented below.
• Placement of permanent backfill should be deferred until favorable weather conditions

prevail. However, if placement is an absolute necessity during freezing temperatures,
either dry, cohesionless, non frost-susceptible materials or material containing additives,
such as calcium chloride, to lower the freezing temperature of the soil water should be
used. Each lift should be checked for frozen material after compaction and before
construction of the next lift is begun. If frozen material is found, it should be removed; it
should not be disked in place. Additives should not be used indiscriminately since they
will ordinarily change compaction and water content requirements. Prior laboratory
investigation should be conducted to determine additive requirements and the effect on
the compaction characteristics of the backfill material.
• Under no circumstances should frozen material, from stockpile or borrow pit, be placed
in backfill that is to be compacted to a specified density.
• Prior to halting construction during the winter, the peripheral surface drainage system
should be checked and reworked where necessary to provide positive drainage of
surface water away from the excavation.
• Foundations beneath structures and backfill around structures should not be allowed to
freeze, because structural damage will invariably develop. Structures should be
enclosed as much as possible and heated if necessary. Construction should be
scheduled so as to minimize the amount of reinforcing steel protruding from a partially
completed structure since steel will conduct freezing temperatures into the foundation.
• Permanent backfill should be protected from freezing. Records should be made of all
temporary coverings that must be removed before backfilling operations are resumed. A
checklist should be maintained to ensure that all temporary coverings are removed at
the beginning of the next construction season.
• During freezing weather, records should be kept of the elevation of all critical structures
to which there is the remotest possibility of damage or movement due to frost heave
and subsequent thaw. It is important that frost-free bench marks be established to which
movement of any structure can be referenced. Bench marks also should be established
on the structures at strategic locations prior to freezing weather.
• At the beginning of the following construction season and after the temporary insulating
coverings are removed, the backfill should be checked for frozen material and ice
lenses, and the density of the compacted material should be checked carefully before
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backfilling operations are resumed. If any backfill has lost its specified density because
of freezing, it should be removed.
8-5.2.6 Zones Having Particular Gradation Requirements. Zones that have particular
gradation requirements include those needed to conduct and control seepage, such as
drainage blankets, filters, and zones susceptible to frost penetration. Drainage zones are often
extremely important to the satisfactory construction and subsequent performance of the
structure. To maintain the proper functioning of these zones, care must be taken to ensure that
the material placed has the correct gradation and is compacted according to specifications.
8-72
Table 8-5.1 Summary of Compaction Criteriaa
Fill and Backfill

Typical Equipment and Procedures for Compaction
Soil Soil Degree of Compaction Equipment No. of Passes Comp. Lift Placement Field Control
Group Types or Coverages Thickness (in.) Water Content
GW 90 – 95% of CE Vibratory Rollers Indefinite Indefinite Saturate by Control tests at

55 maximum b Flooding intervals to
GP Rubber Tired Roller 2-5 Coverages 12
density determine
SW Crawler Type 2-5 Coverages 8 degree of
75 – 85% of
Tractorc compaction or
SP relative density Indefinite 6
Compacted
relative density
Power Hand
Tamperd
85 to 90% of CE Rubber Tired Rollerb 2-5 Coverages 14 Saturate by Control tests at
55 maximum Flooding intervals to
Crawler Type 1-2 Coverages 10
density determine
Tractorc
Indefinite 8 degree of
65 to 75% of
Power Hand compaction or
Pervious (Free Draining

relative density Indefinite 8-10
Tamperd relative density,
if needed
Controlled routing of
Semi-Compacted
construction
equipment
Note: The above requirements will be adequate in most construction venues. In special cases where tolerable settlements are unusually small, it may be necessary to
employ additional compaction equivalents to 95-100% of compaction effort. A coverage consists of one application of the wheel of a rubber tired roller or the treads of a
crawler type tractor over each point in the area being compacted. For a sheepsfoot roller , one pass consists of one movement of a sheepsfoot roller drum over the area
being compacted.
a) From TM 5-818-1
b) Rubber – tired rollers having a wheel load between 18,000 and 25,000 lb/ with a tire pressure between 80-100 psi.
c) Crawler type tractors weighing not < 20,000 lbs / exerting a foot pressure not < 6.5psi.
d) Power hand tampers weighing more than 100 lbs / pneumatic or gasoline powered.
e) Sheepsfoot roller with a foot pressure between 250-500 psi/ tamping feet 7-10 “ long/ face area between 7-16 sq. in.
Table 8-5.1 Summary of Compaction Criteriaa
Fill and Backfill
Typical Equipment and Procedures for Compaction

Soil Soil Degree of Compaction Equipment No. of Passes Comp. Lift Placement Water Content Field
Group Types or Coverages Thickness Control
(in.)
CM 90 to 95% of Rubber tired Rollerb 2-5 Coverages 8 Optimum water content Control
CE55 e tests at
CC Sheepsfoot Roller 4-8 Passes 6
maximum intervals to
Power hand Tamperd Indefinite 4
SM density determine
Compacted
degrees of
SC compaction
ML Rubber tired rollersb 2-4 coverages 10 (A) Optimum water
85 to 90% of (A) Control
e content
CL CE55 Sheepsfoot Roller 4-8 passes 8 tests as
maximum (B) Observation: wet side shown
OL Crawler-type Tractorc 3 coverages 6
density maximum water content at
Power hand tamperd Indefinite 6 (B) Field
OH which material can
control via
Controlled routing of Indefinite 6-8 satisfactorily operate; dry
MH visual
construction side minimum water
inspection
Semi-Pervious and Impervious

CH equipment` content required to bond
of process
Semi-Compacted
particles; must not result
in voids or honey-combed
materials.
Note: The above requirements will be adequate in most construction venues. In special cases where tolerable settlements are unusually small, it may be necessary to
employ additional compaction equivalents to 95-100% of compaction effort. A coverage consists of one application of the wheel of a rubber tired roller or the treads of a
crawler type tractor over each point in the area being compacted. For a sheepsfoot roller, one pass consists of one movement of a sheepsfoot roller drum over the area
being compacted.
a) From TM 5-818-1
b) Rubber – tired rollers having a wheel load between 18,000 and 25,000 lb/ with a tire pressure between 80-100 psi.
c) Crawler type tractors weighing not < 20,000 lbs / exerting a foot pressure not < 6.5psi.
d) Power hand tampers weighing more than 100 lbs / pneumatic or gasoline powered.
e)
Sheepsfoot roller with a foot pressure between 250-500 psi/ tamping feet 7-10 “ long/ face area between 7-16 sq. in.
UFC 3-220-01
14 May 2002
8-5.3 Special Problems. In open zones, compaction of backfill will not
generally present any particular problems if proper compaction procedures normally
associated with the compaction of soils are exercised and the materials available for
use, such as backfill, are not unusually difficult to compact. The majority of the problems
associated with backfill will occur in confined zones where only small compaction
equipment producing a low compaction effort can be used or where because of the
confined nature of the backfill zone even small compaction equipment cannot be
operated effectively.
Considerable latitude exists in the various types of small compaction

equipment available. Unfortunately, very little reliable information is available on the
capabilities of the various pieces of equipment. Depending upon the soil type and
working room, it may be necessary to establish lift thickness and compaction effort
based essentially on trial and error in the field. For this reason, close control must be
maintained particularly during the initial stages of the backfill until adequate compaction
procedures are established.
8-5.3.1 Difficult Structures. Circular, elliptical and arched walled structures are
particularly difficult to adequately compact backfill beneath the under side of haunches
because of limited working space. Generally, the smaller the structure the more difficult
it is to achieve required densities. Rock, where encountered, must be removed to a
depth of at least 6 inches below the bottom of the structure and the overdepth backfilled
with suitable material before foundation bedding for the structure is placed. Some
alternate bedding and backfill placement methods are discussed below.
1) One method is to bring the backfill to the planned elevation of the spring
line using conventional heavy compaction equipment and methods. A
template in the shape of the structure to be bedded is then used to
reexcavate to conform to the bottom contours of the structure. If the
structure is made of corrugated metal, allowance should be made in the
grade for penetration of the corrugation crests into the backfill upon
application of load. Success of this method of bedding is highly dependent
on rigid control of grade during reexcavation using the template. This
procedure is probably the most applicable where it is necessary to use a
cohesive backfill.
2) Another method of bedding placement is to sluice a clean granular backfill

material into the bed after the structure is in place. This method is
particularly adapted to areas containing a maze of pipes or conduits.
Adequate downward drainage, generally essential to the success of this
method, can be provided by sump pumps or, if necessary, by pumping
from well points. Sluicing should be accompanied by vibrating to ensure
adequate soil density. Concrete vibrators have been used successfully for
this purpose. This method should be restricted to areas where conduits or
pipes have been placed by trenching or in an excavation that provides
confining sides. Also, this method should not be used below the
groundwater table in seismic zones, since achieving densities high
enough to assure stability in a seismic zone is difficult.
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3) Another method is to place clean, granular bedding material with

pneumatic concrete equipment under the haunches of pipes, tunnels, and
tanks. The material is placed wet and should have an in-place water
content of approximately 15 to 18 percent. A nozzle pressure of 40
pounds per square inch is required to obtain proper density. Considerable
rebound of material (as much as 25 percent by volume when placed with
the hose nozzle pointed vertically downward and 50 percent with the
nozzle pointed horizontally) occurs at this pressure. Rebound is the
material that bounces off the surface and falls back in a loose state.
However, the method is very satisfactory if all rebound material is
removed. The material can be effectively removed from the backfill by
dragging the surface in the area where material is being placed with a
flat-end shovel. Two or three men will be needed for each gunite hose
operated.
4) For structures and pipes that can tolerate little or no settlement, lean
grouts containing granular material and various cementing agents, such
as portland cement or fly ash, can be used. This grout may be placed by
either method discussed in (b) and (c) above. However, grouts may
develop hard spots (particularly where the sluice method is used that
could cause segregation of the granular material and the cementing
agent), which could generate stress concentrations in rigid structures such
as concrete pipes. Stress concentrations may be severe enough to cause
structural distress. If lean grouts are used as backfill around a rigid
structure, the structure must be designed to withstand any additional
stress generated by possible hard spots.
8-5.4 Installation of Instruments. Installation of instrumentation devices

should be supervised, if not actually done, by experienced personnel from Contracting
Officer’s Organization or by firms that specialize in instrumentation installation. The
resident engineer staff must be familiar with the planned locations of all instruments and
necessary apparatus or structures (such as trenches and terminal houses) so that
necessary arrangements and a schedule for installation can be made with the
contractor and with the office or firm that will install the devices. Inspectors should
inspect any instrumentation furnished and installed by the contractor. Records must be
made of the exact locations and procedures used for installation and initial
observations. Inspectors should ensure that necessary extensions are added for the
apparatus (such as lead lines and piezometer tubes) installed within the backfill as the
backfill is constructed to higher elevations. Care must be used in placing and
compacting backfill around instruments that are installed within or through backfill.
Where necessary to prevent damage to instruments, backfill must be placed manually
and compacted with small compaction equipment such as rammers or vibratory plates.
8-5.5 Post-construction Distress. Good backfill construction practices and

control will minimize the potential for postconstruction distress. Nevertheless, the
possibility of distress occurring is real, and measures must be taken to correct any
problems before they become so critical as to cause functional problems with the
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facility. Therefore, early detection of distress is essential. Some early signs of possible
distress include: settlement or swelling of the backfill around the structure; sudden or
gradual change of instrumentation data; development of cracks in structural walls; and
adverse seepage problems. Detailed construction records are important for defining
potential distress areas and assessing the mechanisms causing the distress.
8-6 SPECIFICATION PROVISIONS
8-6.1 General. The plans and specifications define the project in detail and
show how it is to be constructed. They are the basis of the contractor's estimate and of
the construction contract itself. The drawings show the physical characteristics of the
structure, and the specifications cover the quality of materials, workmanship, and
technical requirements. Together they form the guide and standard of performance that
will be required in the construction of the project. Once the contract is let, the plans and
specifications are binding on both the Contracting Officer and the contractor and are
changed only by written agreement. For this reason, it is essential that the contractor
and the Contracting Officer's representative anticipate and resolve differences that may
arise in interpreting the intent and requirements of the specifications. The ease with
which this can be accomplished will depend on the clarity of the specifications and the
background and experience of the individuals concerned. Understanding of
requirements and working coordination can be improved if unusual requirements are
brought to the attention of prospective bidders and meetings for discussion are held
prior to construction. Situations will undoubtedly arise that are not covered by the
specifications, or conditions may occur that are different from those anticipated. Close
cooperation is required between the contractor and the inspection personnel in
resolving situations of this nature; if necessary, to be fair to both parties a change order
should be issued.
8-6.2 Preparation of Contract Specifications. Preparation of contract

specifications is easier if an outline of general requirements is available to the
specification writer. However, it would be virtually impossible to prepare a guide
specification that anticipates all problems that may occur on all projects. Therefore,
contract specifications must be written to satisfy the specific requirement of each
project. Some alternate specification requirements that might be considered for some
projects are discussed below.
8-6.2.1 Excavation. The section of the specifications dealing with excavation

contains information on drainage, shoring and bracing, removal and stockpiling, and
other items, and refers to the plans for grade requirements and slope lines to be
followed in excavating overburden soils and rock.
8-6.2.2 Drainage. For some projects the specifications will require the contractor
to submit a plan of his excavation operations to the Contracting Officer for review. The
plans and specifications will require that the excavation and subsequent construction
and backfill be carried out in the dry. To meet this requirement, a dewatering system
based on the results of groundwater studies may be included in the plans. Also, for
some projects the specifications may require the contractor to submit his plan for
controlling groundwater conditions. The specifications should likewise indicate the
8-77
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possibility of groundwater conditions being different from those shown in the subsurface
investigation report due to seasonal or unusual variations or insufficient information,
since the contractor will be held responsible for controlling the groundwater flow into the
excavation regardless of the amount. To this end, the specifications should provide for
requiring the contractor to submit a revised dewatering plan for review where the
original dewatering plan is found to be inadequate.
8-6.2.3 Shoring and Bracing. The specifications either will require the contractor
to submit for review his plans for the shoring and bracing required for excavation or will
specify shoring and bracing required by subsurface and groundwater conditions and
details of the lines and grades of the excavation. In the latter case, the contractor may
be given the option to submit alternate plans for shoring and bracing for review by the
Contracting Officer. The plans will present the necessary information for the design of
such a system if the contractor is allowed this option.
8-6.2.4 Stockpiling. Provisions for stockpiling materials from required excavation

according to type of backfill may or may not be included in the specifications. Generally,
procedures for stockpiling are left to the discretion of the contractor, and a thorough
study should be made to substantiate the need for stockpiling before such procedures
are specified. There are several conditions under which inclusion of stockpiling
procedures in the specifications would be desirable and justified. Two such conditions
are discussed in the following paragraphs.
(1) Under certain conditions, such as those that existed in the early stages of missile
base construction where time was an important factor, it may be necessary or
desirable to award contracts for the work in phases. As a result, one contractor
may do the excavating and another place the backfill. It is probable that the
excavation contractor will have little or no interest in stockpiling the excavated
materials in a manner conducive to good backfilling procedures. When such a
situation can be foreseen, the specifications should set forth stockpiling
procedures. The justification for such requirements would be economy and
optimum use of materials available from required excavation as backfill.
(2) The specifications will contain provisions for removing, segregating, and
stockpiling or disposing of material from the excavation and will refer to the plans
for locations of the stockpiles. The subsoil conditions and engineering
characteristics requirements may state that the specifications must be quite
definite concerning segregation and stockpiling procedures so that the excavated
materials can be used most advantageously in the backfill. The specification may
require that water be added to the material or the material be aerated as it is
stockpiled to approximate optimum water content, that the stockpile be shaped to
drain and be sealed from accumulation of excess water, and that the end
dumping of material on the stockpile be prohibited to prevent segregation of
material size or type along the length of the stockpile.
An alternative to this latter action would be to specify the various classes of backfill
required and leave the procedure for stockpiling the materials by type to the discretion
of the contractor. In this case, the contractor should be required to submit a detailed
8-78
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plan for excavating and stockpiling the material. The plan should indicate the location of
stockpiles for various classes of backfill so that the material can be tested for
compliance with the specifications. The contractor may elect to obtain backfill material
from borrow or commercial sources rather than to separate and process excavated
materials. Then the specifications should require that stockpiles of the various classes
of needed backfill be established at the construction site in sufficient quantity and far
enough in advance of their use to allow for the necessary testing for approval unless
conditions are such that approval of the supplier's stockpile or borrow source can be
given.
8-6.3 Foundation Preparation. The provisions for preparation for structures

will generally not be grouped together in the specifications but will appear throughout
the earthwork section of the specifications under paragraphs on excavation, protection
of foundation materials, backfill construction, and concrete placement. When a structure
is to be founded on rock, the specifications will require that the rock be firm, unshattered
by blasting operations, and not deteriorated from exposure to the weather. The
contractor will be required to remove shattered or weathered rock and to fill the space
with concrete.
8-6.3.1 Structures on Soil. Specifications for structures founded on soil require
the removal of all loose material and all unsuitable material, such as organic clay or silt,
below the foundation grade. When doubt exists as to the suitability of the foundation
materials, a soils engineer should inspect the area and his recommendations should be
followed. When removal of rock material below the planned foundation level is required,
the over-excavation will usually require filling with concrete. The specifications also
require dewatering to the extent that no backfill or structural foundation is placed in the
wet.
Specifications for preparation of the soil foundation to receive backfill

require removing all debris and foreign matter, making the area generally level, and
scarifying, moistening, and compacting the foundation to a specified depth, generally 12
inches. Specific provisions may or may not be given with respect to leveling procedures.
8-6.4 Backfill Operations. The specifications define the type or types of

