10.1049 - Ip-C - 19820046 Foundation Uplift Resistance

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Foundation uplift resistance: the effects of

foundation type and of seasonal changes


in ground conditions
M.J. Vanner, M.A., M.lnst. P.

Indexing terms: Transmission and distribution plant, Cables and overhead lines

Abstract: Various theories for estimating foundation uplift design are discussed. The shape of the foundation
and the way it has been constructed, the type of applied loading and the strength of the soil surrounding the
foundation, all affect its uplift behaviour. Tests on all these aspects are described. It is possible that any one
of the above factors could be the cause of a foundation being under design strength, but the combination of
more than one factor could be critical. Proposals are made for further studies, the conclusions from which
should allow more accurate designs to be made in the future.

1 Introduction foundation behaviour, but that, because of the inhomogeneity


Frequently the design and construction procedures for founda- of ground and other factors of variation, we have no perfectly
tions of overhead line towers are considered unsophisticated satisfactory quantitative method of analysis.
by engineers not closely concerned with foundation work. It is Foundations resist uplift forces by differing processes,
true that the foundations for the smaller transmission lines, depending on the method of construction used and on the
and for those constructed at historically earlier times, were relative depth and width of the foundation; furthermore, the
simple in concept. However, as transmission lines have grown properties of the soil, at any period of time, will have an
in size, so have the foundations to support them. The larger important effect on the resistance generated by the footing.
size of foundations has meant that changes in procedures have This paper summarises the conclusions of investigations
been required to cope with problems found, both with design carried out recently into uplift foundation behaviour, and an
and with construction. Overhead lines are now frequently attempt is made to indicate new lines of thought which may
routed (perhaps for amenity reasons) through areas where be considered advantageous for foundation designers in the
ground conditions are poor; as a result special foundations future.
have to be designed for the conditions occurring, taking into
account the construction techniques available.
The traditional foundation used for overhead-line towers 2 Methods of uplift design
was of mass concrete construction. It was designed on what
was considered a fairly conservative basis, such that the founda- 2.1 Empirical methods
tion would be suitable for the majority of soil conditions in The most usual method used to assess the ultimate uplift
which it was expected it would be used, and, as a result, little capacity of a foundation is to equate its capacity to the
soil mechanics' expertise was required on site: decision making weight of soil contained in a truncated cone rising to ground
could be left to field staff, unless something was obviously level from the base of the foundation. In the UK the weight has
wrong. The overhead-line-tower foundation differs from most traditionally been assessed using a density of soil of 1600 kg/m 3
other civil-engineering foundations in that, in addition to (1001b/ft3) and a half angle of the frustum of 30° [1].
being subjected to compression, it has to resist uplift loads. Similar values were used in many other countries, though the
The behaviour of foundations under tension loads is outside German VDE specification [2] varied the parameters to take
the experience of most engineers and, in fact, eminent civil account of the method of construction (undercut, cast directly
engineers have been heard to say, 'you put in the full dead against soil or against formwork), the type of soil (cohesive or
weight of concrete that you require, or you grout a cable frictional) and the relation between depth and plan area of the
down into the rock underneath'. It is no surprise, therefore, block.
to discover that less experienced engineers made errors in this One other method, which has had some international
assessment of uplift behaviour. acceptance, is the shear method introduced by Killer [3]. The
In the early 1970s, ground anchorages became a partially estimation of uplift resistance is based on the weight of founda-
accepted construction; and, in these, design was attempted tion and the soil vertically above it, combined with a shear
on the sort of empirical basis used since the 1930s by overhead- force assumed to act over the vertical planes rising from the
line engineers. The growth of the use of ground anchorages, foundation base to the soil surface. It was accepted that shear
and of the papers published by contractors and by academics, was progressive and the values of shear coefficient, used in the
has perhaps suggested that now the civil engineering profession Killer formula, are thus smaller than the shear strength of the
knows everything about uplift loading on foundations. This soil in which the foundation is constructed. The values quoted
assumption is false, as the overhead-line-foundation expert will for shear coefficient were based on tests carried out on a range
confirm. Investigations into the mechanisms of uplift founda- of relatively small foundations. Strictly speaking, tests should
tion failure have taken place in various countries, and at frequent be carried out in each relevant soil type on typical examples of
intervals since the 1950s. The consensus of opinion is that we the foundations it is wished to use, in order to estimate the
now have a reasonable qualitative understanding of tower- shear coefficients involved. It must be stressed that extra-
Paper 2169C (P7), first received 23rd February and in revised form polation of results into the realm of much larger or stronger
23rd June 1982 foundations can lead to the occurence of extreme errors.
This concept of testing foundations to prove that the design
The author is with the Power Transmission Division, Balfour Beatty formula being used is valid should also apply to the use of the
Power Construction Limited, 7 Mayday Road, Thornton Heath, Surrey
CR4 7 XA, England frustrum theory, as changes in soil types or perhaps, even more

IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 0143-7046/82/060295 + 11 $01.50/0 295
importantly, changes in the scale and size of the foundations the base of the foundation, but remaining within the fill or
can render the formula in use invalid. along the fill/undisturbed soil interface. The following gener-
alised equation can be quoted:
2.2 Recent soil mechanics theories related to uplift resistance
Recent work on the design of overhead-line-tower foundations Ft = (3)
has been the subject of discussion by the foundation working
group reporting to study committee 22 'overhead lines' of Where Zc and Z 0 are constants depending on soil type, and the
CIGRE. Three main theoretical and practical investigations other symbols are as for eqn. 1.
were carried out by teams in France, Italy and the UK. The One difference is that the weight of soil within the assumed
techniques and analyses were related to the method of founda- shear volume is not included, as it was felt that failure was
tion construction used in each country, and it was agreed that progressive, and so all components of resistance would not be
each system could be of use for particular problems. Appendix present at the same time.
10.1 introduces some of the basic ideas of the theories, but a Depending on depth/plan area ratio there are changes in
summary of the formulas is given below. This paper does not assumed soil failure patterns, with local failure planes being
analyse or compare the previously published works, but it considered for deeper foundations. Comparison of the studies
uses them to show the superiority of a soil mechanics' concept shows that the research teams were in agreement about the
over the empirical methods when considering the variation of general mechanisms of failure. It is obvious, however, that
foundation strength with soil moisture content. these vary from those assumed for the empirical methods.
The French investigation (Biarez and Barraud [4]) was
related to foundations cast directly against the undisturbed 3 Effects of variation in construction technique on the
soil, but was checked against a variety of test results made strength of foundations
available to CIGRJ6. The formulas are of least accuracy when 3.1 Empirical analysis
used for formed foundations with fill to the sides and above. In many specifications there is a clause which restricts the
Basically, the French system considers shear strength along a permissible uplift resistance if the foundation does not have a
surface rising from the base of the foundation, at a specified definite pad or 'bell' at its base. Such a clause is found in the
angle depending on the soil type. In addition, the weight of UK specification [1], where it states that 'the maximum angle
foundation and soil within the shear plane is included in the between base and side of concrete foundation for uplift
uplift resistance. The following is the generalised equation: purposes shall be 70°'. This requirement means that founda-
Ft = S(CMC qMq) + P + Ps tions are normally cast within pyramid formwork, which
0) gives the twin advantages of reducing concrete volume and,
where at the same time, allowing the uplift frustum to be calculated
S = lateral area rising from the base of the foundation from the outside edge of the foundation base. (If the base of
to the surface of the soil the foundation has sides with the included angles greater than
C = apparent cohesion of soil 70°, i.e. vertical sides or nearly so, then the assumed frustum
0 = angle of shearing resistance of soil has to be taken from the top of the block edges.)
y = soil bulk density The UK specification does not differentiate between the
P = weight of concrete in the foundation behaviour of foundations undercut, cast against undisturbed
Ps = weight of soil above the foundation soil or cast in formwork and surrounded by fill. The shape of
D = total depth of foundation the foundation is the important design parameter.
q = overburden pressure (for foundations set below This attitude is modified slightly in the specifications issued
critical depth) by some consulting engineers, who state that, if a foundation
Mc, MQ, My, Mq = constants depending on the soil type. block is cast directly against or is cut into undisturbed soil for
Soils are split into three categories: a height of 250 mm, then the uplift resisting frustum may be
(a) saturated cohesive soils of low consistency, C¥=0 and considered to start from the bottom of the vertical edges of
0<15° the block. Otherwise the frustum is assumed to start from the
(b) unsaturated cohesive soils with internal friction, C¥= 0 top of the block edges.
and0>15° The German specification [2] differentiates quite clearly
(c) frictional soils, C = 0 and <p > 20° between a foundation undercut horizontally 200 mm or more
For soil types (b) and (c) there is a critical depth of foundation into undisturbed ground, a foundation cast directly against
installation, below which shear failure is localised near the undisturbed ground and one cast within formwork. The speci-
pad circumference. fication indicates that as you change from the undercut to the
The Italian study (Cauzillo [5]) does not consider the effect formed construction so you reduce the possible uplift resistance
of backfill areas, but does relate the failure method to the of the foundation.
foundation shape. The failure is assumed to be along the path The US Bureau of Reclamation Code [8] indicates the
of a logarithmic spiral, again with a critical depth at which merit in undercutting the pad into undisturbed material, as
the plastic zone extends just to the ground surface from the such a practice could increase uplift resistance by a factor of
junction between the pad and chimney. 2 to 3 times and, at the same time, could reduce movement
The generalised equation is: prior to pull-out. However, any increased resistance is not
allowed when calculating uplift, although, in certain circum-
Ft = perimeter (CKt + byK7 + bdyK3) + P (2) stances, the calculations of stability are improved when
Where Kt are constants depending on the shape of the founda- undercut foundations can be considered.
tion base and on the angle of soil friction, b is the pad overhang
and d is the depth of soil above the log spiral and other symbols 3.2 Soil mechanics analysis
are as for eqn. 1. The available soil mechanics' theories do not allow detailed
The UK investigation (Vanner [6, 7]) was primarily con- assessment of the results of different construction techniques.
cerned with foundations constructed within formwork and Biarez and Barraud give different calculations for piles and for
with backfill to the sides and above. The technique adopted pad and chimneys; but there is no further refinement of the
was also to consider shear strength along a surface rising from latter, depending on whether they are undercut, cast against
296 IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982
virgin soil or against backfill. Construction techniques are quite considerable compared with the straight shafted
mentioned in the paper but mainly to stress the importance of foundation. The latter could be designed to provide suitable
maintaining the lateral pressure on the soil when excavation uplift resistance, provided the shaft was of a suitable diameter
take place. Soil properties are assumed to be those of the and depth. Some underreamed shafts were tried with reason-
virgin soil. able success. However, difficulty was found in the practical
Parr and Vanner [9] investigated pad and pyramid founda- achievement of the foundation.
tions with backfill round them and also pyramids undercut Electricite de France carried out several series of tests to
into virgin soil. Although the report describes, qualitatively, investigate the behaviour of foundations undercut into undis-
the results of the different construction techniques, the soil turbed soil [12, 13]. Their normal practice had been to cut in
mechanics analysis was based entirely on foundations sur- the bottom pad of the foundation some 100 mm; they then
rounded by backfill. investigated undercutting the next layer of the 'wedding cake'
It is possible that the Parr and Vanner, or the Vanner, math- and providing an undercut of 400 mm. The uplift load increased
ematical relations could be extended to take account of by a factor of between 25 and 50%, whereas the movement
different degrees of casting against or into undisturbed soil, by due to the uplift was reduced. Similarly, they investigated the
means of empirical assessment of the values of the soil proper- production of a bulb base on bored poles. The result was found
ties to be assumed (i.e. if virgin soil properties or only a certain to be an improvement, but the anlysis was not completely
proportion of those values should be used). There is, however, fair as the base was increased in diameter, but the depth of the
no experimental verification of values which could be chosen. foundation was not reduced.