material to be used for backfill construction and provide specific instructions as to where
these materials will be used in the backfill, The percentage of ASTM D 1557 maximum
dry density to be obtained, determined-by a designated standard laboratory compaction
procedure, will be specified for the various zones of backfill. The maximum loose-lift
thickness for placement will also be specified. Because of the shape of the compaction
curve, the degree of compaction specified can be achieved only within a certain range
of water contents for a particular compaction effort. Though not generally specified in
military construction, the range of water contents is an important factor affecting
compaction.
8-6.4.1 Compacting. The specifications sometimes stipulate the characteristics

and general type of compaction equipment to be used for each of the various types of
backfill. Sheepsfoot or rubber-tired rollers, rammer or impact compactors, or other
suitable equipment are specified for fine-grained, plastic materials. Non-cohesive, free
draining materials are compacted by saturating the material and operating crawler-type
8-79
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tractor, surface or internal vibrators, vibratory compactors, or other similar suitable
equipment. The specifications generally will prohibit the use of rock or rock-soil mixtures
as backfill in this type of construction. However, when the use of backfill containing rock
is permitted, the maximum size of the rock is given in the specifications along with
maximum lift thickness, loading, hauling, dumping, and spreading procedures, type of
compaction equipment, and method of equipment operation. The specifications should
prohibit the use of rock or rock-soil mixtures as backfill in areas where heavy equipment
cannot operate. Rock / soil mixtures having greater than 8 to 10 percent binder should
be prohibited in all areas. In the case of backfill containing rock, the density is not
generally specified. Obtaining adequate density is usually achieved by specifying the
compaction procedures. The specifications may require that these procedures be
developed in field test sections.
Specifications may also require specific equipment and procedures to ensure adequate
bedding for round-bottom structures such as tunnels, culverts, conduits, and tanks.
Procedures normally specified for placement of bedding for these types of structure are
discussed in paragraph 8-5.1.3(2)
8-6.4.2 Backfill Against Structures. The specifications will state when backfill
may be placed against permanent concrete construction with respect to the time after
completion; this time period is usually from 7 to 14 days. To provide adequate protection
of the structures during backfill construction, the specifications require that the backfill
be built up symmetrically on all sides and that the area of operation of heavy equipment
adjacent to a structure be limited. Also, the minimum thickness of compacted materials
to be placed over the structures by small compaction equipment, such as vibratory plate
or rammer type, will be specified before heavy equipment is allowed to operate over the
structure. The specifications require that the surface of the backfill be sloped to drain at
all times when necessary to prevent ponding of water on the fill. The specifications also
provide for groundwater control, so that all compacted backfill will be constructed in the
dry. Where select, freedraining, cohesionless soils of high permeability are required in
areas where compaction is critical, the specifications list gradation requirements.
Gradation requirements are also specified for materials used for drains and filters.
Unusually severe specification requirements may be necessary for backfill

operations in confined areas. The requirements may include strict backfill material type
limitation, placement procedures, and compaction equipment.
8-6.4.3 Protection from Freezing. It is not the policy of the Government to

inform the contractor of ways to accomplish the necessary protection from freezing
temperatures. However, to ensure that adequate protection is provided, it may be
necessary to specify that the contractor submit detailed plans for approval for such
protection.
8-7 STABILIZATION OF SUBGRADE SOILS
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8-7.1 General . The applicability and essential features of foundation soil
treatments are summarized in tables 8-7.1 and 8-7.2 and in figure 8-7.1. The depth of
stabilization generally must be sufficient to absorb most of the foundation pressure bulb.
The relative benefits of vibrocompaction, vibrodisplacement compaction, and

precompression increase as load intensity decreases and size of loaded area
increases, soft, cohesive soils treated in place are generally suitable only for
low-intensity loadings. Soil stabilization of wet, soft soils may be accomplished by
addition of lime; grout to control water flow into excavations to reduce lateral support
requirements or to reduce liquefaction or settlement caused by adjacent pile driving;
seepage control by electro osmosis; and temporary stabilization by freezing. The range
of soil grain sizes for which each stabilization method is most applicable is shown in
figure 8-7.1.
8-7.2 Vibrocompaction. Vibrocompaction methods (blasting, terraprobe, and

vibratory rollers) can be used for rapid densification of saturated cohesionless soils
(figure 8-7.1) The ranges of grain-size distributions suitable for treatment by
vibrocompaction, as well as vibroflotation, are shown in figure 8-7.2. The effectiveness
of these methods is greatly reduced if the percent finer than the No. 200 sieve exceeds
about 20 percent or if more than about 5 percent is finer than 0.002 millimeter, primarily
because the hydraulic conductivity of such materials is too low to prevent rapid drainage
following liquefaction, The usefulness of these methods in partly saturated sands is
limited, because the lack of an increase of pore water pressure impedes liquefaction.
Lack of complete saturation is less of a restriction to use of blasting because the
high-intensity shock wave accompanying detonation displaces soil, leaving depressions
that later can be backfilled.
8-7.2.1 Blasting. Theoretical design procedures for densification by blasting are

not available and continuous onsite supervision by experienced engineers having
authority to modify procedures as required is essential if this treatment method is used.
A surface heave of about 6 inches will be observed for proper charge sizes and
placement depths. Surface cratering should be avoided. Charge maws of less than 4 to
more than 60 pounds have been used. The effective radius of influence for charges
using (M = lb) 60 percent dynamite is as follows:
R = 3M1/3 (feet)
8-7.2.1.1 Charge Spacings. Charge spacings of 10 to 25 feet are typical. The

center of charges should be located at a depth of about two thirds the thickness of the
layer to be densified, and three to five successive detonations of several spaced
charges each are likely to be more effective than a single large blast. Little densification
is likely to result above about a 3-foot depth, and loosened material may remain around
blast points. Firing patterns should be established to avoid the "boxing in" of pore water.
Free-water escape on at least two sides is desirable.
8-7.2.1.2 Pre-Flooding. If blasting is used in partly saturated sands or loess, pre-

flooding of the site is desirable. In one technique, blast holes about 3 to 3 ½ inches in
diameter are drilled to the desired depth of treatment, then small charges connected by
8-81
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14 May 2002
prima cord, or simply the prima cord alone, are strung the full depth of the hole. Each
hole is detonated in succession, and the resulting large diameter holes formed by lateral
displacement are backfilled. A sluiced-in cohesionless backfill will densify under the
action of vibrations from subsequent blasts. Finer grained backfills can be densified by
tamping.
8-7.2.2 Vibrating Probe (Terraprobe). A 30-inch-outaide-diameter, open-ended

pipe pile with 3/8-inch wall thickness is suspended from a vibratory pile driver operating
at 15 Hz. A probe length 10 to 15 feet greater than the soil depth to be stabilized is
used. Vibrations of 3/8 to 1-inch amplitude are in a vertical mode. Prober, are made at
spacings of 3 to 10 feet. After sinkage to the desired depth, the probe is held for 30 to
60 seconds before extraction. The total time required per probe is typically 2 ½, to 4
minutes. Effective treatment has been accomplished at depths of 12 to 60 feet. Areas in
the range of 450 to 700 square yards may be treated per machine per 8-hour shift.
Test sections about 30 to 60 feet on a side are desirable to evaluate the effectiveness
and required probe spacing. The grain-size range of treated soil should fall within limits
shown in figure 16-2. A square pattern is often used, with a fifth probe at the center of
each square giving more effective increased densification than a reduced spacing.
Saturated soil conditions are necessary as underlying soft clay layers may dampen
vibrations.
8-7.2.3 Vibratory Rollers. Where cohesionless deposits are of limited thickness,

e.g., less than 6 feet, or where cohesionless fills are being placed, vibratory rollers are
likely to be the beat and most economical means for achieving high density and
strength. Use with flooding where a source of water is available. The effective depth of
densification may be 6 feet or more for heaviest vibratory rollers or a fill placed in
successive lifts, a density-depth distribution similar to that in figure 16-3b results. It is
essential that the lift thickness, soil type, and roller type be matched. Properly matched
systems can yield compacted layers at a relative density of 85 to 90 percent or more.
8-7.3 Vibrodisplacement Compaction. The methods in this group are similar

to those described in the preceding section except that the vibrations are supplemented
by active displacement of the soil and, in the case of vibroflotation and compaction
piles, by backfilling the zones from which the soil has been displaced.
8-7.3.1 Compaction Piles. Partly saturated or freely draining soils can be

effectively densified and strengthened by this method, which involves driving
displacement piles at close spacings, usually 3 to 6 feet on centers. One effective
procedure is to cap temporarily the end of a pipe pile, e.g., by a detachable plate, and
drive it to the desired depth, which may be up to 60 feet. Either an impact hammer or a
vibratory driver can be used. Sand or other backfill material is introduced in lifts with
each lift compacted concurrently with withdrawal of the pipe pile. In this way, not only is
the backfill compacted, but the compacted column has also expanded laterally below
the pipe tip forming a caisson pile.
8-7.3.2 Heavy Tamping (Dynamic Consolidation). Repeated impacts of a very

heavy weight (up to 80 kips) dropped from a height of 50 to 130 feet are applied to
points spaced 15 to 30 feet apart over the area to be densified. In the case of
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cohesionless soils, the impact energy causes liquefaction followed by settlement as
water drains. Radial fissures that form around the impact points, in some soils, facilitate
drainage. The method has been used successfully to treat soils both above and below
the water table.
The product of tamper mass and height of fall should exceed the square of the
thickness of layer to be densified. A total tamping energy of 2 to 3 blows per square
yard is used. Increased efficiency is obtained if the impact velocity exceeds the wave
velocity in the liquefying soil. One crane and tamper can treat from 350 to 750 square
yards per day. Economical use of the method in sands requires a minimum treatment
area of 7500 square yards. Relative densities of 70 to 90 percent are obtained. Bearing
capacity increases of 200 to 400 percent are usual for sands and marls, with a
corresponding increase in deformation modulus. The cost is reported as low as
one-fourth to one-third that of vibronotation.
Because of the high-amplitude, low-frequency vibrations (2-12 Rz), minimum distances

should be maintained from adjacent facilities as follows:
Piles or bridge abutment 15 – 20 feet

Liquid storage tanks 30 feet
Reinforced concrete buildings 50 feet
Dwellings 100 feet
Computers (not isolated) 300 feet
8-7.3.3 Vibroflotation. A cylindrical penetrator about 15 inches in diameter and 6

feet long, called a vibroflot, is attached to an adapter section containing lead wires and
hoses. A crane handles the whole assembly. A rotating eccentric weight inside the
vibroflot develops a horizontal centrifugal force of about 10 tons at 1800 revolutions per
minute. Total weight is about 2 tons.
To sink the vibroflot to the desired treatment depth, a water jet at the tip is
opened and sets in conjunction with the vibrations so that a hole can be advanced at a
rate of about 3.6 feet per minute; then the bottom jet is closed, and the vibroflot is
withdrawn at a rate of about 0.1 foot per minute. Newer, heavier vibroflots operating at
100 horsepower can be withdrawn at twice this rate and have a greater effective
penetration depth. Concurrently, a cohesionless sand or gravel backfill is dumped in
from the ground surface and densified. Backfill consumption is at a rate of about 0.7 to 2
cubic yards per square yard of surface. In partly saturated sands, water jets at the top of
the vibroflot can be opened to facilitate liquefaction and densification of the surrounding
ground. Liquefaction occurs to a radial distance of 1 to 2 feet from the surface of the
vibroflot. Most vibroflotation applications have been to depths less than 60 feet,
although depths of 90 feet have been attained successfully.
A relationship between probable relative density and vibroflot hold

spacings is given in figure 16-4. Newer vibroflots result in greater relative densities.
Figure 16-5 shows relationships between allowable bearing pressure to limit settlements
to 1 inch and vibroflot spacing. Allowable pressures for "essentially cohesionless fills"
are less than for clean sand deposits, because such fills invariably contain some fines
and are harder to densify.
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Continuous square or triangular patterns are often used over a building

site. Alternatively, it may be desired to improve the soil only at the locations of individual
spread footings. Patterns and spacings required for an allowable pressure of 3 tons per
square foot and square footings are given in table 8-7.3.
8-84
Table 8-7.1 Stabilization of Soils for the Foundations of Structures
Method Principle Most Maximum Economical Special Special Properties Special Relative
Suitable Effective Size of Materials Equipment of Treated Advantages Costs
Soil Treatment Treated Required Required Material and (1976)
Condition/ Depth Area Limitations
Type (feet)
Blasting Shock waves Saturated, 60 ft. Small areas Explosives; Jetting or Can obtain Rapid, Low $0.50
and clean can be backfill to drilling relative inexpensive; to $1.00 per
vibrations sands, treated plug drill machinery densities can treat cubic yard
causes partially economically holes to 70-80%; small areas,
liquefaction, saturated may get variable
displacement sands and variable properties;
silts after density no
flooding` improvement
near surface
dangerous
Terraprobe Densification Saturated 60ft >1200yd2 None Vibratory Can obtain Rapid, Moderate;
by vibrations, or clean (ineffective pile driver relative simple; good
$1.50-
liquefaction dry sand 12 ft depth and 75mm densities underwater
.$3.25/cubic
induced and diameter of 80% or and w/ soft
yd.
settlement above) open steel more underlayers;
Vibro-Compaction
under pipe difficult to $2.00 cu/yd
overburden penetrate average
stiff upper
layers; not
good in
poorly
saturated
soils.
Vibratory Densification Cohesion- 6-10ft Any size None Vibratory Can obtain Best method Low
Rollers by vibration, less soils roller very high for thin
liquefaction relative layers and
induced densities lifts
settlement
under roller
weight
Suitable Soil Effective Size of Materials Equipment of Treated Advantages Costs
Condition/ Treatment Treated Required Required Material and (1976)
Type Depth Area Limitations
(feet)
Compaction Densification Loose sandy 60ft Small to Pile Pile driver Can obtain Useful in soils High
piles by soils, partly moderate material high w/ fines,
displacement saturated (often densities; uniform
of pile clay like sand or good compactioneasy
volume and soils; loess soil + uniformity to check results,
vibration cement slow, limited
during improvement in
drilling upper 1-2 ft.
Heavy Repeated Cohesionless 50-60ft >4000 yd2 None Tamper of Can obtain Simple, rapid; Less than
Tamping application of best; other 10-40 tons; high suitable for vibro-
(Dynamic high intensity types can high relative some soils w/ floatation.
consolidation) impacts @ also be capacity densities; fines; usable
surface. improved crane reasonable above and
uniformity below water;
requires control;
must be away
Vibro-Displacement Compaction
from existing
structures.
Vibrofloatation Densification Cohesionless 90ft >1200 yd2 Granular Vibroflot; Can obtain Useful in $10.00-
by vibration soils with backfill crane high saturated and $25.00/yd;
and less than relative partially $1.00
compaction 20% densities; saturated soils; cu/yd; may
of backfill good uniformity cost about
material uniformity half
compaction
or concrete
piles.
Soil Treatment Treated Required Required Materials and (1976)
Type (feet)
Particulate Penetration Medium to Unlimited Small Grout, Mirrors, Impervious, Low cost Lowest of
Grouting grouting; fill coarse water tanks, high strength grouts, high the grout
soil pores sand and pumps, with cement strength: systems
w/ cement gravel hoses grout; limited to
and/or clay eliminates coarse
liquefacation grained soils
danger hard to
evaluate
Chemical Solutions Medium Unlimited Small Grout, Mirrors, Impervious, Low High to
grouting of two or silts and water tanks, low to high viscosity, very high
more coarser pumps, strength; controllable $30/m2-
chemicals hoses eliminate gel time, $80/m2
react in soil liquefaction good water typical
pores to danger shut-off;
Grouting and Injection

form a gel high cost,
or a solid hard to
precipitate evaluate
Pressure Lime slurry Expansive Unlimited; Small Lime, Slurry Lime Rapid and $2.50-
Injected Lime injected to clays but 2-3 m water, tanks, encapsulated economical $3.00/m
shallow usual surfactant agitators, zones treatment for of ground
depths injectors formed by foundation surface
under high chemicals soils under area.
pressure resulting light
from cracks, structures.
root holes,
hydraulic
fracture.
Soil Treatment Treated Required Required Materials and (1976)
Type (feet)
Displacement Highly Soft, fine Unlimited, Small Soil, Batching Grout bulbs Good for Low for
Grout viscous grained but a few, cement, equipment, within correction of materials;
grout acts soils; as usual water high compressed differential high for
as radial foundation pressure soil matrix settlements, injection
hydraulic soils with pumps and filling large process.
jack when large voids hoses voids;
pumped in or cavaties careful
under high control
Grouting and Injection (Continued)