3.3 Practical tests on improvement due to the technique 3.4 Comparison of foundation types
of installation The practical results confirm the empirical rules laid down in
Tests on foundations and an analysis of their comparative the German VDE specification [2]. From the point of view of
behaviour had obviously taken place to allow the US Bureau ultimate uplift load and also, incidentally, of minimisation of
of Reclamation to produce design standard 10 in 1951. How- movement, the foundation cast within formwork .is less
ever, details of the tests are not available and recent experience desirable than one cast against the virgin soil which is similarly
appears to be restricted to a few series of tests. not so effective as one undercut into the undisturbed soil.
In the first series, ERA [9], after they had tested founda- According to VDE 0210 a foundation 2.55 mm square and
tions on a 66 kV line, installed a series of test foundations to set 3.3m deep would present resistances to uplift as follows,
investigate foundation shape and installation techniques. The in a stiff clay soil:
conclusions of the study were: {a) in formwork, 841
(c) The strength of a foundation, which is not undercut or (Z>)cast directly, lOOt
cast for any considerable distance against undisturbed soil, (c) undercut, 1191
is mainly determined by the properties of the backfill Both the ERA and filectricite de France, respectively, indicate
(Z?) Pyramid-shaped foundations have, in weaker backfills, a a greater percentage improvement of the undercut over the
superiority over flat blocks owing to the 'wedging' action formed or the cast direct foundation, compared with the VDE
caused by the pyramid. However, very steep pyramids do not assessment. However, the latter appears to be of the correct
necessarily show this superiority, because they tend to 'plough form and it has the advantage of being safe.
through' the backfill more readily than medium-base-angle There seems to be agreement that the provision of an
pyramids. undercut or bell at the base of an augered shaft will enhance
(c) Foundations undercut into undisturbed ground display the behaviour of the foundation. However, many of the tests
two advantages over foundations cast within formwork: first, were carried out with the bell as an addition to the straight
the uplift resistance is greateT and does not vary with incon- underreamed foundation and the results were thus foreseeably
sistences in the backfill strength and, secondly, the uplift better.
movement is always very much less than that of a foundation Trials were carried out several years ago in the UK, when
not undercut. Foundations cast within formwork, in most augered shafts were tested in clay soils in an attempt to
cases, exhibit considerable movement under application of ten- confirm that underreaming was an advantage. In round terms,
sion, and what could be argued as excessive uplift when the it was found that an increase in depth of a 900 mm diameter
ultimate load is reached. Backfill which is wet or loose, and straight shaft from 5.0 to 7.4 m was equivalent to the provision
therefore weak, allows more movement than one which is of a bulb of 1.5 m diameter at the 5 m depth. There was no
strong. obvious reduction in movement related to uplift loads for the
undercut shaft; in fact, in one test the movement was consider-
Reports are available of two series of tests carried out in the ably greater. No attempt was made to investigate the effect of
USA. Turner [10] investigated the behaviour of grillage, changes in the properties of the soil in the surface layers (i.e.
straight shaft and underreamed augered footings. The grillage weathering, tension cracks, reduction in strength due to
foundation exhibited less strength than had been expected, seasonal moisture); but the UK practice is to ignore the top
and the investigators discovered, as had ERA, the difficulty 0.75 m of ground to discount unexpected variations in the
of compacting the backfill. The underreamed foundation soil properties.
behaved well and reasonable analysis could be made of its There appears to have been no direct comparison by test of
behaviour (possibly because of the homogeneity of the soils normal shaped foundations and augered shafts. Logically, as
used for the augered shafts). The straight shafted foundation the complete surface area of an augered foundation is cast
was also generally satisfactory, but its performance depended against undisturbed soil, its behaviour should be better than
on the method of construction, the position of the water table most normal foundations, perhaps approaching that of under-
and the susceptibility of the soil to lose strength through re- cut foundations. It is possible, however, that the parallel
moulding or weathering. Turner found that the underream shaft, although initially it moves very little, may shear the
removed most of the doubt found with the straight shaft. surrounding soil virtually in one stage; whereas the block
Zobel et al. [11] also directly compared grillages and straight foundation moves more in its initial loading, but sideways
shafts. The grillage foundation did not give results as high as forces are generated from the block into the surrounding soil
had been hoped and the movements under uplift load were and failure of the foundation is by progressive shear failure.
IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 297
There have been relatively few foundation tests carried out 4 Effects of variation in soil properties on the design
compared with the number of foundations installed. Of these strength of foundations
tests, the results of only a small proportion are available gen- Study of the literature shows that at the present time the only
erally and, consequently, very few engineers are cognisant of variation in ground conditions which is normally expected to
the relative behaviour of different foundation types. There occur is a rise of the water table to a level above the founda-
have been reasonable testing regimes on any one particular tion base. In this condition, as in normal civil engineering
foundation type, but rarely have two or more foundation practice, submerged densities of soil and concrete are used for
types for the same conditions of service been tested and com- calculation, instead of the bulk densities normally considered.
pared. One difficulty in analysis of test results is the inhomo- In the empirical methods the use of submerged densities
geneity of most ground and this has to be taken into account will reduce the uplift resistance by 40% to 50%, while a similar
in conjunction with the lack of complete information on reduction has to be considered for the bearing capacity of fric-
tests, since rarely are both full soil properties and full records tional soils.
of test procedures and foundation behaviour listed for the When formulas based on soil mechanics are used to anlayse
reader to analyse. foundation behaviour, the reduction in strength resulting from
One factor of uplift foundation behaviour which is not consideration of submerged densities varies according to the
generally realised is the extent of the movement of many size of the apparent Cohesion term. If the latter is zero, the
foundations when subject to tensile forces. There is of course strength will vary in proportion to the density, as is the case
no accepted limit on foundation movements; figures of 13 mm with the frustum method; but if the cohesion is large and the
have been quoted in the past, but it is acknowledged that the frictional component is small then a much smaller reduction
allowable movement must be related to tower-base width and in strength is found.
to tower structural design, and so it is impossible to stipulate In neither method so far has there been any consideration
an absolute maximum value. However, the tests carried out by of the variation in foundation capability arising from weakening
ERA [9] and by Zobel et al. [11] indicated that excessive of the soil due to an increase in moisture content as opposed
movement prior to the achievement of maximum uplift load to the effect of submergence, although at least one British
could be found with many foundations. The types of founda- consultant's specification covers this aspect albeit in an advisory
tions most prone to movement were grillages and pad or way. Some specifications stipulate different included angles for
pyramid footings. The movement tended to increase in weaker the frustum, depending on the condition of the soil at the time
soils but it was found that poor backfill compactation, even in of investigation, but these angles are not specified conserva-
a good undisturbed soil, allowed unacceptable uplift movement. tively small to take account of any possible changes. When
using formulas based on soil mechanics, account can be taken
3.5 Techniques involved in the construction of foundations of the reduction in cohesion with increase in moisture content.
Construction techniques used for foundations can vary from (For clay soils the shear strength at the plastic limit can be
the most basic form to the epitome of sophistication. The tests forty times that at the liquid limit.) If information is available
quoted previously indicated that much better resistance to up- on the maximum moisture content likely to be found in the
lift was obtained when foundations were undercut (or under- soil related to the soil plasticity indices, then some assessment
reamed) in,to undisturbed ground. of the shear strength can possibly be made. If fast undrained
The ne^t best foundation to an undercut is one which is triaxial tests are used for determining strength parameters,
cast direct, and the technique for this is perhaps the simplest then increases in moisture content can affect the readings
possible; you dig a hole and throw in the concrete. The classical obtained for the angle of shearing resistance; but this factor
UK foundation cast within its formwork requires more design is not generally of great importance in the calculations.
and construction skill to form the correct shape.
The undercut foundation (the use of which increases the 4.1 Practical investigations into soil strength variation
capability and reduces the movement of the footing) can, Investigations are not normally taken to allow comparison of
however, only be constructed in ground which is basically the soil strength parameters at any one site over a period of
'good' and in which strong foundations should fairly easily time. However, from two areas of the world results are available
be constructed. There is no easy method in which undercutting of soil tests which were taken at different times from positions
can be carried out mechanically, and, in fact, as the dimensions which macroscopically could be considered the same. There is
of the basic hole are smaller, the work of the machine is often obviously bound to be variation in the actual soil samples
more difficult than in larger excavations. investigated at different times, and, by very nature of the
Care has to be taken over the control of the excavation size, inhomogeneity of soil, these changes in soil properties have to
because variations could give rise to foundations which could be allowed for before consideration is made of changes arising
be cast below design strength, or, at the other extreme, could from seasonal effects.
be above strength but expensive. Area 1 was subject to heavy rainfall over a fairly extended
Augered shafts can be underreamed with the correct tools period. This rainfall raised ground water level, generally wetted,
in a satisfactory soil type. Time is taken over changing the and thus weakened soil layers, and in fact the flora and fauna
auger heads, but small shafts do not have to be cleared by of the area were modified by the change in climatic conditions.
hand, as do the larger diameter piles. There is always consider- Such changes had occurred previously at intermittent intervals,
able doubt about the shape of the underream, the form of but they were not part of an accepted annual variation.
which cannot readily be verified. Samples of underreamed Area 2 is in a country which has a regular rainy season,
auger foundations which have been recovered, either following followed by dry warm weather, during which water evaporates
tests or from foundations in service, have demonstrated this or sinks into the ground. This annual behaviour is one which
difficulty of construction. There is little experience of actual required analysis to allow accurate design of foundations
efficient mechanical underreaming of augered shafts for over- which are set in the strata of soil subject to marked change
head-line-tower foundations. Absolute information on actual in properties.
equipment and construction techniques, which have been In area 1, soil investigations involved in situ standard
satisfactorily used, should be circulated through the industry penetration testing and removal of undisturbed samples, which
if use of the techniques is to expand. were subject to undrained triaxial compression testing in the
298 IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982
Table 1 : Results of soil investigations carried out during two seasons (area 1)