pressure required
Method Principle Most Maximum Economical Special Special Properties of Special Relative
Suitable Effective Size of Materials Equipment Treated Advantages Costs
Type (feet)
Preloading Load is Normally ------ >1000m2 Earth fill Earth Reduced water Easy, theory Low /
applied consolidated or other moving content and well moderate
sufficiently in soft clays, material equipment; void ratio/ developed, if vertical
advance of silts, organic for loading large H2O increased consistent drains are
construction deposits, the site; tanks or strength and uniform; required.
so that completed sand or vacuum requires long
compression sanitary gravel for drainage time (sand
of soft soils landfills drainage systems drains or
is completed blanket. may be wicks can be
prior to site used; used to
development settlement reduce
markers; consolidation
Precompression
piezometers time
Surcharge Fill in excess Normally ------ >1000m2 Earth fill / Earth Reduced H2O Faster than Moderate/
fills of that consolidated other moving content, void preloading Sand
required soft clays, material equipment; ratios and w/o drains
permanently silts, organic for settlement compressibility: surcharge; moderate
is applied to deposits: loading/ markers; increased theory well cost
achieve a completed sand or piezometers strength developed;
given amt of sanitary gravel as extra
settlement in landfills drainage material
a shorter blanket handing; use
time; excess sand drains/
fill then wicks
removed
Type (feet)
Dynamic High energy Partly 30 m >15000- >15000- Tamper of Reduced water Faster than < preload
Consolidation impacts saturated 30000 m2 30000 m2 10-40 tons, content, void preloading, fills w/
compress fine grained high ratio and economical sand
and dissolve soils; capacity compressability; on large drains
gas in pores quarternary cranes areas;
Increased
to give clays clays uncertain
strength
immediate w/ 1-4 gas mechanism
settlement; in micro – in clays; less
increased bubbles uniformity
pore than
pressure preloading
gives
subsequent
drainage.
Electro- DC current Normally 10-20m Small Anodes D/C power Reduced water No fill High
osmosis causes H2O consolidated (rebar or supply, content and loading
to flow from silts and aluminum) wiring, compressibility; required, can
Precompression (Continued)
anode to silty clays Cathodes metering increased use in
cathode (well system strength, confined
where it is points or electrochemical areas,
then rebar) hardening relatively
removed fast, non-
uniform
properties
between
electrodes;
useless in
highly
conductive
soils
Type (feet)
Mix in Place Lime, All soft or >20m Small Cement, lime, Drill rig, Modified soil Does native Moderate
Piles and cement or loose or chemical rotating piles or walls soil, reduced to high
Walls asphalt inorganic stabilization. cutting and of relatively lateral
introduced soils mixing head, high strength. support
through additive requirements
rotating proportioning during
auger or equipment excavation;
special in- difficult to
place mixer exert quality
control.
Strips and Horizontal All A few Small Metal or Excavation, Increased Increased Low to
Membranes toenails or meters plastic strips, earth bearing allowable moderate
membranes polyethylene, handling and capacity , bearing
Reinforcement
buried in polypropylene, compaction reduced pressures,
soil under or polyester equipment. deformations. requires
footings fabrics over-
excavation
for footings.
Vibro- Hole jetted Soft clays 20 m >1500 m2 Gravel or Vibroflot. Increased Faster than Moderate
replacement into soft and crushed rock crane or bearing pre- to high,
stone fine grain alluvial backfill vibro-cat, capacity; compression. relative to
columns soils / deposits water reduced No depth
backfilled settlements dewatering; penetration.
w/ dense, limited
compacted bearing
gravel capacity
Type (feet)
Heating Drying at low Fine 15 m Small Selected Fuel tanks, Reduced Can obtain High
temperatures; grained fuels burners, water irreversible
alteration of soils; blowers control, improvements
clays of especially plasticity, in properties;
intermediate partiall y water introduces
temps (400 – saturated sensitivity; stabilization
600 o C): silts and increased w/ hot gases.
Thermal
Fusion @ clays: strength Experimental
high temps loess @ this writing
(> 1000O C)
( 1976)
Freezing Freezes soft, All soils Several m Small Refrigerant Refrigeration Increased Cannot be High
wet ground to system strength, used with
increase reduced flowing
strength, pliability ground water;
reduce temporary.
pliability
Type (feet)
Remove Foundation Inorganic 10 m (?) Small Only if Excavation Increased Uniform, High
and soil soils admixtures and strength and controlled
replace, excavated; are needed compaction stiffness; foundation
with / improved equipment; reduced soils when
without by drying or dehydrating compressibility replaced;
admixtures admixtures system may require
large area of
de-watering.
Moisture Excess Expansive 5m Small Membranes, Excavating, Original Best used Low to
barriers water in soils gravel, lime trenching, natural or as with small moderate
foundation or asphalt and compacted structures/
soils is compaction properties may not be
prevented equipment retained 100%
effective.
Miscellaneous
Pre-wetting Soil is Expansive 2-3 m Small Water Water tanks Decreased Low cost, Low
brought to soils swelling best used for
final potential small light
estimated constructions;
water shrinking and
content swelling may
prior to sill occur
construction
Structural Fill Use over ------ Small Sand, Compaction Soft subgrade High Moderate
Fills (with distributes soft clays gravel, equipment protected by strength, to high.
or without loads to or organic fly/bottom structural good load
admixtures) underlying soils, ash, load-bearing distribution to
soils marsh clam/oyster fill underlying
lands shell , soft soils.
incinerator
ash
Table 8-7.2 Applicability of Foundation Soil Improvement for Different Structures and Soil Types
(for Efficient Use of Shallow Foundations)
Category of Structure Permissible Load Intensity/ Usual Probability of Advantageous Use of Soil Improvement
Structure Settlement Bearing Pressure Techniques
Required (tsf)
Loose Soft Alluvial Old, Inorganic
Cohesionless Deposits Soils
Soils
High rise/ more than Small<25-50mm High ( 3-1 ) High Unlikely Low
Office/Apartment six stories
Frame or load Medium rise 3-6 Small<25-50mm Moderate (2) High Low Good
bearing stories
construction Low rise Small<25-50mm Low ( 1-2 ) High Good High
1-3 stories
Large span w/heavy Small<25-50mm Variable/ high local High Unlikely Low
Industrial machines, Differential concentrations to >4.
cranes;process and Settlement Critical
power plants
Framed warehouses Moderate Low ( 1-2 ) High Good High
& factories
Covered storage, Low to moderate Low ( <2 ) High Good High
storage rack
systems, production
areas
Water /waste water Moderate Low <150 High, if needed High High
Others treatment plants Differential (<1.5) at all
settlement important
Storage tanks Moderate to high, High/up to 300 (3) High, if needed High High
Diff. maybe critical at all
Open storage Areas High High/up to 300 (3) High, if needed High High
at all
Enbankments/ Moderate to high High/up to 300 (3) High, if needed High High
Abutments at all
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(Courtesy of J. K. Mitchell, “Innovations in Ground Stabilization,”

Chicago Soil Mechanics Lecture Series, Innovations in Foundation
Construction, Illinois Section, 1972. Reprinted by permission of The
American Society of Civil Engineers, NewYork.)
Figure 8-7.1 Applicable Grain-size Ranges for Different Stabilization Methods
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(Courtesy of J. K. Mitchell, “Innovations in Ground Stabilization,”

Chicago Soil Mechanics Lecture Series, Innovations in Foundation
Construction, Illinois Section, 1972. Reprinted by permission of The
American Society of Civil Engineers, NewYork.)
Figure 8-7.2 Range of particle-size distributions suitable for densification by

vibrocompaction
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Figure 8-7.3 Sand densification using vibratory rollers
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Figure 8-7.4 Relative density as a function of vibrofloat hole spacings
8-7.4 Grouting and Injection. Grouting is a high-cost soil stabilization method

that can be used where there is sufficient confinement to permit required injection
pressures. It is usually limited to zones of relatively small volume and to special prob-
lems. Some of the more important applications are control of groundwater during
construction; void filling to prevent excessive settlement; strengthening adjacent
foundation soils to protect against damage during excavation, pile driving, etc.; soil
strengthening to reduce lateral support requirements; stabilization of loose sands
against liquefaction; foundation underpinning; reduction of machine foundation
vibrations; and filling solution voids in calcareous materials,
8-7.4.1 Grout Types and Groutability. Grouts can be classified as particulate or

chemical. Portland cement is the most widely used particulate grouting material. Grouts
composed of cement and clay are also widely used, and lime-slurry injection is finding
increasing application. Because of the silt-size particles in these materials, they cannot
be injected into the pores of soils finer than medium to coarse sand. For successful
grouting of soils, use the following guide
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Type 1 portland cement, Type III portland cement, and processed bentonite cannot be
used to penetrate soils finer than 30, 40, and 60 mesh sieve sizes, respectively.
Different types of grouts may be combined to both co4rse- and fine-grained soils.
8-7.4.2 Cement and Soil-Cement Grouting. See Reference 25 for cement and
soil-cement grouting.
8-7.4.3 Chemical Grouting. To penetrate the voids of finer soils, chemical grout
must be used. The most common classes of chemical grouts in current use are
silicates, resins, lignins, and acrylamides. The viscosity of the chemical-water solution is
the major factor controlling groutability. The particle-size ranges over which each of
these grout types is effective is shown in figure 8-7.6.
8-7.5 Precompression.
8-7.5.1 Preloading. Earth fill or other material is placed over the site to be
stabilized in amounts sufficient to produce a stress in the soft soil equal to that antici-
pated from the final structures. As the time required for consolidation of the soft soil may
be long (months to years), varying- directly as the square of the layer thickness and
inversely as the hydraulic conductivity, preloading alone is likely to be suitable only for
stabilizing thin layers and with a long period of time available prior to final development
of the site.
8-7.5.1.1 Surcharge Fills. If the thickness of the fill placed for pre-loading is
greater than that required to induce stresses corresponding to structure-induced
stresses, the excess fill is termed a surcharge fill. Although the rate of consolidation is
essentially independent of stress increase, the amount of consolidation varies ap-
proximately in proportion to the stress increase. It follows, therefore, that the preloading
fill plus surcharge can cause a given amount of settlement in shorter time than can the
preloading fill alone. Thus, through the use of surcharge fills, the time required for
preloading can be reduced significantly.
The required surcharge and loading period can be determined using

conventional theories of consolidation. Both primary consolidation and most of the
secondary compression settlements can be taken out in advance by surcharge fills.
Secondary compression settlements may be the major part of the total settlement of
highly organic deposits or old sanitary landfill sites.
Because the degree of consolidation and applied stress vary with depth, it
is necessary to determine if excess pore pressures will remain at any depth after
surcharge removal. If so, further primary consolidation settlement under permanent
loadings would occur. To avoid this occurrence, determine the duration of the surcharge
loading required for points most distant from drainage boundaries.
The rate and amount of preload may be controlled by the strength of the
underlying soft soil. Use berms to maintain foundation stability and place fill in stages to
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permit the soil to gain strength from consolidation. Predictions of the rates of
consolidation strength and strength gain should be checked during fill placement by
means of piezometers, borings, laboratory tests, and in-situ strength tests.
8-7.5.2 Vertical Drains. The required preloading time for most soft clay deposits
more than about 5 to 10 feet thick wilt be large. Providing a shorter drainage path by
installing vertical sand drains may reduce the consolidation time. Sand drains are
typically 10 to 15 inches in diameter and are installed at spacings of 5 to 15 feet. A sand
'blanket or a collector drain system is placed over the surface to facilitate drainage.
Other types of drains available are special cardboard or combination plastic-cardboard
drains. Provisions should be made to monitor pore pressures and settlements with time
to determine when the desired degree of precompression has been obtained.
Both displacement and nondisplacement methods have been used for installing sand
drains. Although driven, displacement drains are less expensive than augered or
"bored" nondisplacement drains; they should not be used in sensitive deposits or in
stratified soils that have higher hydraulic conductivity in the horizontal than in the
vertical direction. Vertical drains are not needed in fibrous organic deposits because the
hydraulic conductivity of these materials is high, but they may be required in underlying
soft clays.
8-7.5.3 Dynamic Consolidation (Heavy Tamping). Densification by heavy

tamping has also been reported as an effective means for improving silts and clays, with
preconstruction settlements obtained about 2 to 3 times the predicted construction
settlement. The time required for treatment is less than for surcharge loading with sand
drains. The method is essentially the same as that used for cohesionless soils, except
that more time is required. Several blows are applied at each location followed by a 1-
to 4-week rest period, then the process is repeated. Several cycles may be required. In
each cycle the settlement is immediate, followed by drainage of pore water. Drainage is
facilitated by the radial fissures that form around impact points and by the use of
horizontal and peripheral drains. Because of the necessity for a time lapse between
successive cycles of heavy tamping when treating silts and clays, a minimum treatment
area of 18,000 to 35,000 square yards (4 to 8 acres) is necessary for economical use of
the method. This method is presently considered experimental in saturated clays.
8-7.5.4 Electroosmosis. Soil stabilization by electro osmosis may be effective

and economical under the following conditions: (1) a saturated silt or silty clay soil, (2) a
normally consolidated soil, and (3) a low pore water electrolyte concentration. Gas
generation and drying and fissuring at the electrodes can impair the efficiency of the
method and limit the magnitude of consolidation pressures that develop. Treatment re-
sults in nonuniform changes in properties between electrodes because the induced
consolidation depends on the voltage, and the voltage varies between anode 'and
cathode. Thus, reversal of electrode polarity may be desirable to achieve a more
uniform stress condition. Electro osmosis may also be used to accelerate the
consolidation under a preload or surcharge fill. The method is relatively expensive.
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Figure 8-7.5 Allowable bearing pressure on cohesionless soil layers stabilized by

vibroflotation
Table 8-7.3 Vibroflotation Patterns for Isolated Footings for an Allowable Bearing
Pressure
Square Footing Vibroflotation Center to Center Pattern

Size (in feet) Points Spacing (in Feet)
4.0 1 --- ---

4.5 – 5.5 2 6.0 Line
6-7 3 7.5 Triangle
7.5-9.5 4 6.0 Square
10-12 5 7.5 Square +1
@ center
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Figure 8-7.6 Soil particle sizes suitable for different grout types and several
concentrations and viscosities shown
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8-7.6 Reinforcement. The supporting capacity of soft, compressible ground
may be increased and settlement reduced through use of compression reinforcement in
the direction parallel to the applied stress or tensile reinforcement in planes normal to
the direction of applied stress. Commonly used compression reinforcement elements
include mix-in-place piles and walls. Strips and membranes are used for tensile
reinforcement, with the latter sometimes used to form a moisture barrier as well.
8-7.6.1 Mix-in-Place Piles and Walls. Several procedures are available, most of
them patented or proprietary, which enable construction of soil-cement or soil-lime in
situ. A special hollow rod with rotating vanes is augered into the ground to the desired
depth. Simultaneously, the stabilizing admixture is introduced. The result is a pile of up
to 2 feet in diameter. Cement, in amounts of 5 to 10 percent of the dry soil weight, is
best for use in sandy soils. Compressive strengths in excess of 200 kips per square foot
can be obtained in these materials. Lime is effective in both expansive plastic clays and
in saturated soft clay. Compressive strengths of about 20 to 40 kips per square foot are
to be expected in these materials. If overlapping piles are formed, a mix-in-place wall
results.
8-7.6.2 Vibroreplacement Stone Columns. A vibroflot is used to make a

cylindrical, vertical hole under its own weight by jetting to the desired depth. Then, to 1-
cubic yard coarse granular backfill, usually gravel or crushed rock ¾ to 1 inch is
dumped in, and the vibroflot is used to compact the gravel vertically and radially into the
surrounding soft soil, The process of backfilling and compaction by vibration is
continued until the densified stone column reaches the surface.
8-7.6.3 Strips and Membranes. Low-cost, durable waterproof membranes, such

as polyethylene, polypropolylene asphalt, and polyester fabric asphalt, have had
application as moisture barriers. At the same time, these materials have sufficient
tensile strength that when used in envelope construction, such as surrounding a
well-compacted, fine-grained soil, the composite structure has a greater resistance to
applied loads than conventional construction with granular materials. The reason is that
any deformation of the enveloped soil layer causes tension in the membrance, which in
turn produces additional confinement on the soil and thus increases its resistance to
further deformation.
In the case of a granular soil where moisture infiltration is not likely to be detrimental to
strength, horizontally bedded thin, flat metal or plastic strips can act as tensile
reinforcing elements. Reinforced earth has been used mainly for earth retaining struc-
tures; however, the feasibility of using reinforce earth slabs to improve the bearing
capacity of granular soil has been demonstrated.
Model tests have shown that the ultimate bearing capacity can be increased by a factor
of 2 to 4 for the same soil unreinforced. For these tests, the spacing between reinforcing
layers was 0.3 times the footing width. Aggregate strip width was 42 percent of the
length of strip footing.
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8-7.6.4 Thermal Methods. Thermal methods of foundation soil stabilization,
freezing or heating, are complex and their costs are high.
8-7.6.4.1 Artificial Ground Freezing. Frozen soil is far stronger and less pervious
than unfrozen ground. Hence, artificial ground freezing has had application for
temporary underpinning and excavation stabilization. More recent applications have
been made to back-freezing soil around pile foundations in permafrost and maintenance
of frozen soil under heated buildings on permafrost. Design involves two classes of
problems; namely, the structural properties of the frozen ground to include the strength
and the stress-strain-time behavior, and thermal considerations to include heat flow,
transfer of water to ice, and design of the refrigeration system.
8-7.6.4.2 Heating. Heating fine-grained soils to moderate temperatures, e.g., 100°C