Position Season Depth to Moisture Apparent Angle of Bulk Shear Unified SPT Ultimate
free content cohesion shearing density strength soil blows bearing
water resistance classifi- per capacity
cation 300 mm from SPT

m % kN/m 2 degrees 10 3 kg/m 3 kN/m 2 kN/m 2


1 dry 3.0 5 15 21 1.66 24.6 SF 5 125
wet 3.0 18 8 23 1.73 19.0 SF 3 75
2 dry 3.0 6 15 25 1.67 26.7 ML 4 100
wet 3.0 12 0 30 1.77 15.3 SF 4 100
3 dry 3.0 7 18 29 1.63 41.0 SF 7 175
wet 3.0 12 5 27 1.74 27.4 SM 5 125
4 dry 3.0 5 10 25 1.63 21.4 SF 7 175
wet 3.0 19 5 28 1.87 19.9 SF 4 100
5 dry 1.5 24 25 22 1.98 39.2 ML 36 900
wet 1.0 22 12 29 1.91 29.2 SM 9 225
6 dry 3.0 10 15 25 1.77 27.4 SF 6 150
wet 0.5 28 20 18 1.88 25.9 ML 0 0
7 dry 3.0 9 10 22 1.54 27.0 SF 7 175
wet 0.5 20 13 25 1.79 25.2 SM 9 225
8 dry 3.0 28 35 30 1.93 51.8 CL 21 525
wet 3.0 27 25 9 1.91 24.5 ML 5 125
9 dry 3.0 29 30 16 1.94 38.4 ML 13 325
wet 0.5 34 20 3 1.98 21.0 ML 3 75
10 dry 2.3 25 63 24 1.91 75.8 ML 14 350
wet 1.4 22 0 28 1.82 14.0 ML 3 75
11 dry 2.3 23 40 29 1.85 65.0 ML 16 400
wet 1.4 24 15 27 1.87 32.8 ML 11 275

laboratory. From these tests, soil strength properties were conditions. This reduction, which is up to two thirds that of
determined and the results are shown in Table 1. The shear the original uplift resistance, is not given by use of the frustum
strength is estimated from the Coulomb equation and is formula.
included in the Table to give an indication of stength variation. For other locations where the water table has risen and will
Also shown is the ultimate bearing capacity of the soil, give partial submergence, the calculations based on soil mech-
assessed on the basis of the standard-penetrations test results. anics generally indicate greater reductions than those estimated
It will be seen that, after wetting of the soil, the shear strength from the empirical formula. The two exceptions are where,
and the bearing capacity is reduced by a factor varying from possibly due to inhomogeneity of the soil, the laboratory
5% to 80%. tests gave slightly higher values of apparent cohesion in the
An equally dramatic variation is shown in the strength wet conditions compared with the dry.
results found in area 2, where measurements were taken using The calculations show that foundation set in fine silty sands
the Chance-Auger probe. In this investigation, readings were may have, in wet conditions, an uplift resistance as low as 16%
taken at varying times after the cessation of the heavy rainfall of that expected in the dry. The reduction could have been
of the wet season. greater if the water table had risen nearer the ground surface
Successive readings gave results indicating increasing bearing than the levels measured.
capacities, and over a six month period the indications are that There are differences in the values of uplift resistance cal-
the strength increased by a factor of between 2\ to 5 (Table 2). culated by the three soil-mechanics methods, that of Vanner
In each case, if investigations were taken when the ground generally giving the lowest values. This would be expected for
was drier, the strength of the ground would be overestimated foundations cast against formwork and with the failure surface
and foundations constructed to the measured strength para- within the fill area. The three methods do, however, indicate, in
meters would suffer a loss of strength as the ground weakened most cases, similar patterns of behaviour for the foundations,
in the wet conditions. as the soils become weakened due to increase in their percent-
age saturation.
4.2 Assessment of foundation strength variation based on From Table 2, using the results obtained in area 2 and
changes in soil properties assuming that foundation uplift resistance varies in propor-
Using the soil properties measured in area 1 and indicated in tion to bearing capacity, then reductions of strength of 60
Table 1, calculations have been made for foundations of to 80% will be found from wet to dry seasons.
dimensions 1.2 m length, 0.6 m width and set to a depth of
2.4m. Four methods of design were used: (a) the empirical 4.3 Practical tests on foundations: variations depending
frustum formula, using a 30° frustum half angle and a soil on dry or wet conditions
bulk density either of 1.6 t/m 3 or of the actual measured bulk These were carried out on foundations installed in area 1.
value, taking account of submerged densities below the level Brief details are given in Appendix 10.2. Some foundations
of the water table, (b) the Biarez and Barraud design method,
(c) the Cauzillo design method and (d) the Vanner design Table 2 : Bearing capacity of soil estimated from Chance-Auger readings
(area 2)
method; using the properties as measured from the tests on un-
distrurbed samples. For (b), (c) and (d) submerged densities Estimated soil Number of days after end of rains
were used where applicable. bearing capacity 8 30 181
kN/m 2
The results of the calculations are shown in Table 3. It will
be seen that, even where there has not been reduction in Site 1 154 231 375
strength due to submergence (positions 1—4 and 8), the soil Site 2 75 — 375
Site 3 _ 160 375
mechanics analyses indicate quite considerable reductions in Site 4 - 175 375
uplift resistances due to weakening of the soil in the wet

IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 299


Table 3 : Analysis of uplift resistance for foundations set in ground indicated in Table 1

Position Season Submergence Calculated ultimate uplift resistance, kN


Correction Vanner
30° frustum Biarez and Cauzillo
3 Barraud design design
7 1.6 t/m 7 actual design method method
method

1 dry no 222 230 230 204 148


wet no 222 240 173 195 110
2 dry no 222 233 236 265 160
wet no 222 245 231 164 81
3 dry no 222 226 222 346 188
wet no 222 241 164 195 103
4 dry no 222 226 193 216 136
wet no 222 259 177 215 111
5 dry yes 210 256 261 274 215
wet yes 195 222 167 245 138
6 dry no 222 245 216 272 164
wet yes 169 173 186 204 159
7 dry no 222 216 172 189 125
wet yes 169 173 152 173 114
8 dry no 222 268 328 572 314
wet no 222 265 113 209 188
9 dry no 222 269 315 298 240
wet yes 169 193 84 133 137
10 dry no 222 265 471 677 471
wet yes 208 237 149 117 76
11 dry no 222 257 344 582 341
wet yes 208 237 191 257 109

were tested in the intial (dry) conditions and some were tested of the frustum volume. From the point of view of foundation
after the period of extended rainfall. The foundations were of strength, it is the soil surrounding the foundation which has
the size and depth for which the trial calculations were given most effect. This fact must also explain, to some extent, why
in Table 3. The actual soil properties found at the test sites are the soil mechanics' theories fail to explain accurately the
shown in Table 4. Table 5 lists the test results obtained and behaviour during submergence; as these theories also tend to
these values are compared with design values based on the integrate soil strength from the base of the foundation up to
frustum formula, using nominal and actual bulk densities ground level.
and on the soil mechanics' formulas proposed by Biarez and The uplift capacities of the foundations in the fine sands
Barraud [4] and Vanner [7]. showed marked reductions when the soil moisture content
The soil conditions at sites B and C are similar, except for increased (compare sites D, E and F with A). In these weaker
the rise in water table at site C to a level half way up the soils the actual ultimate uplift resistances of the foundations
foundation. The reduction in strength of the foundation at varied between 40 and 56% of the values assessed from the
site C was considerably more than would be assessed from the frustum formula, using the nominal bulk density. As might be
frustum formula, and for that matter from the soil mechanics' expected, the soil mechanics analyses indicated more accurately
formulas. The error in the empirical assessment obviously the behaviour of the foundations, although both overesti-
comes from the assumption of submerged densities in the mated the strength at position C and underestimated that at
lower half of the frustum; this only affects a small percentage position D. Such variations are to be expected, because the

Table 4: Results of soil investigations carried out at test sites

Position Depth to Moisture Apparent Angle of Bulk Unified


free water content cohesion shearing density soil
resistance description
m % kN/m 2 degrees 10 3 kg/m 3
3.0 10 0 33 1.85 SF
3.0 28 46 11 1.91 Ml
1.2 28 45 16 1.99 Ml
1.4 13 0 14 1.83 SM
2.1 13 10 26 1.83 SM
1.4 20 5 18 1.94 SM

Table 5: Comparison of ultimate uplift values found from test and from calculations

Position Test ultimate Calculated ultimate uplift values, kN


uplift value, kN
30 frustum formula Biarez Vanner
design method design method
7 1.6 t / m 3 7 actual
230 222 257 166 160
230 222 265 197 234
123 202 245 368 183
83 208 232 62 37
124 220 250 193 135
87 208 247 151 83