+, can cause drying and accompanying strength increase if subsequent rewetting is
prevented. Heating to higher temperatures can result in significant permanent property
improvements, including decreases in water sensitivity, swelling, and compressibility;
and increases in strength, Burning of liquid or gas fuels in boreholes or injection of hot
air into 6- to 9-inch-diameter boreholes can produce 4- to 7-foot-diameter strengthened
zones, after continuous treatment for about 10 days. Dry or partly saturated weak
clayey soils and loess are well suited for this type of treatment, which is presently
regarded as experimental.
8-7.7 Miscellaneous Methods.
8-7.7.1 Remove and Replace. Removal of poor soil and replacement with the
same soil treated by compaction, with or without admixtures, or by a higher quality ma-
terial offer an excellent opportunity for producing high-strength, relatively
incompressible, uniform foundation conditions. The cost of removal and replacement of
thick deposits is high because of the need for excavation and materials handling,
processing, and recompaction. Occasionally, an expensive dewatering system also may
be required. Excluding highly organic soils, pests, and sanitary landfills, virtually any
inorganic soil can be processed and treated so as to form and acceptable structural fill
material.
8-7.7.2 Lime Treatment. This treatment of plastic fine-grained soils can produce
high-strength, durable materials. Lime treatment levels of 3 to 8 percent by weight of dry
soil are typical.
8-7.7.3 Portland Cement. With treatment levels of 3 to 10 percent by dry weight,

portland cement is particularly well suited for low-plasticity soils and sand soils.
8-7.7.4 Stabilization Using Fills. At sites underlain by soft, compressible soils

and where filling is required or possible to establish the final ground elevation,
load-bearing structural fills can be used to distribute the stresses from light structures.
Compacted sands and gravels are well suited for this application as are also fly ash,
bottom ash, slag, and various lightweight aggregates, such as expended shale, clam
8-104
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and oyster shell, and incinerator ash. Admixture stabilizers may be incorporated in
these materials to increase their strength and stiffness.
Clam and oyster shells as a structural fill material over soft marsh deposits represent a
new development. The large deposits of clam and oyster or reef shells that are available
ha the Gulf States coastal areas can be mined and transported short distances
economically. Clamshells are ¾, to 1 ½ inch in diameter, whereas, oyster shells, which
are coarser and more elongated, are 2 to 4 inches in size. When dumped over soft
ground, the shells interlock; if there are fines and water present, some cementation
develops owing to the high calcium carbonate (>90 percent) content in the loose state,
the shell unit weight is about 63 pounds per square foot; after construction, it is about 95
pounds per square foot. Shell embankments "float" over very soft ground; whereas,
conventional fills would sink out of sight. About a 5-foot-thick layer is required to be
placed in a single lift. The only compaction used is from the top of the lift, so the upper
several inches are more tightly knit and denser than the rest of the layer.
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CHAPTER 9
DEWATERING AND GROUNDWATER CONTROL
9-1 INTRODUCTION

develop methods and details for to dewater or control groundwater during construction
of excavations, walls, slopes and foundations.
9-1.2.1.1.1 Scope. This Geotechnical criteria should be applied to all projects for the
military services. The questions of how to control and dewater can be
answered and safety aspects investigated. The following topics are
discussed in the reference.
Excavations requiring drainage.
Seepage control.
Seepage cutoffs.
Control of surface waters.
Sheet-pile cofferdams.
Foundation underdrainage and waterproofing.
9-1.3 References. The main reference for this chapter is Reference 43, U.S.
Army Corps of Engineers, TM 5-818-5, NAVFAC P-518, AFM 88-5, Chapter 6,
Dewatering and Groundwater Control,
http://www.hnd.usace.army.mil/techinfo/index.asp.
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CHAPTER 10
FOUNDATIONS IN EXPANSIVE SOILS
10-1 INTRODUCTION

develop methods and details for existing or new foundations that are to be constructed
in expansive soils.
military services. The questions of how to construct and remedies for foundations
constructed in expansive soils are explained in detail. Every project that is earth related
should be checked for soils that are potentially or are expansive. More damage to
roads and structures is attributed to not addressing this potentially devastating problem
than any other single soil related problem.
10-1.3 References. The main references for this chapter are References 23 and
21. Reference 23, is a list of publications at AMERICAN SOCIETY OF CIVIL
ENGINEERS/GEO-INSTITUTE using “Expansive Soils” as search tool. The list is in the
Appendix A. Reference 21, “2000 International Building Code (IBC) Chapter 18,
http://www.icbo.org/.
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CHAPTER 11
FOUNDATIONS IN AREAS OF SIGNIFICANT FROST PENETRATION
11-1 INTRODUCTION
11-1.1 Types Of Areas. For purposes of this document, areas of significant frost
penetration may be defined as those in which freezing temperatures occur in the ground
to sufficient depth to be a significant factor in foundation design. Detailed requirements
of engineering design in such areas are given in the Arctic and Subarctic Construction
series, TM 5-852-1 through 9/AFM 88-19, Chapters I through 9, respectively. Areas of
significant frost penetration may be subdivided as follows-
11-1.1.1 Seasonal Frost Areas. Significant ground freezing occurs in these areas
during the winter season, but without development of permafrost1. In northern Texas,
significant seasonal frost occurs about 1 year in 10. A little farther north it is experienced
every year. Depth of seasonal freezing increases northward with decreasing mean
annual and winter air temperatures until permafrost is encountered. With still further
decrease of air temperatures, the depth of annual freezing and thawing becomes
progressively thinner.
The layer extending through both seasonal frost and permafrost areas in
which annual freeze-thaw cycles occur is called the annual frost zone. In permafrost
areas, it is also called the active layer. It is usually not more than 10 feet thick, but it
may exceed 20 feet. Under conditions of natural cover in very cold permafrost areas, it
may be as little as 1 foot thick. Its thickness may vary over a wide range even within a
small area. Seasonal changes in soil properties in this layer are caused principally by
the freezing and thawing of water contained in the soil. The water may be permanently
in the annual frost zone or may be drawn into it during the freezing process and
released during thawing. Seasonal changes are also produced by shrinkage and
expansion caused by temperature changes.
11-1.1.2 Permafrost Areas. In these areas, perennially frozen ground is found

below the annual frost zone. In North America, permafrost is found principally north of
latitudes 55 to 65 degrees, although patches of permafrost are found much farther south
on mountains where the temperature conditions are sufficiently low, including some
mountains in the contiguous 48 States. In areas of continuous permafrost, perennially
frozen ground is absent only at a few widely scattered locations, as at the bottoms of
rivers and lakes. In areas of discontinuous permafrost, permafrost is found intermittently
in various degrees. There may be discontinuities in both horizontal and vertical extent.
Sporadic permafrost is permafrost occurring in the form of scattered permafrost islands.
In the coldest parts of the Arctic, the ground may be frozen as deep as 2000 feet.
The geographical boundaries between zones of continuous permafrost,

discontinuous permafrost, and seasonal frost without permafrost are poorly defined but
are represented approximately in figure 11-1
11-1
UFC 3-220-01
14 May 2002
11-1.2 General Nature Of Design Problems. Generally, the design of
foundations in areas of only seasonal frost follows the same procedure as where frost is
insignificant or absent, except that precautions are taken to avoid winter damage from
frost heave or thrust. In the spring, thaw and settlement of frost-heaved material in the
annual frost zone may occur differentially, and a very wet, poorly drained ground
condition with temporary but substantial loss of shear strength is typical.
11-1.2.1 Permafrost Areas. In permafrost areas, the same annual frost zone
phenomena occur, but the presence of the underlying permafrost introduces additional
potentially complex problems. In permafrost areas, heat flow from buildings is a
fundamental consideration, complicating the design of all but the simplest buildings. Any
change from natural conditions that results in a warming of the ground beneath a
structure can result in progressive lowering of the permafrost table over a period of
years that is known as degradation. If the permafrost contains ice in excess of the
natural void or fissure space of the material when unfrozen, progressive downward thaw
may result in extreme settlements or overlying soil and structures. This condition can be
very serious because such subsidence is almost invariably differential and hence very
damaging to a structure. Degradation may occur not only from building heat but also
from solar heating, as under pavements, from surface water and groundwater flow, and
from underground utility lines. Proper insulation will prevent degradation in some
situations, but where a continuous, source of heat is available, thaw will in most cases
eventually occur.
11-1.2.2 Seasonal Frost Areas. The more intense the winter cooling of the frozen
layer in the annual frost zone and the more rapid the rate of frost heave, the greater the
intensity of uplift forces in piles and foundation walls. The lower the temperature of
permafrost, the higher the bearing capacity and adfreeze strength that can be
developed, the lower the creep deformation rate under footings and in tunnels and
shafts, and the faster the freeze-back of slurried piles. Dynamic response char-
acteristics of foundations are also a function of temperature. Both natural and
manufactured construction materials experience significant linear and volumetric
changes and may fracture with changes in temperature. Shrinkage cracking of flexible
pavements is experienced in all cold regions. In arctic areas, patterned ground is
widespread, with vertical ice wedges formed in the polygon boundaries. When
underground pipes, power cables, or foundation elements cross shrinkage cracks,
rupture may occur during winter contraction. During summer and fall, expansion of the
warming ground may cause substantial horizontal forces if the cracks have become
filled with soil or ice.
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Figure 11-1 Frost and permafrost in North America
11-3
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Engineering problems may also arise from such factors as the difficulty of
excavating and handling ground when it is frozen; soft and wet ground conditions during
thaw periods; surface and subsurface drainage problems; special behavior and handling
requirements for natural and manufactured materials at low temperatures and under
freeze-thaw action; possible ice uplift and thrust action on foundations; condensation on
cold floors; adverse conditions of weather, cost, and sometimes accessibility; in the
more remote locations, limited local availability of materials, support facilities, and labor;
and reduced labor efficiency at low temperatures.
Progressive freezing and frost heave of foundations may also develop

under refrigerated warehouses and other facilities where sustained interior below-
freezing temperatures are maintained. The design procedures and technical guidance
outlined in this chapter may be adapted to the solution of these design problems.
11-2 FACTORS AFFECTING DESIGN OF FOUNDATION
11-2.1 Physiography and Geology. Physiographic and geology details in the

area of the proposed construction are a major factor determining the degree of difficulty
that may be encountered in achieving a stable foundation. For example, pervious layers
in fine-grained alluvial deposits in combination with copious groundwater supplies from
adjacent higher terra-in may produce very high frost-heave potential, but clean,
free-draining sand and gravel terrace formations of great depth, free of excess ice, can
provide virtually trouble-free foundation conditions.
11-2.2 Temperature. The most important factors contributing to the existence of

adverse foundation conditions in seasonal frost and permafrost regions are cold air
temperatures and the continual changes of temperature between summer and winter,
Mean annual air temperatures usually have to be 2° to 8°F below freezing for
permafrost to be present, although exceptions may be encountered both above and
below this range. Ground temperatures, depths of freeze and thaw, and thickness of
permafrost are the product of many variables including weather, radiation, surface
conditions, exposure, snow and vegetative cover, and insulating or other special
courses. The properties of earth materials that determine the depths to which
freezing-and-thawing temperatures will penetrate below the ground surface under given
temperature differentials over a given time are the thermal conductivity, the volumetric
specific heat capacity, and the volumetric latent heat of fusion. These factors in turn
vary with the type of material, density, and moisture content. Figure 11-2 shows how
ground temperatures vary during the freezing season in an area of substantial seasonal
freezing having a mean annual temperature of 37°F (Limestone, Maine), and figure 18-3
shows similar data for a permafrost area having a mean annual temperature of 26°F
(Fairbanks, Alaska).
For the computation of seasonal freeze or thaw penetration, freezing-and-

thawing indexes are used based upon degree-days relative to 32°F, For the average
permanent structure, the design indexes should be those for the coldest winter and the
warmest summer in 30 years of record. This criterion is more conservative than that
used for pavements because buildings and other structures are less tolerant of
11-4
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movement than pavements. It is important to note that indexes found from weather
records are for air about 4.5 feet above the ground; the values at ground surface, which
determine freeze-and-thaw effects, are usually different, being generally smaller for
freezer conditions and larger for thawing where surfaces are exposed to the sun. The
surface index, which is the index determined for temperature immediately below the
surface, is n times the air index, where n is the correction factor. Turf, moss, other
vegetative cover, and snow will reduce the n value for temperatures at the soil surface
in relation to air temperatures and hence give less freeze or thaw penetration for the
same air freezing or thawing index. Values of n for a variety of conditions are given in
TM 5-852-41AFM 88-19, Chapter 4.
More detailed information on indexes and their computation is presented

in TM 5-852-WAFM 88-19, Chapter 6. Maps showing distribution of index values are
presented in TM 5-852-IIAFNI 88-19, Chapter 1, and TM 5-818-2/AFM 88-6, Chapter 4.
11-2.3 Foundation Materials. The foundation design decisions may be critically

affected by the foundation soil, ice, and rock conditions.
11-2.3.1 Soils. The most important properties of soils affecting the performance of
engineering structures under seasonal freeze-thaw action are their frost-heaving
characteristics and their shear strengths on thawing. Criteria for frost susceptibility
based on percentage by weight finer than 0.02 millimeter are presented in Reference
20. These criteria have also been developed for pavements. Heave potential at the
lower limits of frost susceptibility determined by these criteria is not zero, although it is
generally low to negligible from the point of view of pavement applications. Applicability
of these criteria to foundation design will vary, depending upon the nature and
requirements of the particular construction. Relative frost-heaving qualities of various
soils are shown in Reference 20.
11-2.3.1.1 Permafrost Soils. Permafrost soils cover the entire range of types from
very coarse, bouldery glacial drift to clays and organic soils. Strength properties of
frozen soils are dependent on such variables as gradation, density, degree of
saturation, ice content, unfrozen moisture content, temperature, dissolved soils, and
rate of loading. Frozen soils characteristically exhibit creep at stresses as low as 5 to 10
percent of the rupture strength in rapid loading. Typical strength and creep relationships
are described in TM 5-852-4/AFM 88- 19, Chapter 4.
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Figure 11-2 Ground temperatures during freezing season in Limestone, Maine
Figure 11-3 Ground temperatures during freezing season in Fairbanks, Alaska

11-6
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11-2.3.2 Ice. Ice that is present in the ground in excess of the normal void space is
most obvious as more or less clear lenses, veins or masses easily visible in cores, and
test pits or excavations, but it may also be so uniformly distributed that it is not readily
apparent to the unaided eye. In the annual frost zone, excess ice is formed by the
common ice segregation process, although small amounts of ice may also originate
from filling of shrinkage cracks; ice formations in this zone disappear each summer.
Below the annual frost zone, excess ice in permafrost may form by the same type of ice
segregation process as above, may occur as vertical ice wedges formed by a horizontal
contraction-expansion process, or may be "fossil ice" buried by land slides or other
events. Although most common in fine-grained soils, substantial bodies of excess ice
are not uncommon in permanently frozen clean, granular deposits. The possible
adverse effects of excess ice are discussed in paragraph 11-1.4.1(2)(6).
11-2.3.3 Rock. Bedrock subject to freezing temperatures should never be

assumed problem-free in absence of positive subsurface information. In seasonal frost
areas, mud seams in bedrock or concentrations of fines at or near the rock surface, in
combination with the ability of fissures in the rock to supply large quantities of water for
ice segregation, frequently cause severe frost heave. In permafrost areas, very
substantial quantities of Ice are often found in bedrock, occurring in fissures and cracks
and along bedding planes.
11-2.4 Water Conditions
11-2.4.1 Free Water. If free water drawn to developing ice segregation can be
easily replenished from an aquifer layer or from a water table within a few feet of the
plane of freezing, heave can be large. However, if a freezing soil has no access to free
water beyond that contained in voids of the soil immediately at or below the plane of
freezing, frost heave will necessarily be limited.
11-2.4.2 Free Water in Permafrost Areas. In permafrost areas, the supply of

water available to feed growing ice lenses tends to be limited because of the presence
of the underlying impermeable permafrost layer, usually at relatively shallow depths,
and maximum heave may thus be less than under otherwise similar conditions in
seasonal frost areas. However, uplift forces on structures may be higher because of
lower soil temperatures and consequent higher effective tangential adfreeze strength
values.
11-2.4.3 Soil Water Content. The water content of soil exerts a substantial effect
upon the depth of freeze or thaw penetration that will occur with a given surface freezing
or thawing index. Higher moisture contents tend to reduce penetration by increasing the
volumetric latent heat of fusion as well as the volumetric specific heat capacity. While an
increase in moisture also increases thermal conductivity, the affect of latent heat of
fusion tends to be predominant, TM 5-852-61AFM 88-19, Chapter 6, contains charts
showing thermal conductivity relationships.
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11-2.5 Frost-Heave Forces And Effect Of Surcharge. Frost-heave forces on
structures may be quite large. For some engineering construction, complete prevention
of frost heave is unnecessary and uneconomical, but for most permanent structures,
complete prevention is essential. Under favorable soil and foundation loading
conditions, it may be possible to take advantage of the effect of surcharge to control
heave. It has been demonstrated in laboratory and field experiments that the rate of
frost heaving is decreased by an increase of loading on the freezing plane and that frost
heaving can be completely restrained if sufficient pressure is applied. However, heave
forces normal to the freezing plane may reach more than 10 tons per square foot.
Detailed information on frost-heaving pressures and on the effect of surcharge is
presented in TM 5-852-4/AFM 88-19, Chapter 4.
11-2.6 Type of Structure. The type and uses of a structure affect the foundation
design in frost areas as in other places. Applicable considerations are discussed in TM
5-852-4/AFM 88-19, Chapter 4.
11-3 SITE INVESTIGATIONS
11-3.1 General. In addition to the needed site investigations and data described
in the manuals for nonfrost conditions, design of foundations in areas of significant frost
penetration requires special studies and data because of factors introduced by the
special frost-related site conditions. Detailed site investigation procedures applicable for
arctic and subarctic areas are described in TM 5-852-2/AFM 88-19, Chapter 2, and TM
5-852-4/AFM 88-19, Chapter 4, and may be adapted or reduced in scope, as
appropriate, in areas of less severe winter freezing. Methods of terrain evaluation in
arctic and subarctic regions are given in TM 5-852-8.
11-3.2 Remote Sensing and Geophysical Investigations. These techniques

are particularly valuable in selection of the specific site location, when a choice is
possible. They can give clues to subsurface frozen ground conditions because of effects
of ground freezing upon such factors as vegetation, land wastage, and soil and rock
electrical and acoustical properties.
11-3.3 Direct Site Investigations. The number and extent of direct site
explorations should be sufficient to reveal in detail the occurrence and extent of frozen
strata, permafrost and excess ice including ice wedges, moisture contents and
groundwater, temperature conditions in the ground, and the characteristics and
properties of frozen materials and unfrozen soil and rock.
11-3.3.1 Bedrock. The need for investigation of bedrock requires special

emphasis because of the possibilities of frost heave or ice inclusions. Bedrock in
permafrost areas should be drilled to obtain undisturbed frozen cores whenever ice
inclusions could affect the foundation design or performance.
11-3.3.2 Discontinuous Permafrost. In areas of discontinuous permafrost, sites