300 IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982


calculations are based on the results of single tests on soil particular. The two former regimes tended to increase the
properties, even though it was known that there was quite ultimate resistance of the shafted foundations. With the
considerable inhomogeneity of the soil structure. compression-tension system, shafts could be pulled up with
The test results vary generally in accordance with the manner cyclic loads, the modulus of which was only some 40% of the
predicted from soil mechanics analysis, and it is thus reason- ultimate static uplift resistance of the shaft in cohesionless
able to conclude that consideration of the latter approach soils. In cohesive soils, accelerated uplift of a shaft or of a
should be maintained when estimating foundation behaviour. flat plate occurs only when the tensile portion of the cyclic
On this basis, the variations of foundation strength given in load exceeds about 80% of the static uplift resistance. Flat
Table 3 are quite possible; and, if these occurred in practice, plates behaved as if statically loaded in frictional soils. It was
then, on average, the factor of safety on a foundation would pointed out that a pad and chimney foundation could be con-
be reduced from, say, 2.5 to 1.5 or from 1.5 to 0.9. Such a sidered intermediate between the shaft and the plate, and it
reduction occurred for the foundation tested at position E, would thus be less prone to degradation by a fluctuating load
after account has been taken of the slight rise in the water than a straight shaft.
table, only 0.3 m. Foundations at positions D and F showed It is known that certain saturated materials, when subjected
even greater reductions. to vibration, can exhibit the phenomenom of liquefaction-;
this problem is known to engineers attempting to provide
5 Effect of variable loads on uplift foundations foundation for rotating machinery.
The detailed results indicate that Cochard obtained con-
Historically, the vast amount of tests on foundations have siderable weakening of a pile in frictional material, while
consisted, effectively, of applying static loading conditions. Cauzillo and Rendina did not find foundations in sand were
This practice obviously evolved from the first simple tests on sensibly weakened. However, the joint conclusions of both
site and the desire to keep the testing procedures as straight- sets of authors was that, until more was known of foundation
forward as possible. behaviour, the maxima of known fluctuating loads applied to
The loads are generally applied to the foundation from a foundations should be restricted to 75% of static uplift for
jack through a beam. Except for very few cases, originally pads and chimneys, and to 60% of static uplift for straight
the applied load was estimated by the hydraulic pressure shafts.
reading on the jack. Electric load cells were employed addi- It is acknowledged that certain foundation failures may be
tionally by a few research organisations; but errors in readings inexplicable. There are in total, however, not many failures,
due to faulty electronic equipment could easily be suffered if and thus very few failures could be attributed to fluctuating
the design engineer had not perfected his measuring equipment. loads. The tests were carried out with fluctuations in load
Thus, it can be seen that the test equipment available was which were large in scale; in recent practice, normal wind loads
not suitable for application of sophisticated loading regimes. would only be expected to reach 40% of the ultimate uplift
The load was generally increased in increments which were load and the foundation behaviour would still be staisfactory.
held for periods of 5 to 15min, thus simulating, as far as It is obvious that more investigation needs to be carried out
possible, reasonable rapid loading, yet still allowing the into the behaviour of foundations when varying loads are
jacking to be carried out and measurements to be taken. applied; at the same time, it will be necessary to study what
Frequently, the test procedure would include one or more loads can reasonably be expected to be applied to the
cycles between zero and working load with finally an increase foundations.
to failure. A few tests were carried out much more slowly, in
an attempt to approach the more permanent loading expected
from deviation or termination towers. 6 Proposals for future work
Recent advances in technology have allowed the application This paper has attempted to study two main factors related to
and monitoring of rapidly varying loads, and two recent test foundation uplift behaviour: foundation type (which can per-
programmes have been carried out in Italy and France to haps be distinguished by shape and by construction technique)
investigate the behaviour of foundations subject to them. The and seasonal variation in soil-strength properties. In both
findings of both teams are similar; they concluded that analysis subjects, only a small amount of investigation has been carried
of the results of static loading tests could not be extended to out; but the indications are that, in each case, certain factors
the behaviour of those foundations under varying loads. can reduce the capability of foundations more than perhaps
Cauzillo and Rendina [14] investigated two differing types was realised.
of varying load: the transient load which is due to dynamic There appears incontrovertible evidence that undercut
effects on the line (conductor breakage, ice shedding, etc.) foundations give the best uplift behaviour, followed fairly
and the fluctuating load due to wind on the line. They dis- closely by foundations cast directly against undisturbed ground.
covered that the fluctuating wind loads were transferred to the There is a need for investigation into the direct comparison of
foundations through the tower, effectively unaltered; whereas the equivalent shaft with pad and chimney foundations,
the transient longitudinal loads were filtered by the tower where the latter are cast directly or undercut.
and, as a result, the foundations were only affected by the Following studies of straight-shaft foundations the investi-
residual load. This effect means that, because of the relative gations should extend to underreamed shafts, again with an
frequency responses of the tower and the foundation, the attempt to produce the equivalent foundation. It is believed
latter can resist a load applied suddenly and for a short dura- that much of the experimental effort involved with the 'belled'
tion better than the same load applied for a long time; the shafts will be related to refining the construction techniques.
foundation design need be only for the semipermanent out-of- It is obvious that further investigations should take place
balance load, not for the dynamic shock load. The fluctuating on foundations subjected to variable loads. The range of the
wind load, however, tended to produce a progressive deteriora- tests needs to be extended to cover more foundation types and
tion of foundations in cohesive soil, but not in frictional soil. a greater range of applied loads. The tests carried out to date
Cochard [15] investigated only fluctuating loads, but his suggest that straight-shaft foundations are not satisfactory in
investigations included compression-compression, tension- behaviour, and, in view of their excellent showing under static
tension and compression-tension cycles, and it was the last loading conditions, more work should be carried out on this
which proved destructive to straight-shafted foundations in aspect, with an extension into the behaviour of the belled shaft.
IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 301
Seasonal variation of soil moisture content, and thus of soil 8 Acknowledgements
strength, can have a critical effect on foundation behaviour.
The author thanks the General Manager of the Power Trans-
Further consideration needs to be given to this problem, since
mission Division, Balfour Beatty Power Construction Limited
although the loss of strength due to weakening of the soil in
and the Directors of Balfour Beatty Limited for permission
itself can be of major importance, it will be realised that, when
to publish this paper.
it is added to the weakening reported in the tests on variable
loads, the result can be critical.
It would be satisfactory if site investigation could always be
carried out when the ground conditions were weakest. However, 1
1. /
for areas where there is a regular rainy season, it is not always I 1 /
\ 1 /
easy or convenient to mobilise the site investigation team at \ 1
1 /
the required time. Areas which have irregular periods of heavy \ ' 4
rain can obviously be correctly investigated only if the rain has \
fortuitously fallen just prior to mobilisation. \
It is proposed that studies can be made which should allow \ /
\ /
assessment of the likely problems. These studies will have to be
/
partly based on laboratory tests complemented by field investi-
gation. It is possible that information is already available, but
that it needs to be collected and correlated.
The basic problem is to obtain details of the variation of
values of apparent cohesion c and angle of shearing resistance \ I
0; as obtained from fast undrained triaxial tests, related to
values of percentage saturation or air content for soils of
different description (say by unified or Casogrande systems).
To complement this information, it would be necessary to \l
_ <* I frictional)
have details of recorded percentage saturations for different ' " v Vsoils }
soil types taken during wet and dry seasons, at various loca- ora=
t clays )
tions in the world.
Such a combination of facts would allow assessment of the (i) (ii)
probable percentage variation in foundation strength over
normal seasons. Where a sudden change in climatic conditions
occurs, then, there is no easy answer;however, it is recommened
that, when very fine sands and silty soils are encountered in
areas where rains might occur, the design strengths of the soil A
are assumed to be reduced from those measured by some
percentage. The investigations quoted in this paper suggest a
mean value of reduction of 20 to 30%.

7 Conclusions

The uplift behaviour of a foundation is dependent, among


(ii)
other things, on its shape and on the techniques used in its
construction. Fig. 1 Synoptic table of Biarez and Barraud design method
For optimum results the greatest use should be made of the a Pile foundations in all soil types
properties of undisturbed soil, preferably by undercutting the b Shallow-pad foundations:
foundation into it, or by casting the concrete directly against it. (i) in frictional soils and in sandy clays, (ii) in saturated clays
One of the simplest foundation types that satisfactorily c Deep-pad foundations:
(i) in frictional soils and in sandy clays, (ii) in saturated clays
follows the above requirements is the straight, augered or
drilled, shaft. Static tests have indicated an excellent perform-
ance, but recent dynamic loading tests have suggested that 9 References
the straight-shaft foundation is at a disadvantage. 1 'Design of foundations for steel towers for overhead transmission
Although tests have indicated that underreamed shaft lines at 132kV and higher voltages'. ESI Standard 43-4,1972
foundations should perhaps give the best performance of all, 2 'Regulations for the construction of overhead power lines above
there appears to be uncertainty over the construction tech- 1 kV. German VDE Specification 0210/5.69, 1969
niques which can be satisfactorily used. 3 KILLER, J.: 'Economical foundations for overhead line towers'.
Proceedings of the third international conference on soil mechanics
Evidence is presented of the variation in soil-strength and foundation engineering, 1953, 3, pp. 265-276
properties which can be found over the seasons. Tests carried 4 BIAREZ, J., and BARRAUD, Y.: The use of soil mechanics
out on foundations showed that considerable loss of uplift methods for adapting tower foundations to soil conditions'. CIGRE
strength can occur just with a wetter soil, before any weakening paper 22-06, 1968
is caused by submergence. 5 CAUZILLO, B.A.: 'Metodo di calcolo del carico limite per fonda-
zioni sollecitate a trazione', L'Energia Elettrica, 1973, 50, pp. 3-12
Formulas used at the present time for designing founda- 6 VANNER, M.J.: 'Improvements in the design and construction of
tions are generally empirical and there is no facility in them to pyramid-type foundations for 400 kV overhead line towers'. IEE
cater for the weakening of soil strength in this manner. Conf. Publ. 44, 1968, pp. 88-92
Investigations into the seasonal variation of soil strength, 7 VANNER, M.J.: 'Strength tests on overhead line tower foundations
-The effect of variation of depth of burial'. ERA Report 5202,
moisture content and the comparative behaviour of founda- 1967
tions is required so that this factor can be introduced into the 8 'Transmission structures'. Design standard 10, Chap. 2, US Bureau
empirical formulas. of Reclamation, 1951

302 IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982


9 PARR, R.G., and VANNER, M.J.: 'Strength tests on overhead line 10.1.1 Method proposed by Biarez and Barraud [4]: This
tower foundations - Interim report'. ERA Report 0/T28,1962 theory was developed from an extensive model and from some
10 TURNER, E.A.: 'Uplift resistance of transmission tower founda- full-scale studies of foundation behaviour, followed up by the
tions',/. Pwr. Divn. Proc. ASCE, 1962, 88, pp. 17-33
11 ZOBEL, E.S., WOLFE, R.S., and EVANS, J.T.: 'Guy Anchor and application of theoretical soil mechanics and by checking of
foundation test results and evaluation for Montana Colstrip Project'. the proposed formulas against 129 test results reported to
IEEE PES winter meeting, paper A76 041-4, 1976 CIGRfi. Accuracies were claimed to be often better than
12 MARTIN, D.: 'Influence du mode de realisation des foundations sur ± 20%, but generally better than ± 40%.
leur tenue a l'arrachement'. CIGRE SC22 WG07 working document,
1971 Study of the models indicated that piles and relatively
13 MARTIN, D.: 'Amelioration de la resistance a Farrachement des shallow pads lifted up a truncated cone of soil connected to
foundations de pylones'. CIGRE SC22 WG07 working document, the foundation concrete. The relatively deep pad foundations
1974 failed owing to local shear through the soil in the neighbour-
14 CAUZILLO, B.A., and RENDINA, R.: 'Dynamic behaviour of over- hood of the pad.
head line foundations'. CIGRE paper 22-07,1980
15 COCHARD, A.: 'Behaviour of tower foundations under variable The simplified system analysed in the theory is closely
loads'. IEE Conf. Publ. 176, 1979, pp; 107-111 related to the failure surfaces seen in the model tests. A
truncated cone rises from the base of the foundation (either
the shallow pad or the pile shaft). The angle from the vertical
10 Appendixes
of the failure surface depends on the foundation and soil type
(Fig. 1). The deep pad foundation analysis is a combination
10.1 Recent soil mechanics theories related to uplift of pad and pile behaviour for clay soils, or a combination of
resistance of foundations local shear on the pad 'and pile behaviour on the chimney in
It is not possible, in this paper, to present a precis of previously
published design theories, and readers are advised to study the
original papers, quoted as references. It is believed, however,
that the following simple summary of the theories may aid
understanding of their concepts.