require especially careful exploration and many problems can be avoided by proper site
selection. As an example, the moving of a site 50 to 100 feet from its planned position
11-8
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may place a structure entirely on or entirely off permafrost, in either case simplifying
foundation design. A location partly on and partly off permafrost might involve an
exceptionally difficult or costly design.
11.3.3.3 Frozen Soils. Because frozen soils may have compressive strengths as
great as that of a lean concrete and because ice in the ground may be melted by
conventional drilling methods, special techniques are frequently required for subsurface
exploration in frozen materials. Core drilling using refrigerated drilling fluid or air to
prevent melting of ice in the cores provides specimens that are nearly completely
undisturbed and can be subjected to the widest range of laboratory tests. By this
procedure, soils containing particles up to boulder size and bedrock can be sampled,
and ice formations can be inspected and measured. Drive sampling is feasible in frozen
fine-grained soils above about 25°F and is often considerably simpler, cheaper, and
faster. Samples obtained by this procedure are somewhat disturbed, but they still permit
ice and moisture content determinations. Test pits are very useful in many situations.
For frozen soils that do not contain very many cobbles and boulders, truck-mounted
power augers using tungsten carbide cutting teeth will provide excellent service where
classification, gradation, and rough ice-content information will, be sufficient. In both
seasonal frost and permafrost areas, a saturated soil condition is common in the upper
layers of soil during the thaw season, so long as there is frozen, impervious soil still
underlying. Explorations attempted during the thaw season are handicapped and
normally require eased boring through the thawed layer. In permafrost areas, it is
frequently desirable to carry out explorations during the colder part of the year, when
the annual frost zone is frozen, than during the summer.
In subsurface explorations that encounter frozen soil, it is important that

the boundaries of frozen and thawed zones and the amount and mode of ice oc-
currence be recorded. Materials encountered should be identified in accordance with
the Unified Soil Classification System (ASTM D 2487), including the frozen soil
classification system, as presented in TM 5-852-2/AFM 88-19, Chapter 2.
11-3.3.4 Seasonal Frost Areas. In seasonal frost areas, the most essential site
date beyond those needed for nonfrost foundation design are the design freezing index
and the soil frost-susceptibility characteristics. In permafrost areas, as described in TM
5-852-4/AFM 88-19, Chapter 4, the date requirements are considerably more complex;
determination of the susceptibility of the foundation materials to settlement on thaw and
of the subsurface temperatures and thermal regime will usually be the most critical
special requirements. Ground temperatures are measured most commonly with
copper-constantan thermocouples or with thermistors.
11-3.3.5 Special Site Investigations. Special site investigations, such as

installation and testing of test piles, or thaw-settlement tests may be required.
Assessment of the excavation characteristics of frozen materials may also be a key
factor in planning and design.
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11-4 FOUNDATION DESIGN
11-4.1 Selection of Foundation Type. Only sufficient discussion of the

relationships between foundation conditions and design decisions is given below to
indicate the general nature of the problems and solutions. Greater detail is given in TM
5-852-4/AFM 88-19, Chapter 4.
11-4.1.1 Foundations in Seasonal Frost Areas. When foundation materials

within the maximum depth of seasonal frost penetration consist of clean sands and
gravels or other non-frost-susceptible materials that do not develop frost heave or
thrust, or thaw weakening, design in seasonal frost areas may be the same as for
nonfrost regions, using conventional foundations, as indicated in figure 11-4. Effect of
the frost penetration on related engineering aspects, such as surface and subsurface
drainage systems or underground utilities, may need special consideration. Thorough
investigation should be made to confirm the nonfrost susceptibility of subgrade soils
prior to design for this condition.
When foundation materials within the annual frost zone are

frost-susceptible, seasonal frost heave and settlement of these materials may occur. In
order for ice segregation and frost heave to develop, freezing temperatures must
penetrate into the ground, soil must be frost-susceptible, and adequate moisture must
be available. The magnitude of seasonal heaving is dependent on such factors as rate
and duration of frost penetration, soil type and effective pore size, surcharge, and
degree of moisture availability. Frost heave in a freezing season may reach a foot or
more in silts and some clays if there is an unlimited supply of moisture available. The
frost heave may lift or tilt foundations and structures, commonly differentially, with a
variety of possible consequences. When thaw occurs, the ice within the frost-heaved
soil is changed to water and escapes to the ground surface or into surrounding soil,
allowing overlying materials and structures to settle. If the water is released by thaw
more rapidly than it can be drained away or redistributed, substantial loss in soil
strength occurs. In seasonal frost areas, a heaved foundation may or may not return to
its before-heave elevation. Friction on lateral surface or intrusion of softened soil into
the void space below the heaved foundation members may prevent full return.
Successive winter seasons may produce progressive upward movement. Therefore,
when the soils within the maximum depth of seasonal frost penetration are
frost-susceptible, foundations in seasonal frost areas should be supported below the
annual frost zone, using conventional foundation elements protected against uplift
caused by adfreeze grip and against frost overturning or sliding forces, or the structure
should be placed on compacted non-frost-susceptible fill designed to control frost
effects (fig 11-4).
11-4.1.2 Foundations in Permafrost Areas. Design on permafrost areas must

cope with both the annual frost zone phenomena described in paragraph 11-4.1.1(1)
and those peculiar to permafrost.
11-4.1.2.1 Permafrost Foundations not Adversely Affected by Thaw. Whenever

possible, structures in permafrost areas should be located on clean, non-frost-sus-
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ceptible sand or gravel deposits or rock that are free of ground ice or of excess
interstitial ice, which would make the foundation susceptible to settlement on thaw.
Such sites are ideal and should be sought whenever possible. Foundation design under
these conditions can be basically identical with temperate zone practices, even though
the materials are frozen below the foundation support level, as has been demonstrated
in Corps of Engineers construction in interior Alaska. When conventional foundation
designs are used for such materials, heat from the structure will gradually thaw the
foundation to progressively greater depths over an indefinite period of years. In 5 years,
for example, thaw may reach a depth of 40 feet. However, if the foundation materials
are not susceptible to settlement on thaw, there will be no effects on the structure from
such thaw. The possible effect of earthquakes or other dynamic forces after thawing
should be considered.
11-4.1.2.2 Permafrost Foundations Adversely Affected By Thaw. When

permafrost foundation materials containing excess ice are thawed, the consequences
may include differential settlement, slope instability, development of water-filled surface
depressions that serve to intensity thaw, loss of strength of frost loosened foundation
materials under excess moisture conditions, development of underground uncontrolled
drainage channels in permafrost materials susceptible to bridging or piping, and other
detrimental effects. Often, the results may be catastrophic. For permafrost soils and
rock containing excess ice, design should consider three alternatives, as indicated in
figure 18-4: maintenance of stable thermal regime, acceptance of thermal regime
changes, and modification of foundation conditions prior to construction. These
approaches are discussed in TM 5-852-4/AFM 88-19, Chapter 4. Choice of the specific
foundation type from among those indicated in figure 18-4 can be made on the basis of
cost and performance requirements after the development of details to the degree
needed for resolution.
11-4.2 Foundation Freeze and Thaw and Techniques for Control. Detailed
guidance for foundation thermal computations and for methods of controlling freeze-
and-thaw penetration is presented in TM 5-852-4 and TM 5-852-6/AFM 88-19, Chapters
4 and 6, respectively.
11-4.2.1 Design Depth of Ordinary Frost Penetration. For average permanent

structures, the depth of frost penetration assumed for design, for situations not affected
by heat from a structure, should be that which will occur in the coldest year in 30. For a
structure of a temporary nature or otherwise tolerant of some foundation movement, the
depth of frost penetration in the coldest year in 10 or even that in the mean winter may
be used, as may be most applicable. The design depth should preferably be based on
actual measurements, or on computations if measurements are not available. When
measurements are available, they will almost always need to be adjusted by compu-
tations to the equivalent of the freezing index selected as the basis for design, as
measurements will seldom be available for a winter having a severity equivalent to that
value.
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14 May 2002
Figure 11-4 Design Alternatives
The frost penetration can be computed using the design freezing index
and the detailed guidance given in TM 5-852-6/AFM 88-19, Chapter 6. For paved areas
kept free of snow, approximate depths of frost penetration may be estimated from TM-
TM 852-3/AFM 88-19, Chapter 3, entering the appropriate chart with the air freezing
index directly, A chart is also presented in TM 5-852-4/AFM 88-19, Chapter 4, from
which approximate depths of frost penetration may be obtained for a variety of surface
conditions, using the air freezing index in combination with the appropriate surface
index/air correction factor (n-factor).
In the more developed parts of the cold regions, the building codes of
most cities specify minimum footing depths, based on many years of local experience;
these depths are invariably less than the maximum observed frost penetrations. The
code values should not he assumed to represent actual frost penetration depths. Such
local code values have been selected to give generally suitable results for the types of
construction, soil moisture, density, and surface cover conditions, severity of freezing
conditions, and building heating conditions that are common in the area. Unfortunately,
the code values may be inadequate or inapplicable under conditions that differ from
those assumed in formulating the code, especially for unheated facilities, insulated
foundations, or especially cold winters. Building codes in the Middle and North Atlantic
States and Canada frequently specify minimum footing depths that range from 3 to 5
feet. If frost penetrations of this order of magnitude occur with fine silt and clay-type
soils, 30 to 100 percent greater frost penetration may occur in well-drained gravels
under the same conditions, With good soil data and a knowledge of local conditions,
11-12
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computed values for ordinary frost penetration, unaffected by building heat, may be
expected to be adequately reliable, even though the freezing index may have to be
estimated from weather data from nearby stations. In remote areas, measured frost
depths may be entirely unavailable.
11-4.2.2 Design Depth of Ordinary Thaw Penetration. Estimates of seasonal

thaw penetration in permafrost areas should be established on the same statistical
measurement bases as outlined in subparagraph a(2)(b) above for seasonal frost
penetration. The air thawing index can be converted to a surface thawing index by
multiplying it by the appropriate thawing conditions n-factor from TM 5-852-4/AFM
88-19, Chapter 4. The thaw penetration can then be computed using the detailed
guidance given in TM 5-852-6/AFM 88-19, Chapter 6. Approximate values of thaw
penetration may also be estimated from a chart of the air thawing index versus the
depth of thaw in TM 5-852-4/AFM 88-19, Chapter 4. Degradation of permafrost will re-
sult if the average annual depth of thaw penetration exceeds the average depth of frost
penetration.
11-4.2.3 Thaw or Freeze Beneath Structures. Any change from natural

conditions, which results in a warming of the ground beneath a structure, can result in
progressive lowering of the permafrost table over a period of years. Heat flow from a
structure into underlying ground containing permafrost can only be ignored as a factor in
the long-term structural stability when the nature of the permafrost is such that no
settlement or other adverse effects will result. The source of heat may he not only the
building heat but also the solar radiation, underground utilities, surface water, and
groundwater flow. TM 5852-4 and TM 5-852-6/AFM 88-19, Chapters 4 and 6,
respectively, provide guidance on procedures for estimating the depth of thaw under a
heated building with time.
The most widely employed, effective and economical means of

maintaining a stable thermal regime under a heated structure, without degradation of
permafrost, is by use of a ventilated foundation. Under this scheme, provision is made
for the circulation of cold water air between the insulated floor and the underlying
ground. The same scheme can be used for the converse situation of a refrigerated
facility supported on unfrozen ground. The simplest way of providing foundation
ventilation is by providing an open space under the entire building, with the structure
supported on footings or piling. For heavier floor loadings, ventilation ducts below the
insulated floor may be used, Experience has shown that ventilated foundations should
be so elevated, sloped, oriented, and configured as to minimize possibilities for
accumulation of water, snow, ice, or soil in the ducts. Guidance in the thermal analysis
of ventilated foundations, including the estimation of depths of summer thaw in support-
ing materials and design to assure winter refreezing, is given TM 5-852-4 and TM
5-852-6/AFM 88-19, Chapters 4 and 6, respectively.
Natural or forced circulation thermal piles or refrigeration points may also

be used for overall foundation cooling and control of permafrost degradation.
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11-4.2.4 Foundation Insulation. Thermal insulation may be used in foundation
construction in both seasonal frost and permafrost areas to control frost penetration,
frost heave, and condensation, to conserve energy, to provide comfort, and to enhance
the effectiveness of foundation ventilation. Unanticipated loss of effectiveness by
moisture absorption must be avoided. Cellular glass should not be used where it will be
subject to cyclic freezing and thawing in the presence of moisture. Insulation thickness
and placement may be determined by the guidance given in TM 5-852-4 and TM
5-852-6/AFM 88-19, Chapters 4 and 6, respectively.
11-4.2.5 Granular Mats. In areas of significant seasonal frost and permafrost, a

mat of non-frost-susceptible granular material may be used to moderate and control
seasonal freeze-and-thaw effects in the foundation, to provide drainage under floor
slabs, to provide stable foundation support, and to provide a dry, stable working
platform for construction equipment and personnel, Seasonal freezing-and-thawing
effects may be totally or partially contained within the mat. When seasonal effects are
only partially contained, the magnitude of seasonal frost heave is reduced through both
the surcharge effect of the mat and the reduction of frost penetration into underlying
frost-susceptible soils, TM 5-852-4/AFM 88-19, Chapter 4, provides guidance in the
design of mats.
11-4.2.6 Solar Radiation Thermal Effects. The control of summer heat input from
solar radiation is very important in foundation design in permafrost areas. Corrective
measures that may be employed include shading, reflective paint or other surface
material, and sometimes live vegetative covering. In. seasonal frost areas, it may
sometimes be advantageous to color critical surfaces black to gain maximum effect of
solar heat in reducing winter frost problems. TM 5-852-4/AFM 88-19, Chapter 4,
provides guidance on the control of solar radiation thermal effects.
11-4.3 Control of Movement and Distortion. The amount of movement and

distortion that may be tolerated in the support structure must be established and the
foundation must be designed to meet these criteria. Movement and distortion of the
foundation may arise from seasonal upward, downward, and lateral displacements, from
progressive settlement arising from degradation of permafrost or creep deflections
under load, from horizontal seasonal shrinkage and expansion caused by temperature
changes, and from creep flow, or slide of material on slopes. Heave may also occur on
a non-seasonal basis if there is progressive freezing in the foundation, as under a
refrigerated building or storage tank. If the subsurface conditions, moisture availability,
frost penetration, imposed loading, or other factors vary in the foundation area, the
movements will be non-uniform. Effects on the foundation and structure may include
various kinds of structural damage, jamming of doors and windows, shearing of utilities,
and problems with installed equipment.
11-4.3.1 Frost-Heave And Thaw-Settlement Deformations. Frost heave acts in

the same direction as the heat flow or perpendicular to the freezing plane. Thus, a slab
on a horizontal surface will be lifted directly upward, but a vertical retaining wall may
experience horizontal thrust. Foundation members, such as footings, walls, piles, and
anchors, may also be gripped on their lateral surfaces and heaved by frost forces acting
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in tangential shear. Figure 18-5 shows an example of frost-heave forces developed in
tangential shear on timber and steel pipe piles restrained against upward movement.
In rivers, lakes, or coastal water bodies, foundation members to which

floating ice may adhere may also be subject to important vertical forces as water levels
fluctuate.
11-4.3.2 Controlling Frost Heave. Among methods that can be used to control
detrimental frost action effects are placing non-frost-susceptible soils in the depth
subject to freezing to avoid frost heave or thrust; providing sufficient embedment or
other anchorage to resist movement under the lifting forces; providing sufficient loading
on the foundation to counterbalance upward forces: isolating foundation members from
heave forces; battering tapering members within the annual frost zone to duce
effectiveness of heave grip; modifying soil frost susceptibility; in seasonal frost areas
only, taking advantage of natural heat losses from the facility to minimize adfreeze and
frost heave; or cantilevering building attachments, e.g., porches and stairs, to its main
foundation.
11-4.3.3 Permafrost. In permafrost areas, movement and distortion caused by

thaw of permafrost can be extreme and should be avoided by designing for full and
positive thermal stability whenever the foundation would be adversely affected by thaw,
If damaging thaw settlement should start, a mechanical refrigeration system may have
to be installed in the foundation or a program of continual jacking may have to be
adopted for leveling of the structure, Discontinuance or reduction of building heat can
also be effective. Detailed guidance is given in TM 5-8,92-4/AFM 88-19, Chapter 4.
11-4.3.4 Creep Deformation. Only very small loads can be carried on the
unconfined surface of ice-saturated frozen soil without progressive deformation. The al-
lowable long-term loading increases greatly with depth but may be limited by
unacceptable creep deformation well short of the allowable stress level determined from
conventional short-term test. Present practice is to use large footings with low unit
loadings; support footings on mats of well-drained non-frost-susceptible granular
materials, which reduce stresses on underlying frozen materials to conservatively low
values; or place foundations at sufficient depth in the ground so that creep is effectively
minimized. Pile foundations are designed to not exceed sustainable adfreeze bond
strengths. In all cases, analysis is based on permafrost temperature at the warmest time
of the year.
11-4.4 Vibration Problems and Seismic Effects. Foundations supported on

frozen ground may be affected by high stress-type dynamic loadings, such as shock
loadings from high-yield explosions, by lower stress pulse-type loadings as from
earthquakes or impacts, or by relatively low-stress, relatively low-frequency,
steady-state vibrations. In general, the same procedures used for non-frozen soil
conditions are applicable to frozen soils. Design criteria are given in TM 5-809-10/AFM
88-3, Chapter 13: TM 5-856-4 and TM 5-852-4/AFM 88-19, Chapter 4. These manuals
also contain references to sources of data on the general behavior and properties of
non-frozen soils under dynamic load and discuss types of laboratory and field tests
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available. However, design criteria, test techniques, and methods of analysis are not yet
firmly established for engineering problems of dynamic loading of foundations,
Therefore, the senior engineer of the organization should be notified upon initiation of
design and should participate in establishing criteria and approach and in planning field
and laboratory tests.
All design approaches require knowledge of the response characteristics

of the foundation materials, frozen or nonfrozen, under the particular load involved. As
dynamic loadings occur in a range of stresses, frequencies, and types (shock, pulse,
steady-state vibrations, etc.), and the response of the soil varies depending upon the
load characteristics, the required data must be obtained from tests that produce the
same responses as the actual load. Different design criteria are used for the different
types of dynamic loading, and different parameters are required. Such properties as
moduli, damping ability, and velocity of propagation vary significantly with such factors
as dynamic stress, strain, frequency, temperature, and soil type and condition. TM
5-852-4/AFM 88-19, Chapter 4, discusses these properties for frozen ground.
11-4.5 Design Criteria for Various Specific Engineering Features. In addition

to the basic considerations outlined in the preceding paragraphs of this chapter, the
design of foundations for frost and permafrost conditions requires application of detailed
criteria for specific engineering situations. Guidance for the design of various specific
features, construction consideration, and monitoring of performance of foundation is
presented in TM 5-852-4/AFM 88-19, Chapter 4.
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Figure 11-5 Heave Force Test

(Average tangential Adfreeze bond stress versus time, and timber and steel pipe piles with silt-water
slurry in dry excavated holes. Piles were installed within annual frost zone only, over permafrost, to
depths from ground surface of 3.6 to 6.5 feet)
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CHAPTER 12
DESIGN FOR EQUIPMENT VIBRATIONS AND SEISMIC LOADINGS
12-1 INTRODUCTION
12-1.1 Introduction. Vibrations caused by steady state or transient loads may

cause settlement of soils, excessive motions of foundations or structures, or discomfort
or distress to personnel. Some basic design factors for dynamic loading retreated in this
action. Design of a foundation system incorporates the equipment lading, subsurface
material properties, and geometrical proportions in some analytical procedure.
12-1.1.1 Vibration Criteria. Figure 12-1 shows some limiting values of vibration
criteria for machines, structures, and personnel. On this diagram, vibration
characteristic: are described in terms of frequency and peak amplitudes of acceleration,
velocity, or displacement. Values of frequency constitute the abscissa of the diagram
and peak velocity is the ordinate. Values of peak displacement are read along one set
of diagonal lines and labeled in displacement (inches), and peak acceleration values are
read along the other set of diagonal lines and labeled in various amounts of g. the
acceleration of gravity. The shaded zones in the upper right-hand corner indicate
possible structural damage to walls by steady-state vibrations. For structural safety
during blasting, limit peak velocity to 2.0 inches, per second and peak acceleration to
0.10g for frequencies exceeding 3 cycles per second. These limits may occasionally
have to be lowered to avoid being excessively annoying to people.
12-1.1.2 Equipment Vibration Criteria. For equipment vibration, limiting criteria

consist of a maximum velocity of 1.0 inch per second up to a frequency of about 30
cycles per second and a peak acceleration of 0.15g alive this frequency, However, this
upper limit is for safety only, and specific criteria must be established for each
installation. Usually, operating limits of equipment are based on velocity criteria; greater
than 0.5 inch per second indicates extremely rough operation and machinery should be
shut down; up to 0.10 inch per second occurs for smooth, well-balanced equipment; and
less than 0.01 inch or second represents very smooth operation.
12-1.1.3 Vibration Affect on Personnel. Figure 12-1 also includes peak velocity
criteria for reaction of personnel to steady-state abrasions. Peak velocities greater than
0.1 inch per second are “troublesome to persons,” and peak velocities of 0.01 inch or
second are just “barely noticeable to persons.” It is significant that persons and
machines respond to equivalent levels of vibration. Furthermore, persons may notice
vibrations that are about 1/100 of the value related to safety of structure.
12-1.2 Single Degree Of Freedom, Damped Forced Systems. Vibrations of

foundation-soil systems can adequately be represented by simple mass-spring-dashpot
systems. The model for this simple system consists of a concentrated mass, m,
supported by a linear elastic spring with a spring constant, k, and a viscous damping
unit (dashpot) having a damping constant, c. The system is excited by an external force,
e.g., Q = Qo sin (ωt), in which Qo is the amplitude of the exciting force, ω = 2πfo is the
angular frequency (radians per second) with fo the exciting frequent (cycles per second),
and t is time in seconds.
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lf the model is oriented as shown in the insert in figure 12-2(a), motions

will occur in the vertical or z direction only, and the system has one degree of freedom
(one coordinate direction (z) is needed to describe the motion). The magnitude of
dynamic vertical motion, Az, decade upon the magnitude of the external excitation, Q,
the nature of Qo, the frequency, fo, and the system parameter m. c, and k. These
parameters are customarily combined to describe the “natural frequency” as follows:
fn = 1/(2xπ)x(k/m)1/2 (12-1)
and the “damping ratio” as
D= c/2x (k/m) -1/2 (12-2)
Figure 12-2(a) shows the dynamic response of the system when the
amplitude of the exciting fore. Qo, is constant. The abscissa of the diagram is the
dimensionless ratio of exciting frequency, fo, divided by the natural frequency, fn, in
equation (12-1). The ordinate is the dynamic magnification factor, Mz which is the ratio
of A, to the static displacement, Az = (Qo/k). Different response curves correspond to
different values of D.
Figure 12-2(b) is the dynamic response of the system when the exciting
force is general by a rotating max, which develops:
Qo = mo(ē)4π2fo 2 (12-3)
where
me = the total rotating mass

ē = the eccentricity
fo = the frequency of oscillation, cycles per second
The ordinate Mż (fig 12-2(b)) relates the dynamic displacement, Az, to me ē/m. The peak
value of the response curve is a function of the damping ratio and is given by the
following expression:
Me(max) or Mż = 1/(2D)x(1 – D2) -1/2 (12-4)

2D w 1 – D2
For small values of D, this expression becomes 1/2D. These peak values occur at
frequency ratios of
__fo__ = w 1 – D2 (12-5)
fn
Or
__fo__ = ___1____ (12-6)
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fn w 1 – 2D2
(Courtesy of F. E. Richart, Jr., J. R. Hall, Jr. and R. D. Woods,

Vibrations of Soils and Foundations,
1970. p 316. Reprinted by permission of Prentice-
Hall, Inc., Englewood Cliffs, N. J.)
Figure 12-1 Response Spectra for Vibration Limits
12-1.3 Foundations On Elastic Soils
12-1.3.1 Foundations On Elastic Half-Space. For very small deformations,

assume soils to be elastic materials with properties as noted in Reference 5. Therefore,
theories describing the behavior of rigid foundations resting on the surface of a semi-
infinite, homogeneous, isotropic elastic body have been found useful for study of the
response of real footings on soils. The theoretical treatment involves a circular
foundation of radius, ro, on the surface of the ideal half-space. This foundation has six
degrees of freedom: (1-3) translation in the vertical (z) or in either of two horizontal (x
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and y) directions; (4) torsional (yawing) rotation about the vertical (z) axis; or (5-6)
rocking (pitching) rotation about either of the two horizontal (x and y) axes. These
vibratory motions are illustrated in figure 12-3.
A significant parameter in evaluating the dynamic response in each type of

motion is the inertia reaction of the foundation. For translation, this is simply the mass,
m = (W/g), whereas in the rotational modes of vibration, it is represented by the mass
moment of inertia about the axis of rotation. For torsional oscillation about the vertical
axis, it is designated as Io, whereas for rocking oscillation, it is Iψ (for rotation about the
axis through a diameter of the base of the foundation). If the foundation is considered to
be a right circular cylinder of radius ro, height h, and unit weight γ, expressions for the
mass and mass moments of inertia are as follows:
m = _π ro2hγ_ (12-7)
g
Iθ = _π ro4hγ_ (12-8)
2g
Iψ = _π ro2hγ_ o __ro2__ + ___h2___ p

g 4 3 (12-9)
Theoretical solutions describe the motion magnification factors Mz or Mż,

for example, in terms of a “mass ratio” Bz and a dimensionless frequency factor ao.
Table 12-1 lists the mass ratios, damping ratios, and spring constants corresponding to
vibrations of the rigid circular footing resting on the surface of an elastic semi-infinite
body for each of the modes of vibration. Introduce these quantities into equations given
in paragraph 12-1.2 to compute resonant frequencies and amplitudes of dynamic
motions. The dimensionless frequency, ao, for all modes of vibration is given as follows:
ao = _ 2π fo ro__ = ω ro w(ρ/G)
Vs (12-10)
The shear velocity, Vs, in the soil is discussed in paragraph 17-5.
Figure 12-4 shows the variation of the damping ratio, D, with the mass
ratio, B, for the four modes of vibration. Note that D is significantly lower for the rocking
mode than for the vertical or horizontal translational modes. Using the expression M =
1/(2D) for the amplitude magnification factor and the appropriate Dψ from figure 12-4, it
is obvious that Mψ can become large. For example, if Bψ = 3, the Dψ = 0.02 and Mψ =
1/(2 x 0.02) = 25.
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Figure 12-2 Response Curves for the Single-Degree-of-Freedom System with

Viscous Damping
Figure 12-3 Six Modes of Vibration for a Foundation
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Table 12-1 Mass Ratio, Damping Ratio, and Spring Constant for Rigid Circular
Footing on the Semi-Infinite Elastic Body
Figure 12-5 Equivalent Damping Ratio for Oscillation of Rigid Circular Footing on
Elastic Half-Space
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12-1.3.2 Effects Of Shape Foundation. The theoretical solutions described
above treated a rigid foundation with a circular contact surface bearing against the
elastic half-space. However, foundations are usually rectangular in plan. Rectangular
footings may be converted into an equivalent circular footing having a radius ro
determined by the following expressions:
(1
(12-10)
(12-11)
(12-12)
In equations (12-10), (12-11), and (12-12), 2c is the width of the rectangular foundation
(along the axis of rotation for rocking), and 2d is the length of the foundation (in the
plane of rotation for rocking). Two values of ro are obtained for rocking about both x and
y axes.
12-1.3.3 Computations. Figure 12-5 presents examples of computations for

vertical motions (Example 1) and rocking motions (Example 2).
12-1.3.4 Effect Of Embedment. Embedment of foundations a distance d below

the soil surface may modify the dynamic response, depending upon the soil-foundation
contact and the magnitude of d. If the soil shrinks away from the vertical faces of the
embedded foundation, no beneficial effects of embedment may occur. If the basic
evaluation of foundation response is based on a rigid circular footing (of radius ro) at the
surface, the effects of embedment will cause an increase in resonant frequency and a
decrease in amplitude of motion and the embedment ratio d/ro.
For vertical vibrations, both analytical and experimental results indicate an

increase in the static spring constant with an increase in the static spring constant with
an increase in embedment depth. Embedment of the circular footing a distance d/ro [
1.0 produces an increase in the embedded spring constant kxd which is grater than kz,
(table 12-1) by kzd/kz ≅ (1+0.6 d/ro). An increase in damping also occurs, i.e., Dzd/Dz ≅
(1+0.6 d/ro). These two approximate relations lead to an estimate of the reduction in
amplitude of motion because of embedment from Azd/Az = 1/Dzd/Dz x kzd/kz). This
amount of amplitude reduction requires complete soil adhesion at the vertical face, and
test data have often indicated less effect of embedment. Test data indicate that the
resonant frequency may be increased by a factor up to (1 + 0.25 d/ro) because of
embedment.
The influence of embedment on coupled rocking and sliding vibrations

depends on the ratio Bψ/Bx (table12-1). For Bψ/Bx ~= 3.0, the increase in natural
frequency due to embedment may be as much as (1+0.5 d/ro). The decrease in
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14 May 2002
amplitude is strongly dependent upon the soil contact along the vertical face of the
foundation, and each case should be evaluated on the basis of local soil and
construction conditions.
12-1.3.5 Effect Of Finite Thickness Of Elastic Layer. Deposits of real soils are
seldom homogeneous to significant depths; thus theoretical results based on the
response of a semi-infinite elastic media must be used with caution. When soil layers
are relatively thin, with respect to foundation dimensions, modifications to the theoretical
half-space analyses must be included.
Generally, the effect of a rigid layer underlying a single elastic layer of

thickness, H, is to reduce the effective damping for a foundation vibrating at the upper
surface of the elastic layer. This condition results from the reflection of wave energy
from the rigid base back to the foundation and to the elastic medium surrounding the
foundation. For vertical or torsional vibrations or a rigid circular foundation resting on the
surface of the elastic layer, it has been established that a very large amplitude of
resonant vibrations can occur if
In equation (12-13), Vs is the shear wave velocity in the elastic layer and fo
is the frequency of footing vibrations. When the conditions of equation (12-4) occur, the
natural frequency (equation (12-1)) becomes the important design criterion because at
that frequency excessive dynamic motion will occur. To restrict the dynamic oscillation
to slightly larger than the static displacement, the operating frequency should be
maintained at one half, or less, of the natural frequency (figure 12-2).
The relative thickness (expressed by H/ro) also exerts an important

influence on foundation response. If H/ro is greater than about 8, the foundation on the
elastic layer will have a dynamic response comparable to that for a foundation on the
elastic half-space. For H/ro < 8, geometrical damping is reduced, and the effective
spring constant is increase. The values of spring constant, k, in table 12-1 are taken as
reference values, and table 12-2 indicates the increase in spring constant associated
with a decrease in thickness of the elastic layer. Values of the increase in spring
constant for sliding and for rocking modes of vibration will tend to fall between those
given for vertical and torsion for comparable H/ro conditions.
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Figure 12-5 Examples of Computations for Vertical and Rocking Motions
12-1.3.6 Coupled Modes of Vibration. In general, vertical and torsional vibrations

can occur independently without causing rocking or sliding motions of the foundation.
To accomplish these uncoupled vibrations, the line of action of the vertical force must
pass through the center of gravity of the mass and the resultant soil reaction, and the
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exciting torque and soil reaction torque must be symmetrical about the vertical axis of
rotation. Also, the center of gravity of the foundation must lie on the vertical axis of
torsion.
When horizontal or overturning moments act on a block foundation, both

horizontal (sliding) and rocking vibrations occur. The coupling between these motions
depends on the height of the center of gravity of the machine-foundation about the
resultant soil reaction. Details of a coupled rocking and sliding analysis are given in the
example in figure 12-6.
A “lower bound” estimate of the first mode of coupled rocking and sliding
vibrations can be obtained from the following:
(12-14)
In equation (12-14), the resonant frequencies in the sliding x and rocking w motions can
be determined by introducing values from table 12-1 into equations (12-1) and (12-5).
(Note that equation (12-14) becomes less useful when Dz is greater than about 0.15).
The first mode resonant frequency is usually most important from a design standpoint.
12-1.3.7 Examples. Figure 12-5, Example 1, illustrates a procedure for design of a

foundation to support machine-producing vertical excitations. Figure 12-5, Example 2,
describes the analysis of uncouple horizontal and rocking motion for a particular
foundation subjected to horizontal excitations. The design procedure of Example 1 is
essentially an iterative analysis after approximate dimensions of the foundation have
been established to restrict the static deflection to a value comparable to the design
criterion.
• Figure 12-5, Example 1, shows that relatively high values of damping ratio D are
developed for the vertical motion of the foundation, and Example 2 illustrates that
the high damping restricts dynamic motions to values slightly larger than static
displacement caused by the same force. For Example 2, establishing the static
displacement at about the design limit value leads to satisfactory geometry of the
foundation.
• Example 2 (Figure 12-5) gives the foundation geometry, as well as the analysis
needed to ascertain whether the design criterion is met. It is assumed that the
400-pound horizontal force is constant at all frequencies and that a simple
superposition of the single-degree-of-freedom solutions for horizontal translation
and rocking will be satisfactory. Because the horizontal displacement is
negligible, the rocking motion dominates, with the angular rotation at resonance
amounting to (Mψ x ψs) or Aψ = 5.6 x 0.51 x 10-6 = 2/85 x 10-6 radians. By
converting this motion to horizontal displacement at the machine centerline, it is
found that the design conditions are met.
• Figure 12-6, the foundation of Example 2 (figure 12-5), is analyzed as a coupled
system including both rocking and sliding. The response curve for angular
rotation shows a peak motion of Aψ = 2.67 x 10-6 radians, which is comparable to
the value found by considering rocking alone. The coupled dynamic response of
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14 May 2002
any rigid foundation, e.g., a radar tower, can be evaluated by the procedure
illustrated in figure 12-6.
Table 12-2 Values of kL/L for Elastic Layer (k from Table 12-1)
M/ro 0.5 1.0 2.0 4.0 8.0 ∞
Vertical 5.0 2.2 1.47 1.23 1.10 1.0
Torsion --- 1.07 1.02 1.009 --- 1.0
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Figure 12-6 Coupled Rocking and Sliding Motion of Foundation
12-1.4 Wave Transmission, Attenuation, and Isolation. Vibrations are

transmitted through soils by stress waves. For most engineering analyses, the soil may
be treated as an ideal homogeneous, isotropic elastic material to determine the
characteristics of the stress waves.
12-.1.4.1 Half-Space. Two types of body waves may be transmitted in an ideal

half-space, compression (P-) waves and shear (S-) waves; at the surface of the half-
space, a third wave known as the Rayleigh (R-) wave or surface wave will be
12-12
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14 May 2002
transmitted. The characteristics that distinguish these three waves are velocity, wave
front geometry, radiation damping, and particle motion. Figure 12-7 shows the
characteristics of these waves as they are generated by a circular footing undergoing
vertical vibration on the surface of an ideal half-space with u= 0.25. The distance from
the footing to each wave in figure 12-7 is drawn in proportion to the velocity of each
wave. The wave velocities can be computed from the following:
(12-17)
(12-15)
(12-16)
where
The P- and S-waves propagate radially outward from the source along
hemispherical wave fronts, while the R-wave propagates outward along a cylindrical
wave front. All waves encounter an increasingly larger volume of material as they travel
outward, thus decreasing in energy density with distance. This decrease in energy
density and its accompanying decrease in displacement amplitude is called geometrical
damping or radiation damping.
The particle motions are as follows: for the P- wave, a push-pull motion in
the radial direction; for the S-wave, a transverse motion normal to the radial direction;
and for the R-wave, a complex motion, which varies with depth and which occurs in a
vertical plane containing a radius. At the surface, R-wave particle motion describes a
retrograde ellipse. The shaded zones along the wave fronts in figure 12-7 represent the
relative particle amplitude as a function of inclination from vertical.
12-1.4.2 Layered Media. In a layered medium, the energy transmitted by a body