1 .0

0-5

0 1 2 3
D/B

0.5

2 3
D /B
Q = S, [ C M £ * y DM if • / ) • q M q ] • P . P s

Fig. 2 Values of constants for shallow pad in sandy clay soils (after
Biarez and Barraud) Fig. 3 Synoptic table of Cauzillo design method

IEE PROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 303


sandy clays and frictional soils. The division between shallow some foundations, and it has been used for design on at least
and deep pads is at a ratio D/B varying from 3 up to 6, or one South American specification.
greater, depending on foundation shape and soil type.
Fig. 2 gives an indication of the change in constants 10.1.2 Method proposed by Cauzillo [5]: The theory again
MC^MQ or My) and MQ, with D/B and 0 for a shallow pad was based on observation of tests on models, and the applica-
foundation in sandy clay soils. Similar, more detailed graphs tion of soil mechanics to a simplified failure system. The
are given in the original paper [4] to cover all the values of formulas were then applied to check the results of full-scale
constants for alternate foundation types in different soils. foundation tests, including, finally, the 129 CIGRfi results.
The formula was used by Electricite de France for checking The failure surface is assumed to be a logarithmic spiral, the

K0
10 10

=30

20 40 60 80 20 40 60 80
a _ b cos <t> u ot
t =D —— K0
s m CL

=30

= 30

20 40 60 80 20 40 60 80
a OL

Fig. 4 Values of constants for design formula (after Cauzillo)

HODR rOUXDITIONS ILLUSTMTIHG TTNCM. FIILURES

Fig. 6 Methods of soil failure during the uplift of foundations (after


Vanner)
a The major complex frustum D/B < 1.6
b Intermediate failure 1.6 < D/B < 2.6

F = n(B + 0.3) (0.3C + 0.18 y tan 30/4)

Fig. 5 Model foundations showing typical failure + nB !(£> - 0 . 6 ) C ++ jtan


{(D—0.6)C ^-tan (p(D
2
0(£>5 -0.36)1
a Model undercut foundations
b Model foundations cast in excavations c Local failure D/B > 2.6

304 IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982


critical depth being that at which a tangent to the spiral is excavation. It has been used only infrequently for checking
horizontal. The shape of the foundation, that is the size and foundation behaviour.
slope of the pad or pyramid extending from the column, is
another important factor in the equations (Fig. 3). Some of 10.2 Foundation tests carried out in area 1
the constants given in the original paper are shown in Fig. 4. Full-scale tests were carried out to prove the foundation
It is claimed that use of the Cauzillo formula has given designs in the ground conditions encountered on site. Sub-
results in closer agreement with full-scale tests than other sequent to the period of extended rainfall, further tests were
formulas, but its accuracies appear to be similar to those of the carried out to reconfirm the foundation capability. The tests
Biarez and Barraud formula. Its use has, so far, it is believed, were carried out with the equipment available on site, and
been restricted to Italy. without the advantage of full-scale research facilities.
It is believed that it is the trends found from the series of
10.1.3 Method proposed by Vanner [7]: The theory was tests which are of major importance. There is not the space
based on the results of an extended series of tests on full- available in this paper to give full details of all the test pro-
scale foundations. The British practice is to cast foundations cedures or of the test findings. The following outline informa-
within formwork and to backfill soil around and above the tion may be of interest to readers:
foundations. These investigations, and those preceding them The ground condition at the sites (Table 4) was predomi-
(Parr and Vanner [9]) are the only investigations which nantly silty sand, occasionally being more silty (sandy silt).
consider, in detail, the effect of the backfill on the uplift These soil types are, by their nature, quite variable in behaviour;
behaviour of a foundation. Subsequently, model foundations a slight change in the silt content can affect quite considerably
were installed in sand and photographs taken of the failure the permeability of the soil and its apparent behaviour. The
planes (Fig. 5). Fig. Sa shows foundations undercut into un- differences in values of apparent cohesion and of angle of
disturbed ground and the failure lines rising as frustra; Fig. 5b shearing resistance are probably due to this alteration in
shows foundations set in excavations and the failure planes permeability. The level of the water table varied from below
rising along the walls of the excavation. The failure mechanisms foundation depth to quite a distance above it.
found in the full-scale tests were similar to the models for The foundation were blocks 1.2 m long, 0.6 m wide, set at a
the foundations in excavations; but scale effects meant that depth of 2.4m. They were pulled upwards by means of a
full frusta failure planes were not feasible with undercut bond, into which a previously calibrated dynamometer was
foundations unless the foundation was very close to the introduced. The movement of the blocks was checked using
ground surface. a scale rigidly attached to the upper part of the foundation
The design theory was based on the integration of the and measured using the cross wires on a theodolite.
Coulomb equation for shear strength over the cylindrical Loads were applied in approximately 20% increments of
surface rising from the base of the foundation. the ultimate load. Each increment was held steady for at least
The deep foundations (D/B > 2.6) experienced local 5 min though the working load was maintained for 15min.
failure rather than shear to the surface. The localised failure Uplift measurements were taken at the beginning and at the
areas were found when the deep full-scale foundations were end of each increment of loading.
excavated, and a modification to the formula was introduced It was not possible to obtain any information about the
for the deep footing. Fig. 6 indicates the varieties of failure mechanisms of failure which had occurred during testing.
found and the type of formula used to analyse them. The Neither surface nor subterranean markers were installed to
formula was only applicable to foundations cast within the indicate soil heave or lateral movement.

IEEPROC, Vol. 129, Pt. C, No. 6, NOVEMBER 1982 305

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