wave splits into four waves at the interface between layers. Two waves are reflected
back into the first medium, and two waves are transmitted or refracted into the second
medium. The amplitudes and directions of all waves can be evaluated if the properties
12-13
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of both media and the incident angle are known. If a layer containing a lower modulus
overlies a layer with a higher modulus within the half-space, another surface wave,
known as a Love wave, will occur. This wave is a horizontally oriented S-wave whose
velocity is between the S-wave velocity of the layer and of the underlying medium.
The decay or attenuation of stress waves occurs for two reasons:

geometric or radiation damping, and material or hysteretic damping. An equation
including both types of damping is the following:
(12-18)
r1 C
exp [-α(r2 – r1)]
A2 = A1
r2
where
A2 = desired amplitude at distance r2
A1 = known or measured amplitude at radial distance r1 from vibration source
C = constant, which describes geometrical damping
= 1 for body (P- or S-) waves
= 0.5 for surface or R-waves
α = coefficient of attenuation, which describes material damping
12-1.4.3 Isolation. The isolation of certain structures or zones from the effects of
vibration may sometimes be necessary. In some instances, isolation can be
accomplished by locating the site at a large distance from the vibration source. The
required distance, r2, is calculated from equation (12-18). In other situations, isolation
may be accomplished by wave barriers. The most effective barriers are open or void
zones like trenches or rows of cylindrical holes. Somewhat less effective barriers are
solid or fluid-filled trenches or holes. An effective barrier must be proportioned so that its
depth is at least two-thirds the wavelength of the incoming wave. The thickness of the
barrier in the direction of wave travel can be as thin as practical for construction
considerations. The length of the barrier perpendicular to the direction of wave travel will
depend upon the size of the zone to be isolated but should be no shorter than two times
the maximum plan dimension of the structure or one wavelength, whichever is greater.
12-1.5 Evaluation Of S-Wave Velocity in Soils. The key parameter in a

dynamic analysis of a soil-foundation system is the shear modulus, G. The shear
modulus can be determined in the laboratory or estimated by empirical equations. The
value of G can also be computed by the field-measured S-wave velocity and equation
(12-16).
12-1.5.1 Modulus at Low Strain Levels. The shear modulus and damping for
machine vibration problems correspond to low shear-strain amplitudes of the order of 1
to 3 x 10-4 percent. These properties may be determined from field measurements of
the seismic wave velocity through soil or from special cyclic laboratory tests.
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Figure 12-7 Distribution of displacement waves from a circular footing on the

elastic half-space
Table 12-3 Attenuation Coefficients for Earth Materials
Materials α (l/ ft) @ 50 Hza

Loose, fine 0.06
Sand
Dense, fine 0.02
Silty (loess) 0.06
Clay
Dense, dry 0.003
Weathered volcanic 0.02
Rock
Competent marble 0.00004
a
α is a function of frequency. For other frequencies, f, compute αf = (f/50) x α50
Source: U.S. Army Corps of Engineers
12-1.5.2 Field Wave Velocity Tests. S-wave velocity tests are preferable made in
the field. Measurements are obtained by inducing a low-level seismic excitation at one
location and measuring directly, the time required for the induced S-wave to travel
between the excitation and pickup unit. Common tests, such as uphole, downhole or
crosshole propagation, are described in geotechnical engineering literature.
A problem in using seismic methods to obtain elastic properties is, that

any induce elastic pulse (blast, impact, etc.) develops three wave types previously
discussed, i.e., P-, S-, and R-waves. Because the velocity of all seismic waves is
hundreds of feet per second and the pickup unit detects all three wave pulses plus any
random noise, considerable expertise is required to differentiate between the time of
arrival of the wave of interest and the other waves. The R-wave is usually easier to
identify (being slower, it arrives last; traveling near the surface, it contains more relative
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energy). Because R- and S-wave velocities are relatively close, the velocity of the R-
wave is frequently used in computations for elastic properties.
• Because amplitudes in seismic survey are very small, the computed shear and
Young’s moduli are considerably larger than those obtained from conventional
laboratory compression tests.
• The shear modulus, G, may be calculated from the S- (approximately the R-
wave) wave velocity as follows:
(12-19)
G = pVs2
where
p = y/32.2 = mass density of soil using wet or total unit weight
Vs = S-wave velocity (or R-wave), feet per second
This equation is independent of Poisson’s ratio. The Vs value is taken as

representative to a depth of approximately one-half wavelength. Alternatively, the shear
modulus can be computed from the P-wave velocity and Poisson’s ratio from:
(12-20)
p(1 - 2µ)
G= Vp2
2(1 - µ)
The use of this equation is somewhat limited because the velocity of a P-wave is
approximately 5000 feet per second (approximately the velocity in many soils) and
Poisson’s ratio must be estimated. For saturated or near saturated soils, µ -> 0.5. The
theoretical variation of the ratio Vs/Vp with u is shown in figure 12-8.
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Figure 12-8 Theoretical Relation Between Shear Velocity Ratio Vp/Vs and
Poisson’s Ratio
12-1.5.3 Laboratory Measurement Of Dynamic Stress-Strain Properties. Low

shear-strain amplitude, e.g., less than 10-2 percent, shear modulus data may be
obtained from laboratory tests and usually involve applying some type of high-frequency
forced vibration to a cylindrical sample of soil and measuring an appropriate response.
Some types of tests allow the intensity level of the forced vibration to be varied, thus
yielding moduli at different shear strains.
High strain-level excitation, i.e. 0.01 to 1.0 percent, may be achieved by

low-frequency, cyclic loading triaxial compression tests on soil samples. The modulus,
damping and strain level for a particular test are calculated directly from the sample
response data. The usual assumption for calculating the modulus and damping from
forced cyclic loading tests on laboratory samples is that at any cyclic strain amplitude
the soil behaves as a linear elastic, viscous, damped material. A typical set of results
may take the form of a hysteresis loop as shown in figure 12-9. Either shear or normal
stress cyclic excitation may be use. The shear modulus is calculated from the slope of
the peak-to-peak secant line. The damping is computed from the area of the hysteresis
loop, and the strain level is taken as the single-amplitude (one-half the peak-to-peak
amplitude or origin to peak value) cyclic strain for the condition during that cycle of the
test. Note that the equations for modulus and damping shown in figure 12-9 assume the
soil behaves as an equivalent elastic viscous, dampened material, which is linear within
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the range of strain amplitude specified. This assumption is usually made in most soil
dynamics analyses because of the low-vibration amplitudes involved. If the cyclic
hysteresis loops are obtained from triaxial test specimens, the resulting modulus will be
the stress-strain modulus, E. If the tests involve simple shear or torsion shear such that
modulus will be the shear modulus, G. In either case, the same equations apply.
The shear modulus, G, can be computed from the stress strain modulus
and Poisson’s ratio as follows:
(12-21)
E
G=
2(1 + µ)
The shear strain amplitude, Ae, may be computed from the axial strain amplitude, e, and
Poisson’s ratio as follows:
(12-22)
Ae = ε(1 + µ)
For the special case of saturated soils, Poisson’s ratio is

0.5, which leads to the following:
G = E/3
Ae = 1.5ε
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Figure 12-9 Idealized Cyclic Stress-Strain Loop for Soil
12-1.5.4 Correlations. Empirical correlations from many sets of data have

provided several approximate methods for estimating the S-wave velocity and shear
modulus for soils corresponding to low-strain excitation. For many undisturbed cohesive
soils and sands: (12-23)
1230(21973 – e) 2
G= (OCR)η (Ó0)0.5 (pounds per square inch)
1+e
where
e = void ratio
η = empirical constant, which depends on the PI of cohesive soils (table
12-4); For sands, PI = 0
and η = 0, so OCR term reduces to 1.0. For clays, the maximum
value is η = 0.5 for PI 〈 100.
Ó0 = 1/3 (Ó1 + Ó2 + Ós) = mean normal effective stress, pounds per
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square inch
(1) For sands and gravels, calculate the low-strain shear modulus as follows:
G = 1000(Ks)(Ó0)0.5 (pounds per square foot) (12-24)
where
K2 = empirical constant (table 12-5)

= 90 to 190 for dense sand, gravel, and cobbles with little clay
Ó0 = mean normal effective stress as in equation (12-23) (but in units of
pounds per square foot)
(2) For cohesive soils as clays and peat, the shear modulus is related to Su as
follows:
G = K2su (12-25)
For clays, K2 ranges from 1500 to 3000. For peats, K2 ranges from 150 to 160
(limited data base).
(3) In the laboratory, the shear modulus of soil increases with time even when all
other variables are held constant. The rate of increase in the shear modulus is
approximately linear as a function of the log of time after an initial period of about
1000 minutes. The change in shear modulus, ∆G, divided by the shear modulus
at 1000 minutes, G1000, is called the normalized secondary increase. The
normalized secondary increases ranges from nearly zero percent per log for
sensitive clays. For good correlation between laboratory and field measurements
of shear modulus, the age of the in situ deposit must be considered, and a
secondary time correction applies to the laboratory data.
12-1.5.5 Damping in Low Strain Levels. Critical damping is defined as
cc = 2√km (12-26)
Where k is the spring of vibrating mass and m represents mass undergoing vibration
(W/g). Viscous damping of all soils at low strain-level excitation is generally less than
about 0.01 percent of critical damping for most soils or:
D = c/cc ≤ 0.05 (12-27)
It is important to note that this equation refers only to material damping, and not to
energy loss by radiation away from a vibrating foundation, which may also be
conveniently expressed in terms of equivalent viscous damping. Radiation damping in
machine vibration problems is a function of the geometry of the problem rather than of
the physical properties of the soil.
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Plasticity Index K
0 0
20 0.18
40 0.30
60 0.41
80 0.48
≥ 100 0.50
(Courtesy of O. Hardin and P. Drnevich, “Shear Modulus and
Damping in Soils: Design Equations and Curves,” Journal Soil
Mechanics and Foundations Division, Vol 98, No. SM7, 1972, pp 667-
692. Reprinted by permission of American Society of Civil Engineers,
New York.)
Table 12-4 Values of Constant η Used with Equation (12-23) to Estimate

Cyclic Shear Modulus at Low Strains
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Table 12-5 Values of Constant K2 Used with Equation (12-24) to Estimate
Cyclic Shear Modulus at Low Strains for Sands
e K2 Dr (%)
0.4 70 90
0.5 60 75
0.6 51 60
0.7 45 45
0.8 39 40
0.9 33 30
(Courtesy of H.B. Seed and I.M. Idriss, “Simplified Procedures for
Evaluating Liquefaction Potential” Journal Soil Mechanics and
Foundations Division, Vol 97, NoSM(, 1971, pp1249-1273. Reprinted
by permission of American Society of Civil Engineers, New York.)
12-1.5.6 Modulus and Damping at High Strain Levels. The effect of increasingly
higher strain levels is to reduce the modulus (fig 12-10) and increase the damping of the
soil (fig 12-11). Shear modulus and damping values at high strains are used mainly in
computer programs for analyzing the seismic response of soil under earthquake loading
conditions. The various empirical relations for modulus and damping pertain to sands
and soft, normally consolidated clays at low-to-medium effective confining pressures, in
the range of about 100 feet or overburden. Stiff over-consolidated clays and all soils at
high effective confining pressure exhibit lower values of damping and higher values of
modulus, especially at high strain levels. As a maximum, the modulus and damping
values for stiff or strong soils at very high effective confining pressures correspond to
values pertaining to crystalline or shale-type rock.
12-1.6 Settlement and Liquefaction.
12-1.6.1 Settlement. Repeated shearing strains of cohesionless soils cause

particle rearrangements. When the particles move into a more compact position,
settlement occurs. The amount of settlement depends on the initial density of the soil,
the thickness of the stratum, and the intensity and number of repetitions of the shearing
strains. Generally, cohesionless soils with relative densities (Dr) greater than about 75
percent should not develop settlements. However, under 10 8 or 10 7 repetitions of
dynamic loading, even dense sands may develop settlements amounting to 1 to 2
percent of the layer thickness. To minimize settlements that might occur under
sustained dynamic loadings, the soil beneath and around the foundation may be
precompacted during the construction process by vibroflotation, multiple blasting, or
vibrating rollers acting at the surface. The idea is to subject the soil to a more severe
dynamic loading condition during construction than it will sustain throughout the design
operation.
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12-1.6.2 Liquefaction Of Sands. The shearing strength of saturated cohesionless

soils depends upon the effective stress acting between particles. When external forces
cause the pore volume of a cohesionless soil to reduce the amount V, pore water
pressures are increased during the time required to drain a volume V of water from the
soil element. Consequently, pore pressure increases depend upon the time rate of
change in pore volume and the drainage conditions (permeability and available
drainage paths). When conditions permit the pore pressure, u, to build up to a value
equal to the total stress, on, on the failure plane, the shear strength is reduced to near
zero and the mixture of soil grains and water behaves as a liquid. This condition is true
liquefaction, in which the soil has little or no shearing strength and will flow as a liquid.
Liquefaction or flow failure of sands involves a substantial loss of shearing strength for a
sufficient length of time that large deformations of soil masses occur by flow as a heavy
liquid.
12-1.6.3 Liquefaction Due To Seismic Activity. Soil deposits that have a history
of serious liquefaction problems during earthquakes include alluvial sand, Aeolian sands
and silts, beach sands, reclaimed land, and hydraulic fills. During initial field
investigations, observations that suggest possible liquefaction problems in seismic
areas include low penetration resistance; artesian heads or excess pore pressures;
persistent inability to retain granular soils in sampling tubes; and any clean, fine, uniform
sand below the groundwater table. The liquefaction potential of such soils for structures
in seismic areas should be addressed unless they meet one of the criteria in table 12-6.
In the event that none of the criteria is met and a more favorable site cannot be located,
the material in question should be remove, remedial treatment applied as described in
Chapter 16, or a detailed study and analysis should be conducted to determine if
liquefaction will occur.
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14 May 2002
Figure 12-10 Variation of shear modulus with cyclic strain amplitude; Gmax = G
at ε = 1 to 3 10-4 percent; scatter in data up to about ± 0.1 on vertical scale
Figure 12-11 Variation of viscous damping with cyclic strain amplitude; data
scatter up to about ± 50 of average damping values shown for any strain
12-24
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14 May 2002
Table 12-6 Criteria for Excluding Need for Detailed Liquefaction Analyses
1. CL, CH, SC or GC Soils
2. GW or GP soils or materials consisting of cobbles, boulders, uniform rock

fill, which have a free-draining boundaries that are large enough to
preclude the development of excess pore properties
3. SP, SW or SM soils that have an average density equal to or greater than

85 percent, provided that the minimum relative density is not less than 80
percent
4. ML or SM soils in which the dry density is equal to or greater than 95

percent of the modified Proctor (ASTM D 1557) density
5. Soils of pre-Holocene age, with natural over consolidation ratio equall to or

greater than 16 and with relative density greater than 70 percent
6. Soils located above the highest potential groundwater table
7. Sands in which the N value is is greater than three times the depth in feet,
or greater than 75; provided that 75 percent of the values meet this
criterion, the minimum N value is not less than one times the depth in feet,
that there are no consistent patterns of low values in definable zones or
layers, and that the maximum particle size is not greater than one inch.
Large gravel particles may affect N values so that the results of the SPT
are not reliable
8. Soils in which the shear wave velocity is equal to or greater than 2000 fps.
Geophysical survey data and site geology should be reviewed in detail to
verify that the possibility of included zones of low velocity is precluded
9. Soils that, in undrained cycle triaxial tests, under isotropically consolidated,

stress controlled conditions, and with cyclic stress ratios equal to or greater
than 0.45, reach 50 or more with peak-to-peak strains not greater than 5
percent; provided that methods of specimem preparation and testing
conform to specified guidelines
Note: The criteria given above do not include a provision for exclusion of soils on
the basis of grain size distribution, and, in general, grain size distribution
alone cannot be used to conclude that soils will not liquefy. Under adverse
conditions non-plastic soils with a very wide range grain sizes may be
subject to liquefaction.
12-1.7 Seismic Effects on Foundations. Ground motions from earthquakes

cause motions of foundations by introducing forces at the foundation-soil contact
zone. Methods for estimating ground motions and their effects on the design of
12-25
UFC 3-220-01
14 May 2002
foundation elements are discussed in TM 5-809-10/AFM 88-3, Chapter 13.
12-26
UFC 3-220-01
14 May 2002
CHAPTER 13
PILE DRIVING EQUIPMENT
13-1 INTRODUCTION
13-1.1 Purpose. The criteria presented herein is to be used by the engineer and the
construction representative to develop methods and details for driving and installing pile
foundations. The data referenced can aid the engineer in driving, testing and evaluating
the capacity and condition of the piling before, during and after installation.
military services. The questions of weight, stroke, capacity of hammer, ram weight,
helmet, swinging and fixed leads, cushions, cushion blocks and other hammer criteria
and physical properties are all covered in the referenced material.
13-1.3 References. The main references for this chapter are References 20, 18 and
17. Reference 20, NAVFAC Textbook, DM 7.01, Soil Mechanics,
http://www.efdlant.navfac.navy.mil/criteria/, Reference 18, AMERICAN SOCIETY OF
CIVIL ENGINEERS/GEO-INSTITUTE 20-96, Standard Guideline for the Design and
Installation of Pile Foundations, and Reference 17 Pile Buck, Inc,
http://www.pilebuck.com/, numerous references to hammer specifications and pile
specifications. Also, see secondary references 15.
13-1
UFC 3-220-01
14 JANUARY 2002
CHAPTER 14
GROUTING METHODS AND EQUIPMENT
14-1 INTRODUCTION
14-1.1 Purpose. The criteria presented herein is to be used by the engineer and the
construction representative to develop methods and details for different types of
grouting used in underground construction. The data referenced can aid the engineer in
selecting methods, equipment and type of grouting of obtain the desired results.
military services. The questions kinds of grout, equipment, where to grout, and how and
physical properties of the grouts are all covered in the referenced material.
14-1.3 Reference. The main reference for this chapter is References 25.
Reference 25, AMERICAN SOCIETY OF CIVIL ENGINEERS/GEO-INSTITUTE,
numerous grouting publications are listed in Appendix A.
14-1
UFC 3-220-01
14 JANUARY 2002
APPENDIX A
REFERENCES
GOVERNMENT PUBLICATIONS:
20. Department of the Navy NAVFAC TEXTBOOK, DM 7-.01, SOIL
Standardization Documents Order MECHANICS
Desk
700 Robbins Avenue, Bldg. 4D
Philadelphia, PA 19111-5094
NON-GOVERNMENT PUBLICATIONS:
1. Transportation Research Board NCHRP VOL. 343, Engineering manual for

Lockbox 289 Shallow Foundations, Driven Piles, Drilled
Wahington, D.C. 20055 Shafts, Retaining Walls, and Abbutments,
Or FAX 202-334-2519 R.L. Allen, J.M. Duncan, R.T. Sancio,
Virginia Tech, Dec 1991
2. Dr. J.M. Duncan Engineering Manual for Settlement

Department of Civil Engineering Studies, J.M. Duncan, A.L. Buchignani,
104 Patton Hall 1987, Virginia Tech, [email protected]
Virginia Tech
Blacksburg, Virginia 24061
3. Dr. J.M. Duncan Engineering Manual Sheet Pile Walls, R.L.

Department of Civil Engineering Allen, J.M. Duncan, R.T. Sancio, 1987,
104 Patton Hall Virginia Tech, [email protected]
Virginia Tech
4. Dr. J.M. Duncan Engineering Manual for Slope Stability

Department of Civil Engineering Studies, J.M. Duncan, A.L. Buchignani,
104 Patton Hall Marios De Wet, 1987, Virginia Tech,
Virginia Tech [email protected]
5. Dr. J.M. Duncan Shear Strength Correlation for

Department of Civil Engineering Geotechnical Engineering, J.M. Duncan,
104 Patton Hall R.C. Horz, T.L. Yang, 1989, Virginia Tech,
Virginia Tech [email protected]
A-1
UFC 3-220-01
14 JANUARY 2002
6. American Society of Civil Engineers Retaining and Flood Walls, Technical

Book Orders Engineering and Desing Guides as
P.O. Box 7940 Adapted from the U.S. Army Corps of
Baltimore, Maryland 21279-0404 Engineers, No. 4, Published by the
Fax 703-295-6211 AMERICAN SOCIETY OF CIVIL
ENGINEERS/GEO-INSTITUTE,
http://www.pubs.asce.org/
7. American Society of Civil Engineers Soil Sampling, Technical Engineering and

Book Orders Design Guides as Adapted from the U.S.
P.O. Box 7940 Army Corps of Engineers, No. 30,
Baltimore, Maryland 21279-0404 Published by the AMERICAN SOCIETY
Fax 703-295-6211 OF CIVIL ENGINEERS/GEO-INSTITUTE,
8. American Society of Civil Engineers Settlement Analysis, Technical

Book Orders Engineering and Design Guides as
9. American Society of Civil Engineers “Design of Shallow Foundations”, Samuel

Book Orders E. French, Published and available from
P.O. Box 7940 AMERICAN SOCIETY OF CIVIL
Baltimore, Maryland 21279-0404 ENGINEERS/GEO-INSTITUTE,
Fax 703-295-6211 http://www.pubs.asce.org/
10. American Society of Civil Engineers Bearing Capacity of Soils, Technical

11. American Society of Civil Engineers Design of Pile Foundations, Technical

A-2
UFC 3-220-01
14 JANUARY 2002
12. American Society of Civil Engineers Design of Sheet Pile Walls, Technical
13. American Society of Civil Engineers Chemical Grouting, Technical Engineering

Book Orders and Design Guides as Adapted from the
P.O. Box 7940 U.S. Army Corps of Engineers, No. 24,
Baltimore, Maryland 21279-0404 Published by the AMERICAN SOCIETY
Fax 703-295-6211 OF CIVIL ENGINEERS/GEO-INSTITUTE,
14. American Society of Civil Engineers Geophysical Exploration for Engineering

Book Orders and Environmental Investigations,
P.O. Box 7940 Technical Engineering and Design Guides
Baltimore, Maryland 21279-0404 as Adapted from the U.S. Army Corps of
Fax 703-295-6211 Engineers, No. 23, Published by the
AMERICAN SOCIETY OF CIVIL
15. Deep Foundations Institute Auger CIP Piles Manual

120 Charlotte Place, Third Floor Inspectors Guide to Augered CIP Piles
Englewood Cliffs Drilled Shaft Inspector’s Manual
New Jersey 07632 Lexicon of Foundation Terms in Five
201-567-4232FAX 201-567-4436 Languages
Driven Foundation Piling (Catalog 1998)
Dynamic Monitoring and Analysis
Interpretation & Analysis fo the Static
Loading Test
Guidelines for Static Design
Testing of Pile Driving Cushion Material
Soil Nailing Design & Applications
Inspectors manual for Pile Foundations
16. ADSC: THE INTERNATIONAL Drilled Shafts
ASSOCIATION OF FOUNDATION Drilled Shafts - Axial Loads
DRILLIING Drilled Shafts - Clay
P.O. Box 550399 Drilled Shafts – Concrete
Dallas, Texas 75355-0339 Drilled Shafts - Design
214-343-2091 FAX 214-343-2384 Drilled Shafts – Design, General
A-3
UFC 3-220-01
14 JANUARY 2002
Drilled Shafts – General

Drilled Shafts – Non-Destructive Testing
Drilled Shafts – Rock
Drilled Shafts - Sand
Drilled Shafts – Shale, Slurry
Drilled Shafts – Slurry
Drilled Shafts – Soils
Drilled Shafts – Specifications
Drilled Shafts – Testing
Drilled Shafts – Testing, Uplift
Drilled Shafts – Uplift
Earth Retention
17. Pile Buck, Inc. Soil Mechanics

http://www.pilebuck.com/ Foundations
3800 SW Boat Ramp Road Earth Support Systems and Retaining
Palm City, Florida 34990 Structures
561-223-1919 FAX 561-223-1995 Mooring Systems
Breakwaters, Jetties, Bulkheads and
Seawalls
Coastal Protection
Cellular Cofferdams
Steel Sheet Piling Design Manual
Pile Hammer Specifications
18. American Society of Civil Engineers AMERICAN SOCIETY OF CIVIL

Book Orders ENGINEERS/GEO-INSTITUTE, 20-96,
P.O. Box 7940 Standard Guidelines for the Design and
Baltimore, Maryland 21279-0404 Installation of Pile Foundations
Fax 703-295-6211
19. ASTM, 100 Barr Harbor Drive ASTM D2487, D 2488,

P.O. Box C700 D 5578, http://www.astm.org/
West Conshohocken
Pennsylvania, USA 19428-2959
610-832-9585 FAX 610-832-9555
20. Atlantic Division

Naval Facilities Engineering NAVFAC Text Book, DM 7.01, Soil
Command- Innovative Engineering Mechanics,
1510 Gilbert Street http://www.efdlant.navfac.navy.mil/criteria/.
Norfolk, Virginia 23511-2699
21. International Conference of Building

Officials 2000 Internation Building Code(IBC)
A-4
UFC 3-220-01
14 JANUARY 2002
5360 Wkorkman Mill Road Chapter 18, http://www.icbo.org/

Whittier, CA 90601-2298
800-284-4406
562-699-0541
22. “Fundamentals of Geotechnical

Engineering”, Braja Das, 1999
23. American Society of Civil Engineers ASCE/GEO-INSTITUTE, EXPANSIVE

Book Orders SOILS PUBICATIONS
P.O. Box 7940 Expansive Soils and the Geomembrane
Baltimore, Maryland 21279-0404 Remedy
Fax 703-295-6211 Impact of Climatic Variation on Design
Parameters for Slab on Ground
Foundations in Expansive Soils
Mineralogy-Swelling Potential
Relationships for Expansive Shales
Prediction of Heave Using "Effective"
Stress
Suction-Swelling Relations
Using Soil Diffusion to Design Raft
Foundation on Expansive Soils
Evaluation Protocol for Repair of
Residences Damaged by Expansive Soils
Suction Compression Index Based on
CLOD Test Results
Using Soil Suction to Estimate Differential
Soil Shrink or Heave
Piled Rafts in Swelling or Consolidating
Soils
Irrigation, Drainage, and Landscaping for
Expansive Soil
Limitations of Residential Structures on
Expansive Soils
Treating Expansive Soils
Assessment of Expansive Soils in the
United States
Characterization of Expansive Soils Using
Soil Suction Data
A Foundation Code for Expansive Soil
Conditions
A Model for Slab Foundations on
Expansive Soils
Pile Foundations in Swelling Soils
Proceedings of the Fourth International
Conference on Expansive Soils
A-5
UFC 3-220-01
14 JANUARY 2002
The Structural Analysis of Footings on

Expansive Soil
Review of Expansive Soils
24. International Conference of Building FEMA 273.4, 274.4, 302, 303

Officials Accompany IBC 2000,
5360 Wkorkman Mill Road http://www.icbo.org/
Whittier, CA 90601-2298
800-284-4406
562-699-0541
25. American Society of Civil Engineers ASCE/GEO-INSTITUTE GROUTING

Book Orders PUBLICATIONS
P.O. Box 7940 Advances in Grouting and Ground
Baltimore, Maryland 21279-0404 Modification
Fax 703-295-6211 An Alternate Compaction Grouting
Technique
An Approach to the Design of Limited
Mobility Displacement (LMD) Grouting
Compensation Grouting: Concept, Theory
and Practice
A Critical Look at Use of "Rules of Thumb"
for Selection of Grout Injection Pressures
Design Verification into the Grouting
Program
Effects of Grout Composition, Depth and
Injection Rate on Compaction Grouting
Effects of Jet Grouting on Adjacent Ground
and Structures
Equipment for Cement Grouting: An
Overview
Geotechnical Investigations for Grouting in
Soil
Prediction and Validation of Compaction
Grout Effectiveness
Verification of Jet Grouting for Structure
Rehabilitation
Jet Grouting in Cohesive Soils
Abutment Stabilization with Jet Grouting
Jet Grouting: New Directions
Chemical Grouting
Compaction Grouting: From Practice to
Theory
"Compaction Grouting"State of the
Practice 1997
Grouting: Compaction, Remediation and
A-6
UFC 3-220-01
14 JANUARY 2002
Testing
Grouting in a Karst Environment
Grouting to Great Depths
Influence of Fines Content on the Behavior
of Compaction Grout
Limited Mobility Displacement Grouting:
When "Compaction Grout" is Not
Compaction Grout
Monitoring Systems for Control of
Compensation Grouting
26. The Geotechnical and Catalogues 1306 programs in the fields of

Geoenvironmental Software Directory Geotechnical Engineering, Soil Mechanics,
http://www.ggsd.com/ Rock Mechanics, Engineering Geology,
Foundation Engineering, Hydrogeology,
Geoenvironmental Engineering,
Environmental Engineering, Data Analysis
and Data Visualisation and lists 778
worldwide suppliers and publishers of
these programs.
27. The Geotechnical Directory A good resource for making University

contacts, books, publications, software
http://www.geotechnicaldirectory.com/ listings, meetings, contractors and
professional contacts.
28. Clough, G.W. and Davidson, R.R. Effects of Constuction on Geotechnical

Engineering, Specilty Session No. 3,
Relationship Between Design and
Sonstruction in Soil Engineering, Ninth
International Conference on Soil
Mechanics and Foundation Engineering,
Tokyo, 1977.
29. Terzaghi, K. Stability of Steep Slopes on Hard

Unweathered Rock, Norwegian
Geotechnical Institute, Publications No. 50,
1963
30. Petersen E.V. Cave-In, Roads and Engineering

Construction, November 1963, December
1963, and January 1964.
31. Goldberg, D.T., Jaworksi, W.E. and Lateral Support Systems and
Gordon, M.D. Underpinning, Vol. II, Design
A-7
UFC 3-220-01
14 JANUARY 2002
Fundamentals, Vol. III, Construction

Methods, Federal Highway Administration,
Report Nos. FHWA-RD-75-129, 130, 1976.
32. Bherrum L., Clausen, J.F. and Stability of Flexible Structures, General
Duncan, J.M. Report, Proceedings, Fifth-International
European Conference on Soil Mechanics
and Foundation Engineering, Vol. 11, 1977
Braced Excavation, 1970 Specialty

33. Lambe, T.W. Conference, Lateral Stresses in the
Ground an Design of Earth Retaining
Structures, June 22-24, Cornell University,
ASE, 1971
Deep Excavation and Tunneling in Soft

34. Peck, R.B. Ground, Proceedings, Seventh
International Conference on Soil
Mechanics and Foundation Engineering,
State-of-the-Art Vol. 1, 1969
35. Caterpillar Tractor Company Handbook of Ripping, Fifth Edition, Peoria,

Ill., 1975
36. Franklin, J.A., Broch, E and Walton, Logging the Mechanical Character of
G. Rock, Tranactions, Institution of Mining
and Metallurgy, January 1971.
37. Broch, E. and Franklin, J.A. The Point-Load Strength Test,

International Journal Rock Mechanics and
Mining Science, Vol. 9, 1972.
38. Bureau Of Mines, U.S. Department of Blasting Vibrations and Their Effect on
Interior, 1971 Structures
39. Hendron, A.J. Engineering of Rock Blasting on Civil

Projects, Rock Excavation Seminar
Lectures, ASCE, New York, 1976
A-8

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DRAFT UFC 3-220-01

UNIFIED FACILITIES CRITERIA (UFC)

APPROVED FOR PUBLIC RELEASE; DISTRIBUTION UNLIMITED

UNIFIED FACILITIES CRITERIA (UFC)

GEOTECHNICAL ENGINEERING PROCEDURES FOR FOUNDATION DESIGN OF

U.S. ARMY CORPS OF ENGINEERS

NAVAL FACILITIES ENGINEERING COMMAND (Preparing Activity)

AIR FORCE CIVIL ENGINEER SUPPORT AGENCY

Record of Changes (changes are indicated by \1\ ... /1/)

Change No. Date Location

• HQUSACE, ATTN: CECW-E, 441 G Street, NW, Washington, DC 20314-1000, by electronic

• USACE TECHINFO Internet site http://www.hnd.usace.army.mil/techinfo/index.htm.

Paragraph 1-1 PURPOSE ............................................................................... 1-1

CHAPTER 2 SOILS AND GEOLOGY

Paragraph 2-1 INTRODUCTION ..................................................................... 2-1

CHAPTER 3 SELECTION OF FOUNDATION TYPES

Paragraph 3-1 SELECTION OF FOUNDATION TYPE ................................... 3-1

CHAPTER 4 SHALLOW FOUNDATIONS

Paragraph 4-1 INTRODUCTION ..................................................................... 4-1

CHAPTER 5 DEEP FOUNDATIONS

Paragraph 5-1 INTRODUCTION ..................................................................... 5-1

CHAPTER 6 RETAINING WALLS

Paragraph 6-1 INTRODUCTION ..................................................................... 6-1

CHAPTER 7 SLOPE STABILITY ANALYSIS

Paragraph 7-1 INTRODUCTION ..................................................................... 7-1

CHAPTER 8 EXCAVATION, FILL, BACKFILL, AND SOIL STABILITIZATION FOR

Paragraph 8-1 EXCAVATIONS ....................................................................... 8-1

8-2.2.2 Foundations Partly on Fill ........................................................ 8-32

8-5.2.6 Zones....................................................................................... 8-73

CHAPTER 9 DEWATERING AND GROUNDWATER CONTROL

Paragraph 9-1 INTRODUCTION ..................................................................... 9-1

CHAPTER 10 FOUNDATIONS IN EXPANSIVE SOILS

Paragraph 10-1 INTRODUCTION ................................................................... 10-1

CHAPTER 11FOUNDATIONS IN AREAS OF SIGNIFICANT FRONT PENETRATION

Paragraph 11-1 INTRODUCTION ................................................................... 11-1

11-4.1 Selection of Foundation Type .............................................. 11-10

CHAPTER 12 FOUNDATIONS FOR VIBRATING EQUIPEMENT AND

Paragraph 12-1 INTRODUCTION ................................................................... 12-1

12-1.6.1 Settlement ........................................................................... 12-22

CHAPTER 13 PILE DRIVING EQUIPMENT

Paragraph 13-1 INTRODUCTION ................................................................... 13-1

CHAPTER 14 GROUTING METHODS AND EQUIPMENT

Paragraph 14-1 INTRODUCTION ................................................................... 14-1

APPENDIX A REFERENCES….……………………………………………..… A-1

8-1.1 Sliding Trench Shield................................................................................. 8-7

12-7 Distribution of Displacement Waves from a Circular Footing on the Elastic

3-1 Foundation Possibilities for Different Subsoil Conditions..............................3-3

1-2 SCOPE. Information contained in this criteria manual is directed toward

1-3 REFERENCES. Appendix A contains a list of references used in this

1-4 GENERAL GUIDIANCE. This Geotechnical criteria is intended for a

1-4.1.1 Content Guidance. This Geotechnical engineering criteria has been

SOILS AND GEOLOGY

SELECTION OF FOUNDATION TYPES

3-1 SELECTION OF FOUNDATION TYPE

3-1.1 Foundation Selection Considerations. Selection of an appropriate

• Some foundation alternatives may not be initially obvious. For example,

• The most promising foundation types should be designed, in a preliminary

• Bypass the poor soil by means of deep foundations extending to or into a

• Design the structure foundations to accommodate expected differential